Asset Wealth Management – Compliance – Compliance Manager (Marketing) – Vice President Asset Wealth Management – Compliance – Compliance  …

J.P.Morgan
in New York, NY, United States
Permanent, Full time
Be the first to apply
Competitive
J.P.Morgan
in New York, NY, United States
Permanent, Full time
Be the first to apply
Competitive
Asset Wealth Management – Compliance – Compliance Manager (Marketing) – Vice President
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with 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. Information about JPMorgan Chase & Co. is available at http://www.jpmorganchase.com/ .


Asset & Wealth Management Marketing Compliance team ("MAC") consists of compliance professionals who performing various "independent" oversight functions with respect to marketing activities/initiatives across J.P. Morgan Asset Management, J.P. Morgan Private Bank, J.P. Morgan Securities (hBear) and Chase Wealth Management businesses (collectively "AWM"). MAC helps create more consistent/effective oversight coverage of AWM Marketing & other Business/Control/Supervisory functions involved in marketing initiatives/processes (including product marketing, social media, digital, etc.). Compliance expertise is needed to properly oversee and assess AWM communications regulatory obligations, including but not limited to FINRA Rule 2210, SEC Rule 206, Investment Adviser's Act, Investment Company Act, OCC Communications rules, and MSRB Rule G-21.
Knowledge of marketing and disclosure regulatory requirements supporting Asset Management, Institutional Funds, Investment Adviser, Broker-Dealer Mutual Funds, and Alternative Investments/funds, are critical for the role covering Asset Management Marketing. Candidates will be expected to identify compliance-related risks by performing routine Monitoring activities for Asset Management marketing practices, processes to measure the sufficiency of controls, and report any observations, findings and final results to key business partners and managers. Candidates will also be expected to be an Asset Management marketing compliance expert to liaise with Business Management, Legal, Risk, Discretionary and Controls Management, and Internal Audit teams to provide ongoing compliance advice on regulatory matters and compliance risks for both existing and new products and services marketing efforts.

Qualifications

  • 5 years previous investment product marketing experience as compliance/legal, control, risk or supervisory professional at a major law firm, regulator, fund or financial institution.
  • Working knowledge of marketing and disclosure regulatory requirements supporting Asset Management, Institutional Funds, Investment Adviser, Broker-Dealer Mutual Funds, and Alternative Investments/funds.
  • Working knowledge of FINRA (2210/2220/2214) SEC (482) OCC marketing and communication rules.
  • Working knowledge of Digital and Social Media marketing regulatory guidance, requirements, disclosures and risks.
  • Excellent interpersonal and communications skills.
  • JD or MBA a plus.

  • Team Player with the ability to work independently

  • Strong verbal, written and interpersonal skills and the ability to liaise with all levels of management

  • Proven track record in building good working relationships

  • Strong attention to detail and analytical skills

  • Pro-active, motivated and enthusiastic

  • Ability to work in a team environment

  • Good knowledge of MS Office products including Excel, Access, Word, and PowerPoint

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