Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Regulatory Management Lead- Vice President within the Asset & Wealth Management Regulatory Management Team, you will be responsible for managing regulatory examinations and other engagements conducted by various banking and securities regulators, including the Federal Reserve Bank of New York, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission and State regulators. Your primary focus will be on regulatory examinations by these regulators, specifically for the firm's Asset Management and Global Private Bank businesses within the Asset & Wealth Management Line of Business. This position is based in New York City and will require some travel, including international.

 

Job Responsibilities

Manage, coordinate and assist in the preparation for examinations conducted by regulators, either onsite or remotely, covering a variety of topics, businesses and functions related to AWM. Provide strategic advice and regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues. Communicate extensively (orally and in writing) and develop effective relationships with regulators.  Establish and develop effective relationships within Compliance and with the Business, Operations, Control Management, Regulatory Reporting, Technology, Risk, Legal and Internal Audit.  Work with the relevant businesses and functions to obtain information / documentation to respond to regulatory requests.  Analyze, digest and summarize information / documentation responsive to regulatory requests. Prepare business personnel for meetings with regulators. Identify mitigating facts and circumstances (as applicable) to rebut issues identified during examinations or other engagements. Prepare substantive written responses to regulatory requests and examination reports, which often require the ability to apply the applicable laws and regulations at issue to the facts of each matter. Communicate with the relevant businesses and functions regarding regulatory issues, findings by the regulators, and remediation related to those findings. Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.

 

 Required qualifications, capabilities, and skills

5+ years’ experience at a large financial institution, regulator, or law firm performing legal, regulatory supervision/exam management, or regulatory enforcement functions BA/BS, or a similar degree, required.  Ability to learn new areas while supporting them.  Excellent interpersonal, leadership, organizational and communication (oral and written) skills.  Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.  Project management skills and ability to manage multiple workstreams involving different partners and groups. Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.  Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size. A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the Firm.  Proficient in Microsoft Word, Excel, PowerPoint and Teams.  

 

Preferred qualifications, capabilities, and skills

JD preferred, but not required. Experience working for a regulator desirable but not required.