4 days old

JPMorgan Chase & Co.
Jersey City, NJ 07302
  • Job Code

Corporate Compliance - Regional Compliance Officer - Vice President - Jersey City, NJ

Job Description

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.


The J.P. Morgan Private Bank delivers the highest quality advice, service, capabilities and products to ultra-high net worth and high net worth individuals and families in 36 countries around the world. 


We are seeking an individual to fill an exciting and challenging position as a Regional Compliance Officer within the J.P. Morgan Private Bank Compliance Team, responsible for supporting the New York Region and based in Jersey City, New Jersey.


The position provides an opportunity to be part of innovative and talented group of compliance professionals, and requires knowledge of the legal and regulatory requirements for broker dealers doing business in the USA.  In addition, the position requires strong interpersonal, presentation and organizational skills. 



  • Provide regulatory advice and support to supervisors and registered representatives in the branches for the ultra-high net worth and high net worth businesses of the J.P. Morgan Private Bank.  Strong knowledge of FINRA and SEC rules and regulations imperative.
  • Provide regulatory advice and communicate firm policy regarding the Firm's sales practices for the suite of Investment Solutions offered by J.P. Morgan Private Bank.
  • Stay abreast of new rules and regulations, evaluating impact to the business and Compliance Program that may result in new policies and procedures, Compliance Bulletins and training.
  • Coordinate efforts with the Regional Compliance Officers nationally on all matters that impact J.P. Morgan Private Bank and its Compliance Program, escalating issues and updating management accordingly.
  • Take the lead on specific projects to enhance the J.P. Morgan Private Bank Compliance Program and execute on those projects to completion
  • Strong knowledge of brokerage sales practice issues across products (stocks, options, complex products, private investments) supervisory requirements and marketing rules preferred.
  • Working with supervisors and the registered representatives on all regulatory issues and adherence to Firm policies and procedures that may arise; and resolving those matters accordingly which may include drafting Compliance Bulletins, training or reevaluating policies and procedures.
  • Assist on Regulatory Exams/Inquiries/Sweeps in the region, coordinating with the central J.P. Morgan Regulatory Examinations Group, Legal, the Business, Operations and other Control Groups; and escalating issues and updating management.
  • Coordinate with the internal Branch Examination Teams during entire examination process.
  • Review and advise on Forms U-4, U-5 and DEF filings.
  • Drafting of policies and procedures


  • 10-15 years' previous experience and/or knowledge of general retail brokerage compliance
  • Excellent interpersonal and communications skills, both orally and in writing.
  • Strong analytical skills
  • Strong knowledge of brokerage sales practice issues, supervisory requirements  
  • Team player and collaborative work ethic
  • Strong presentation skills preferred
  • Knowledge of SharePoint, PowerPoint and Excel preferred.
  • FINRA Series 7, 24, 63 preferred.
  • Bachelor’s Degree required, JD or MBA preferred

Req #: 200010844
Location: Jersey City, NJ US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

Keyword: consumer%20banking


Posted: 2020-02-14 Expires: 2020-03-15

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JPMorgan Chase & Co.
Jersey City, NJ 07302

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