Compliance Risk Management Director - Executive Director

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 Compliance Risk Management Director within the Compliance, Conduct and Operational Risk (CCOR) organization, you will be tasked with overseeing our Global Rates and Rates Exotics business. Your role will involve daily interactions with senior-level business decision-makers and corporate functions in a dynamic, fast-paced environment.

• Provide real-time advice and challenge to business management and staff on regulatory and compliance issues
• Conduct “second line” monitoring of businesses
• Assist in preparing responses to regulatory inquiries and examinations from the SEC, FINRA, OCC, CFTC and other regulators
• Coordinate with other control groups, such as Business Controls and Operational Risk on initiatives including surveillance, testing, and audits
• Coordinate with Compliance colleagues covering functions such as the Control Room regarding information barrier crossings, Personal Account Dealing, Licensing and Registrations, Global Financial Crimes, etc.
• Participate in various projects, such as those relating to the challenge of “first line” risk assessments
• Draft and implement compliance policies and procedures
• Monitor regulatory developments, participate in industry groups, and assist in implementing programs to comply with new regulations

• Bachelor’s degree, MBA or law degree, depending on work experience
• 10+ years of relevant experience in fixed income compliance
• Strong knowledge of SEC, FINRA, OCC and CFTC rules relating to fixed income products, loans and derivatives
• Strong interpersonal skills and excellent verbal and written communication skills
• Ability to manage multiple initiatives simultaneously in a dynamic, fast-paced environment
• Strong organizational and project management skills

• Familiarity with TRACE and/or information barriers a plus
• Experience with US Treasury Auctions a plus