CCOR Compliance Regulatory Exam Manager VP at JPMorgan Chase Bank, N.A. in New York, New York

Job Description:

JPMorgan Chase

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in financial services for consumers and small business, commercial banking, investment banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at http://www.jpmorganchase.com/.

Our Compliance Function

With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practices and employee development to ensure goals are delivered.

Description

The Asset & Wealth Management ("AWM") Regulatory Exam Management team handles regulatory examinations and other engagements conducted by a variety of banking and securities regulators, including the FRB, OCC, FDIC, SEC and State regulators. This position focuses on regulatory examinations by regulators, such as the FRB, OCC and SEC, of the firm's Asset Management and Private Bank businesses within the AWM Line of Business. The position is located in New York City.

Job Responsibilities

• Coordinate examinations conducted by regulators, either onsite or remotely, covering a variety of topics, businesses and functions related to AWM.
• Provide strategic advice and regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.
• Communicate extensively (orally and in writing) and develop effective relationships with regulators.
• Establish and develop effective relationships within Compliance and with the Business, Operations, Regulatory Reporting, Technology, Oversight and Controls, Legal and Internal Audit.
• Work with the relevant businesses and functions to obtain information / documentation to respond to regulatory requests.
• Analyze, digest and summarize information / documentation responsive to regulatory requests.
• Prepare business personnel for meetings with regulators.
• Identify mitigating facts and circumstances (as applicable) to rebut issues identified during examinations or other engagements.
• Prepare substantive written responses to regulatory requests and examination reports, which often require the ability to apply the applicable laws and regulations at issue to the facts of each matter.
• Communicate with the relevant businesses and functions regarding regulatory issues, findings by the regulators, and remediation related to those findings.
• Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.
• Some travel, including international, required.

Qualifications

The ideal candidate will have five or more years' experience at a large financial institution, regulator, or law firm performing legal, regulatory supervision/exam management, or regulatory enforcement functions.

• BA/BS, or a similar degree, required.
• JD preferred, but not required.
• Experience working for a regulator desirable but not required.
• Ability to learn new areas while supporting them.
• Excellent interpersonal, leadership, organizational and communication (oral and written) skills.
• Client service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
• Project management skills and ability to manage multiple workstreams involving different partners and groups.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
• Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
• A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
• Proficient in Word, Excel and PowerPoint.

JPMorgan Chase & Co. is an equal opportunity and affirmative action employer M/F/Disability/Veteran.

JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

Equal Opportunity Employer/Disability/Veterans