Compliance Risk Management Lead - Vice President

Location: New York, NY, United States

Job Family: CCOR LOB/CF/Country Coverage

About the Role

At JP Morgan Chase, we are a leading global financial services firm with operations spanning 100+ countries, and our Global Investment Banking division drives transformative deals for clients worldwide. As a Compliance Risk Management Lead - Vice President in the CCOR LOB/CF/Country Coverage team, you will play a pivotal role in safeguarding the integrity of our investment banking activities. Based in our state-of-the-art office in New York, NY, this position offers the opportunity to lead high-impact compliance initiatives in a dynamic environment where innovation meets rigorous regulatory standards. You will report to senior compliance leadership and collaborate across lines of business to ensure our advisory, capital markets, and M&A services comply with evolving U.S. and international regulations. Your core responsibilities will include spearheading risk assessments, developing robust compliance frameworks, and integrating controls into business processes to mitigate risks such as market abuse, conflicts of interest, and sanctions violations. You will partner with investment bankers, legal experts, and risk officers to navigate complex regulatory landscapes, including SEC reporting requirements and Basel accords, while leveraging JP Morgan's advanced analytics tools to monitor and report on compliance metrics. This role demands a proactive approach to anticipating regulatory changes and fostering a culture of ethical conduct, directly contributing to the firm's reputation as a trusted advisor in global finance. We seek a strategic thinker with deep expertise in financial compliance who thrives in a collaborative, high-pressure setting. Joining JP Morgan Chase means access to unparalleled resources for professional growth, including mentorship from industry leaders and exposure to cutting-edge technologies shaping the future of banking. If you are passionate about compliance in investment banking and ready to make a meaningful impact, this Vice President role offers a platform to advance your career while supporting our commitment to responsible growth.

Key Responsibilities

• Lead the development and implementation of compliance risk management programs for the Global Investment Banking line of business, ensuring alignment with JP Morgan Chase's enterprise-wide risk framework
• Conduct comprehensive risk assessments to identify, evaluate, and mitigate compliance risks associated with investment banking activities such as mergers & acquisitions, capital markets, and advisory services
• Collaborate with business leaders, legal teams, and control functions to embed compliance controls into day-to-day operations and strategic initiatives
• Monitor regulatory changes and industry developments, advising on their impact to the investment banking division and recommending proactive adjustments
• Oversee the execution of compliance testing, audits, and reporting, including preparation of materials for senior management and regulatory bodies like the SEC and Federal Reserve
• Foster a strong culture of compliance awareness through training programs, communications, and metrics tracking within the team
• Manage relationships with external regulators and industry groups, representing JP Morgan Chase in relevant forums
• Drive continuous improvement in compliance processes, leveraging data analytics to enhance risk identification and resolution
• Support CCOR LOB/CF/Country Coverage initiatives by providing expertise on jurisdiction-specific compliance requirements
• Mentor and develop junior compliance professionals, contributing to talent pipeline for the firm

Required Qualifications

• Bachelor's degree in Finance, Law, Business Administration, or a related field; advanced degree (e.g., JD, MBA) preferred
• Minimum of 7-10 years of experience in compliance, risk management, or regulatory affairs within the financial services industry, with specific exposure to investment banking
• In-depth knowledge of U.S. regulatory frameworks including Dodd-Frank, SEC regulations, and Basel III, with a focus on compliance risk in global markets
• Proven track record in leading compliance initiatives for large financial institutions, including interaction with senior stakeholders
• Strong understanding of anti-money laundering (AML), know-your-customer (KYC), and sanctions compliance requirements
• Experience in conducting compliance risk assessments and developing mitigation strategies for investment banking products and services
• Ability to thrive in a fast-paced, high-stakes environment with excellent analytical and problem-solving skills

Preferred Qualifications

• Certified Regulatory Compliance Manager (CRCM) or equivalent professional certification
• Prior experience at a bulge-bracket investment bank or similar global financial institution
• Familiarity with JP Morgan Chase's internal compliance policies and the CCOR (Corporate & Investment Bank Compliance, Conduct & Operational Risk) framework
• International regulatory experience, particularly in cross-border investment banking transactions
• Demonstrated leadership in managing diverse teams in a matrixed organizational structure

Required Skills

• Expertise in regulatory compliance and risk management frameworks
• Proficiency in financial regulations (e.g., SEC, FINRA, Dodd-Frank)
• Strong analytical and critical thinking abilities
• Excellent communication and presentation skills for executive reporting
• Leadership and team management experience
• Knowledge of investment banking products and services
• Data analysis and visualization tools (e.g., Excel, Tableau)
• Project management methodologies (e.g., Agile, Six Sigma)
• Attention to detail and ethical decision-making
• Cross-functional collaboration skills
• Adaptability to evolving regulatory landscapes
• Risk assessment and mitigation techniques
• Familiarity with AML/KYC compliance tools and systems
• Strategic planning and execution
• Interpersonal skills for stakeholder engagement

Benefits

• Competitive base salary and performance-based annual bonus, with total compensation reflecting Vice President level at JP Morgan Chase
• Comprehensive health, dental, and vision insurance plans with employer contributions
• 401(k) retirement savings plan with generous company matching up to 6% of eligible compensation
• Paid time off including vacation, sick days, and parental leave, plus firm holidays
• Professional development opportunities through JP Morgan's internal training programs and tuition reimbursement for advanced education
• Wellness programs including gym memberships, mental health support, and employee assistance services
• Flexible work arrangements, including hybrid options for New York-based roles
• Stock purchase plan allowing employees to buy JP Morgan Chase shares at a discount

JP Morgan Chase is an equal opportunity employer.