JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands.

Asset & Wealth Management Background: With client assets under supervision of $2.3 trillion and assets under management of $1.7 trillion, J.P. Morgan Asset & Wealth Management (AWM) is one of the largest asset and wealth managers in the world. Asset & Wealth Management offers global investment management in equities, fixed income, real estate, hedge funds, private equity, liquidity, and multi-asset solutions. It also provides trust and estate, banking, and brokerage services to high net worth clients, and retirement services for corporations and individuals.

As a J.P. Morgan Asset & Wealth Management employee, you will be part of a company that makes a real difference every day for our customers, our communities and ourselves. With a focus on customer service, you will put others first, do what is right and create solutions that make lives better. We invite you to build your career on our strong foundation and help shape what is next for you and for us.

Investment Solutions provides Wealth Management clients with investment management solutions across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. A strong First Line of Defense is the foundation of a well-functioning and sustainable control environment. Wealth Management encompasses a number of business-aligned control teams to better support business activities, regulatory change and new business initiatives.

This position will require you to have a Market Trading knowledge with a focus on Fixed Income Products. In this role you also will be responsible managing a team that focus' on these products. You must demonstrate compliance knowledge of securities regulation for these specific products. This position also requires you to have proven analytical and prioritization skills and ability to clearly communicate with senior management. You will also support the development of new products and platforms and providing regulatory guidance to ensure compliance with relevant regulations

Job Responsibilities

• Act as a control point to monitor and oversee trade practices for asset classes offered to U.S. Wealth Management managed business
• Respond to inquiries from Registered Representatives, Financial Advisors and Supervisory Managers related to Managed Solutions policies and procedures and trade practices.
• Collaborate with other Supervisory Management teams to provide updates to Supervisory Procedures
• Work with the Wealth Management Compliance and Legal teams on complex matters related to managed accounts
• Provide regulatory guidance to the Business and Control Partners on matters that impact managed products
• Document, track and follow-up on the development of new projects, collaborating and coordinating across different geographies, lines of business and control functions
• Advise Business and Control Partners on day-to-day trading and policy/control inquiries
• Help draft new policies, procedures and the development of training protocols related to new initiatives or changes to existing platforms
• Participate in internal and external audits, compliance tests and exams; assist in the review of draft responses to regulatory inquiries, including data requests, investigations and audits
• Assist with core Compliance functions including marketing review, risk assessments and projects driven by the Corporate Compliance Team related to Private Bank products and services
• Provide general support to other Product Supervisory managers and be able to provide assistance or backup coverage for those responsibilities
• Provide assistance and guidance for Alternatives business and other related initiatives

Required Qualifications, Skills and Capabilities

• 5+ years of securities, investment industry experience
• Bachelor's degree is required
• Knowledge of FINRA, MSRB and SEC rules and regulations
• Experience as a Supervisory or Compliance professional
• Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products and industry practices
• Ability to provide clear, concise and timely resolution to issues
• Demonstrate strong critical thinking, analytical research and quantitative skills
• Strong written and verbal communications skills, including an ability to communicate with all levels of management
• Strong organizational skills with exceptional attention to detail
• Possess excellent time management skills
• Proven judgment and problem-resolution skills
• Familiarity with the use of computer programs with the full suite of office software applications (e.g. Access, Excel, Word, and PowerPoint)
• Licenses required to perform all job duties associated with the role : FINRA Series 7, 66 (63/65), 9/10 (4,24,53),
• Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license. Additional licensing requirements for 120 within 120 days of hire (if applicable): Any of the following licenses not already obtained: FINRA Series 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license and supervisory requirements

JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

The health and safety of our colleagues, candidates, clients and communities has been a top priority in light of the COVID-19 pandemic. JPMorgan Chase was awarded the "WELL Health-Safety Rating" for all of our 6,200 locations globally based on our operational policies, maintenance protocols, stakeholder engagement and emergency plans to address a post-COVID-19 environment.

As a part of our commitment to health and safety, we have implemented various COVID-related health and safety requirements for our workforce. Employees are expected to follow the Firm's current COVID-19 or other infectious disease health and safety requirements, including local requirements. Requirements include sharing information including your vaccine card in the firm's vaccine record tool, and may include mask wearing. Requirements may change in the future with the evolving public health landscape. JPMorgan Chase will consider accommodation requests as required by applicable law.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, discretionary incentive compensation which may be awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

Equal Opportunity Employer/Disability/Veterans

Base Pay/Salary
New York,NY $114,000.00 - $180,000.00 / year