US Equities & Trading Control Manager - Vice President

Location: New York, NY, United States

Job Family: Control Officers

About the Role

At JP Morgan Chase, we are a leading global financial services firm with a proud history of innovation and client focus. As the US Equities & Trading Control Manager - Vice President, you will play a pivotal role in the US Business Control Management Equities Team, serving as a trusted advisor to safeguard our equities trading operations. Based in our state-of-the-art New York office, you will oversee the design, implementation, and monitoring of control frameworks that mitigate risks in a dynamic, high-volume trading environment. This position demands a strategic mindset to align controls with business objectives while ensuring unwavering compliance with stringent regulations from the SEC, FINRA, and other authorities. Your expertise will directly contribute to maintaining JP Morgan's reputation for integrity and operational excellence in the competitive financial markets. In this role, you will lead efforts to identify and address potential risks across pre-trade validations, real-time surveillance, and post-trade reconciliations, leveraging advanced analytics and collaboration with trading desks and technology teams. You will conduct thorough assessments of control effectiveness, drive enhancements to surveillance tools, and prepare comprehensive reports for senior leadership and regulators. By fostering a proactive control culture, you will empower teams to navigate complex market conditions, from algorithmic trading to volatility events, while integrating JP Morgan's firm-wide risk management principles. This is an opportunity to influence strategic initiatives that protect billions in assets and support our clients' success in US equities. We value professionals who thrive in collaborative, high-stakes settings and are committed to continuous improvement. Joining JP Morgan Chase means access to unparalleled resources, mentorship from industry leaders, and a platform to advance your career in financial controls. If you have a passion for risk management and a deep understanding of equities trading, this Vice President-level role offers the chance to make a lasting impact on one of the world's most respected financial institutions.

Key Responsibilities

• Serve as a trusted control advisor to the US Business Control Management Equities Team, providing expert guidance on risk identification and mitigation strategies
• Develop and implement robust control frameworks for US equities trading activities to ensure compliance with internal policies and external regulations
• Conduct regular risk assessments, gap analyses, and control testing for trading operations, including pre-trade, real-time, and post-trade controls
• Collaborate with front-office trading desks, middle-office operations, and senior management to enhance control processes and address emerging risks
• Monitor and report on key risk indicators (KRIs) and control effectiveness, escalating issues to executive leadership as needed
• Lead initiatives to improve regulatory compliance, including preparation for audits, examinations, and regulatory interactions with bodies like the SEC and FINRA
• Foster a strong control culture by training teams on best practices and integrating risk management into daily equities trading workflows
• Analyze trading data and system outputs to detect anomalies, prevent market abuse, and ensure adherence to JP Morgan's Code of Conduct
• Partner with technology teams to optimize trading systems and surveillance tools for better risk oversight
• Contribute to firm-wide control enhancement projects, sharing insights from the equities business to influence broader risk strategies

Required Qualifications

• Bachelor's degree in Finance, Business Administration, Economics, or a related field
• Minimum of 7-10 years of experience in risk management, control functions, or compliance within the financial services industry, preferably in equities trading
• Deep knowledge of US equities markets, trading regulations, and control frameworks such as those from SEC, FINRA, and Dodd-Frank
• Proven track record in identifying, assessing, and mitigating operational and financial risks in a trading environment
• Experience with regulatory reporting, audit processes, and interaction with senior stakeholders in a large financial institution
• Strong analytical skills with the ability to interpret complex financial data and trading systems
• Professional certifications such as CFA, FRM, or CPA are highly desirable

Preferred Qualifications

• Advanced degree (MBA or Master's in Finance) from an accredited institution
• Prior experience at a major investment bank like JP Morgan Chase in equities or trading control roles
• Familiarity with JP Morgan's internal control systems and risk management tools
• Leadership experience managing cross-functional teams in a high-pressure trading floor setting
• Knowledge of emerging risks in electronic trading, algorithmic trading, and market microstructure

Required Skills

• Expertise in US equities trading mechanics and market regulations
• Proficiency in risk assessment and control testing methodologies
• Strong analytical and quantitative skills for data interpretation
• Knowledge of financial systems like Bloomberg, Tradeweb, or internal JP Morgan platforms
• Excellent communication and stakeholder management abilities
• Leadership and team collaboration skills in fast-paced environments
• Attention to detail for regulatory compliance and audit readiness
• Problem-solving acumen for complex trading risk scenarios
• Familiarity with SQL, Python, or Excel for data analysis in finance
• Understanding of operational resilience and business continuity planning
• Interpersonal skills for advising senior executives
• Adaptability to evolving market conditions and regulatory changes
• Ethical judgment in high-stakes financial decision-making
• Project management skills for control implementation initiatives

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 contributions
• Paid time off including vacation, sick days, and parental leave
• Professional development opportunities through JP Morgan's internal training programs and tuition reimbursement
• Wellness programs including gym memberships, mental health support, and employee assistance services
• Flexible work arrangements and hybrid office options in New York
• Stock purchase plan and employee stock ownership opportunities

JP Morgan Chase is an equal opportunity employer.