Compliance Risk Management Lead - Vice President

Responsibilities

• Lead risk assessments and implement evolving standards from regulatory agencies including the OCC, Federal Reserve, SEC, and IRS.
• Design and guide monitoring, testing, and risk assessment programs to mitigate compliance, conduct, and operational risks.
• Serve as a strategic subject matter expert for key regulations such as ERISA, the Investment Advisers Act of 1940, and fiduciary requirements.
• Support regulatory examinations and internal audits by coordinating responses and driving root cause analysis and remediation.
• Provide strategic guidance to senior leadership on emerging risks, enforcement trends, and regulatory developments.
• Partner with cross-functional stakeholders, including Legal and first-line risk teams, to integrate compliance practices into new products and operations.
• Direct the development and governance of comprehensive compliance policies and operational risk frameworks.

Requirements

• Bachelor’s degree or equivalent work experience.
• 7+ years of progressive experience in financial services compliance, risk management, or control within a major financial institution.
• Foundational understanding of Securities Services, asset management, or related institutional environments.
• Experience with fiduciary and banking regulations (e.g., OCC Regulation 9, ERISA, Investment Advisers Act of 1940).
• Knowledge of operational risk frameworks, including KRIs, RCSAs, KPIs, and control testing.
• Strong written and oral communication skills with the ability to provide credible advice and challenge.

Preferred Qualifications

• Advanced degree.
• Prior experience in Corporate Investment Bank (CIB) or Securities Services environments.
• Familiarity with global assets, institutional fiduciary oversight, and emerging areas like digital assets or AI.
• Proven track record of managing regulatory exams and driving remediation in complex product environments.

Benefits

• Competitive total rewards package including base salary and discretionary incentive compensation.
• Comprehensive health care coverage.
• Retirement savings plans.
• Tuition reimbursement and mental health support.
• Financial coaching and wellness programs.

About the Company

JPMorganChase is a leading global financial services firm providing innovative solutions to millions of consumers, small businesses, and prominent institutional clients. We are committed to helping the firm grow responsibly by anticipating emerging risks and fostering a culture of integrity and excellence.