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For your reference, we have included the original job posting below.
Compliance Manager
Job Number:
25575428
Company Name:
JPMorgan Chase
Job Location:
Columbus, OH US
Job Category:
Accounting & Finance
Compliance Manager
Title: Compliance Manager Location: OH-Columbus
JP Morgan Institutional Investments Inc (JPMII) is a limited capacity FINRA registered broker dealer. The business of JPMII crosses over several "Asset Management" and Bank lines of business including; Institutional Asset Management, Treasury & Securities Services, JP Morgan Alternative Asset Management, and Retirement Plan Services. JPMII is also a Registered Investment Advisor (RIA) established to deliver managed account services for Retirement Plan Services. JPMorgan Distribution Services, Inc. (JPMDS) is a FINRA registered broker dealer which serves as the distributor of JPMorgan Funds and provides accountholder and dealer servicing and wholesale marketing support for JPMorgan Funds and JPMorgan Investment Trusts. JPMDS also serves as the placement agent for privately placed funds that are advised by JPMC investment advisory affiliates and engages in sales and actively solicits institutional customers to invest in the money market and short-term bond Funds through JPMC's Global Liquidity business. J.P. Morgan Retirement Plan Services (RPS), as a Corporate 401K Plan Administrator, helps companies and their employees effectively use company-sponsored retirement plans to save and invest for retirement. When the time comes for an individual to retire or change jobs, Retirement Plan Services also provides rollover investment solutions to help people manage their money through retirement.
We currently have an opening in the JP Morgan Asset Management (JPMAM) Compliance Department for a Compliance Manager supporting JPMII and JPMDS as well as RPS. The candidate chosen will be responsible for conducting an annual risk assessment and ranking of rules and regulations and evaluating business activities in order to develop and execute a broker-dealer compliance testing plan. Also the candidate will be responsible for the development and management of the branch office review program for both broker-dealers. This position ensures that all risks are appropriately identified, reported and monitored. This position will work with the Chief Compliance Officer (CCO) to complete testing and reporting requirements of NASD Rule 3012 and SEC Rules 206(4)-7 and 38a-1. Additionally the position will provide general day to day Compliance support to the RPS business as well as be responsible for special assignments as delegated.
The position will be located in Kansas, Missouri.
* Minimum of 5-7 years FINRA/RIA or relevant compliance or audit experience * Series 7, 63, and 24 licenses are required or will be expected to be acquired within the first several months of employ. * The job will entail approximately 25-40% travel. * Experience with Bank/BD compliance, RIA compliance, Hedge Funds, ERISA, 40!K Plan Recordkeeping, Private Placements or Treasury Services is a plus. * Sound knowledge of compliance risk management theories and applications * Strong organizational and analytical skills, ability to multitask and work independently * Strong interpersonal, written and verbal communication skills JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V.
