CCOR - Compliance Manager - Vice President - Plano - job 1197614

JPMorgan Chase Bank, N.A.

Date: 09/12/2021

City: Plano, Texas

Employment type: Full-time

J.P. Morgan Wealth Management Regional Compliance Officer

Location: Plano, TX - Tampa, FL - Columbus, OH

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. JPMorgan Chase & Co. is committed to providing a comprehensive set of benefits choices to meet different employee needs and lifestyles, which include choices such as fully paid parental leave time, health care insurance and retirement benefits.

The Compliance Department of JPMorgan Chase & Co ensures the development and maintenance of a strong compliance culture by working closely with the business, legal, risk, and audit functions to provide compliance oversight of the business and expertise on brokerage regulatory compliance matters.

Operating under the J.P. Morgan Wealth Management business, Chase Wealth Management (CWM) is a strategic offering of Brokerage and Investment Advisory products and services, with over 3,900 advisors located across 5,000 Chase branch offices in 42 states, who oversee $262.5 billion of investment assets. The growth of the CWM business is a strategic priority of the firm, and crucial to our commitment to expanding relationships with existing customers, attracting new business, and increasing profitability.

Key Responsibilities

The Chase Wealth Management Regional Compliance Officer is responsible for the following:

  • Provide compliance advice, guidance and regulatory support to the Chase Wealth Management broker-dealer (J.P. Morgan Securities, LLC) offering;
  • Partner with the line of business, Risk, Audit, Legal and Control partners to monitor, implement and test that sound compliance programs are in place;
  • Evaluate effectiveness of available metrics and enhance or design new metrics to identify trends, patterns, or potential areas of concern;
  • Provide Compliance advice to the line of business on the implementation of appropriate actions plans to address identified compliance and/or control gaps;
  • Establish active partnerships with stakeholders to ensure effective communication, scheduling and prioritization of compliance deliverables;
  • Strong knowledge of mutual funds, annuities, equities, fixed income, and investment advisory products;
  • Subject matter expert on the requirements, expectations and best practices for the Retail Non-Deposit Investment Products (RNDIP) program for the consumer bank/broker-dealer to facilitate a consistent and cohesive approach;
  • Strong analytical, research and problem solving skills, with the ability to analyze large amounts of data to draw accurate conclusions;
  • Conduct on-site branch sales practice reviews and monitoring activities as necessary;
  • Take the lead on specific projects to enhance the CWM Compliance Program and execute on those projects to completion;
  • Conduct branch visits to evaluate compliance risk;
  • Some knowledge of consumer banking regulations;
  • Strong knowledge of FINRA and SEC regulatory requirements.


  • 3-5 years previous experience in broker-dealer compliance;
  • Knowledge of, or a demonstrated willingness to, obtain a working knowledge of regulations impacting the broker-dealer and consumer bank;
  • Proficiency in Microsoft applications, including Excel and PowerPoint; experience in creating senior management information reporting, metrics, and ability to perform data mining and analysis;
  • Strong Analytical and presentation skills;
  • Bachelor's degree preferred;
  • Excellent writing and oral communication skills;
  • Ability to travel when necessary;
  • FINRA Series 7, 24, 63, 65 or/66 a plus.

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.

Equal Opportunity Employer/Disability/Veterans

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