JPMorgan Chase Corporate Compliance - Sub-Advisory Compliance - Vice President in New York, New York

JP Morgan Chase

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 .

Our Compliance Function

With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.

J.P. Morgan is a leader in asset management, investment banking, private banking, treasury and securities services, and commercial banking. Today, the firm serves one of the largest client franchises in the world, including corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan Asset Management is a leading asset manager for institutions, individuals and financial intermediaries, worldwide. Our investment professionals are located around the world providing strategies that span the full spectrum of asset classes including equity, fixed income, cash liquidity, currency, real estate, infrastructure, hedge funds and private equity. J.P. Morgan Funds is the fourth largest mutual fund firm in the U.S. and offers a range of mutual funds spanning all asset classes, adhering to distinct investment styles, to build portfolios to suit various investor goals and objectives.

We are seeking a professional with at least 7 years of compliance experience with the Investment Company Act and Investment Advisers Act. This compliance professional should have compliance related experience at a registered investment adviser, law firm, public accounting firm, federal securities regulatory agency or other relevant organization. The individual will be responsible for providing regulatory compliance support to JPMAM’s sub-advisory business relating to its sub-advised mutual fund separate accounts for intermediary clients (investment advisors and insurance companies). Specifically, the individual will provide oversight and guidance on all regulatory compliance matters relating to U.S. registered sub-advised mutual funds and JPMAM’s Compliance Program. The compliance professional will work closely with portfolio management, sales and client service teams in promoting JPMAM’s culture of compliance in conjunction with JPMAM’s sub-advisory business.

Responsibilities include:

  • Provide oversight and guidance to business management and staff on regulatory and compliance issues, particularly JPMAM’s 206(4)-7 Compliance Program

  • Participate in on-site client due diligence visits to provide a comprehensive overview of the regulatory compliance function, address inquiries regarding Compliance Program policies & procedures, regulatory examinations, and general oversight of client accounts.

  • Collaborate with investment teams, middle office operations and client service to assess compliance risk for new client account fund launches

  • Provide guidance and oversight of client’s regulatory investment guidelines

  • Address regulatory breaches, including escalation, resolution and reporting to client boards

  • Coordinate compliance responses to requests for proposals and due diligence questionnaires

  • Review and coordinate compliance certifications relating to sub-advised clients’ Compliance Programs

  • Provide compliance analysis, implementation and credible challenge on new business initiatives

  • Stay abreast of the regulatory environment and hot topics with regulators as well as enhancements to JPMAM’s Compliance Program

  • Participate in ad hoc compliance projects and initiatives as directed by Senior Management


  • At least 7 years of compliance or regulatory experience

  • Strong technical knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940

  • Experience with detecting and remediating compliance breaches is a plus

  • Experience with risk assessments, establishment of controls, and monitoring of control effectiveness is a plus

  • Experience with preparing and presenting compliance training is a plus

  • Experience with 1940-Act regulations relating to affiliated trading, soft dollars, valuation, and prospectus disclosure is a plus

  • Experience with sub-advisory compliance program requirements is a plus

  • Strong analytical and time management skills

  • Strong presentation skills is a plus

  • Commitment to teamwork

  • Strong interpersonal skills

  • Excellent verbal and written communication skills

  • Excel and MS Office proficient

  • Ability to manage multiple tasks and projects simultaneously

  • Proven ability to proactively detect and address issues

  • Ability to confidently interact with and influence senior leaders

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.