Compliance and Ops Risk Test Lead - Vice President

Location: Tampa, FL, United States

Job Family: CCOR Foundation

About the Role

At JP Morgan Chase, we are a leading global financial services firm with a commitment to integrity, innovation, and client success. The Compliance and Ops Risk Test Lead - Vice President role within our CCOR Foundation team presents an exciting opportunity to drive specialized testing for trade surveillance in our Tampa, FL location. As a key player in our Controls, Compliance & Operational Risk (CCOR) framework, you will lead efforts to ensure robust risk management across trading activities, safeguarding the firm against regulatory and operational threats in a dynamic financial landscape. In this Vice President-level position, you will spearhead the design, execution, and reporting of testing programs focused on trade surveillance controls. This includes developing comprehensive test plans that evaluate the effectiveness of monitoring systems for market abuse, insider trading, and other compliance risks. Collaborating closely with front-office traders, compliance officers, and technology partners, you will identify vulnerabilities, recommend enhancements, and track remediation to uphold JP Morgan Chase's high standards of governance. Your work will directly contribute to the firm's enterprise-wide risk management strategy, ensuring alignment with regulations like SEC Rule 17a-4 and global anti-money laundering directives. We seek a seasoned professional with deep expertise in financial services risk testing to join our Tampa team, where you'll benefit from cutting-edge resources and a collaborative culture. This role offers the chance to influence strategic initiatives while advancing your career in one of the world's most respected institutions. If you thrive in a high-impact environment and are passionate about mitigating risks in capital markets, apply to help shape the future of compliance at JP Morgan Chase.

Key Responsibilities

• Lead the development and execution of specialized testing programs for trade surveillance controls within the CCOR Foundation framework
• Identify and assess operational risks in trading activities, ensuring compliance with internal policies and external regulations
• Design test scenarios and methodologies to validate the effectiveness of surveillance systems and processes
• Collaborate with business lines, Compliance, and Technology teams to remediate identified control deficiencies
• Prepare detailed reports on testing outcomes, risk findings, and recommendations for senior management at JP Morgan Chase
• Monitor emerging regulatory changes and adapt testing strategies to maintain alignment with industry standards
• Mentor junior team members and foster a culture of risk awareness in the Tampa operations hub
• Conduct root cause analysis on control failures and implement preventive measures
• Support CCOR initiatives by integrating testing with broader enterprise risk management practices
• Ensure timely documentation and tracking of testing activities in JP Morgan's risk management systems

Required Qualifications

• Bachelor's degree in Finance, Business, Risk Management, or a related field
• Minimum of 7-10 years of experience in compliance, operational risk, or trade surveillance within the financial services industry
• Proven track record in leading testing programs for regulatory compliance and operational risk controls
• Strong understanding of regulatory frameworks such as Dodd-Frank, MiFID II, and SEC rules applicable to trade surveillance
• Experience in developing and executing test plans for front-to-back office processes in a large financial institution
• Ability to manage cross-functional teams and collaborate with stakeholders across Compliance, Operations, and Technology
• Professional certifications such as CRCM, CAMS, or equivalent in risk and compliance

Preferred Qualifications

• Advanced degree (MBA or Master's) in a relevant discipline
• Prior experience at a major investment bank like JP Morgan Chase in CCOR (Controls, Compliance & Operational Risk) functions
• Familiarity with data analytics tools for risk testing and surveillance
• Knowledge of anti-money laundering (AML) and market abuse detection systems
• Experience leading audits or regulatory examinations in trade finance or capital markets

Required Skills

• Expertise in trade surveillance and monitoring tools (e.g., Actimize, NICE)
• Proficiency in risk assessment and control testing methodologies
• Strong analytical skills for data review and anomaly detection
• Knowledge of financial regulations and compliance standards
• Project management abilities using Agile or waterfall frameworks
• Excellent communication and presentation skills for stakeholder engagement
• Technical proficiency in SQL, Python, or Excel for data analysis
• Leadership and team-building capabilities
• Attention to detail and problem-solving mindset
• Understanding of capital markets and trading operations
• Risk modeling and scenario analysis techniques
• Regulatory reporting and documentation skills
• Cross-functional collaboration and influence
• Adaptability to fast-paced financial environments
• Ethical judgment in high-stakes compliance scenarios

Benefits

• Competitive base salary and performance-based annual bonus
• Comprehensive health, dental, and vision insurance plans
• 401(k) retirement savings plan with generous company matching
• Paid time off including vacation, sick days, and parental leave
• Professional development programs and tuition reimbursement for certifications
• Employee stock purchase plan and financial wellness resources
• On-site fitness centers and wellness programs at the Tampa campus
• Flexible work arrangements and hybrid options for work-life balance

JP Morgan Chase is an equal opportunity employer.