Ccor - Compliance Risk Management Lead - Vice President

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CCOR - Compliance Risk Management Lead - Vice President
The candidate will provide advice, guidance and oversight to certain JPMorgan Chase Registered Investment Advisers (“RIA’s”) via strong working knowledge of the Investment Advisers Act of 1940 and other SEC regulations. Provide support to the requisite investment management business areas to prepare for regulatory examinations. Advise the business on integrating compliance requirements into line of business procedures, controls and training. Challenge the status quo by providing critical and analytical thinking and strong decision-making capabilities to identify problems, propose creative solutions, and escalate as necessary. Conduct ongoing risk assessment, administer monitoring, maintain Compliance policies, provide marketing and training review, and help design testing plan for assigned areas of responsibility. Develop management, stakeholder, and regulator presentations to communicate issues, recommendations, and status of initiatives. Proactively evaluate processes, controls, and risks, identify concerns and control issues, advise on implementing improvements and ensure stakeholders develop and implement appropriate corrective actions. Work with the business, control partners and Legal to monitor and assess the impact the business of new investment management-related laws and regulations. Keep abreast of industry trends and anticipate areas of focus and attention of regulators.

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