Compliance- Wealth Management Solutions (Private Bank) - Vice President

Location: Tampa, FL, United States

Job Family: CCOR LOB/CF/Country Coverage

About the Role

JPMorgan Chase & Co. is a leading global financial services firm with assets of $3.9 trillion and operations worldwide. As a Vice President in Compliance for Wealth Management Solutions within the Private Bank, you will play a pivotal role in ensuring that our marketing efforts responsibly drive business growth for high-net-worth clients. This position is part of the CCOR (Corporate & Investment Bank Compliance, Conduct & Operational Risk) Line of Business/CF/Country Coverage team, based in our Tampa, FL office. You will join a dynamic marketing compliance team dedicated to supporting the Private Bank's unique offerings in wealth management, including investment advisory, lending, and customized financial solutions. In this role, you will partner closely with marketing, product, and legal teams to review and approve a wide range of materials, from client presentations to digital campaigns, ensuring adherence to stringent regulations like those from the SEC and FINRA. Your expertise will help mitigate risks associated with innovative wealth management products, while promoting ethical practices that align with JPMorgan Chase's commitment to integrity and client trust. You will also monitor evolving regulatory landscapes and contribute to policy development, enabling the Private Bank to navigate complex compliance challenges in a competitive industry. This opportunity is ideal for a seasoned compliance professional passionate about the intersection of finance and marketing. At JPMorgan Chase, we value diverse perspectives and offer robust support for career growth, including access to world-class training and global networks. Join us in Tampa to help shape the future of responsible wealth management at one of the world's most admired financial institutions.

Key Responsibilities

• Review and approve marketing materials, communications, and promotional content for the Private Bank to ensure compliance with federal and state regulations
• Provide guidance to business partners in Wealth Management Solutions on responsible marketing practices and risk mitigation strategies
• Conduct risk assessments and gap analyses for new marketing initiatives and product launches
• Collaborate with legal, risk, and business teams to develop and implement compliance policies specific to private banking
• Monitor regulatory changes from SEC, FINRA, and other bodies, and advise on their impact to JP Morgan Chase's Private Bank operations
• Support internal audits and regulatory examinations by preparing documentation and responding to inquiries
• Train and educate marketing and sales teams on compliance requirements and best practices
• Identify and escalate potential compliance risks or violations in a timely manner
• Contribute to the enhancement of compliance frameworks for digital and innovative wealth management solutions
• Foster a culture of compliance within the Private Bank to support sustainable business growth

Required Qualifications

• Bachelor's degree in Finance, Law, Business Administration, or a related field
• Minimum of 7 years of experience in compliance, regulatory affairs, or marketing oversight within the financial services industry
• In-depth knowledge of SEC, FINRA, and other relevant regulatory requirements for wealth management and private banking
• Proven track record in reviewing and approving marketing materials for high-net-worth clients
• Strong understanding of anti-money laundering (AML) and know-your-customer (KYC) regulations
• Experience working in a global financial institution with exposure to wealth management solutions
• Professional certifications such as CAMS, CRCM, or equivalent compliance credentials

Preferred Qualifications

• Advanced degree (MBA or JD) with a focus on financial regulation
• Prior experience at a bulge-bracket bank like JP Morgan Chase in private banking compliance
• Familiarity with digital marketing compliance in wealth management
• Experience leading cross-functional teams on regulatory projects
• Knowledge of international compliance standards for cross-border private banking

Required Skills

• Regulatory compliance expertise
• Marketing material review and approval
• Risk assessment and management
• Knowledge of SEC and FINRA rules
• AML and KYC compliance
• Analytical and problem-solving skills
• Attention to detail
• Communication and stakeholder management
• Project management abilities
• Regulatory interpretation and advisory
• Team collaboration and leadership
• Digital marketing compliance
• Financial product knowledge
• Ethical decision-making
• Adaptability to regulatory changes

Benefits

• Comprehensive health, dental, and vision insurance plans with employer contributions
• 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 advanced education
• Employee stock purchase plan and performance-based bonuses
• Wellness programs including gym memberships and mental health support
• Flexible work arrangements and hybrid options in Tampa, FL
• Access to JP Morgan Chase's global mobility and career advancement opportunities

JP Morgan Chase is an equal opportunity employer.