Bring your expertise to JPMorgan Chase.  As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Compliance Risk Management Lead within Compliance Conduct and Operational Risk (CCOR), you will act as an independent second line of defense and challenge function in the equities compliance team, focusing on the Electronic Sales and Trading businesses within the Corporate & Investment Bank line of business (LOB).  You will be required to closely interact with the Line of Business and global/regional and functional CCOR teams and key stakeholders, including Legal, Business Control Managers, Technology, Internal Audit, Finance & Business Management and other Control functions. Additionally, you will need to have experience in Compliance, as well as familiarity with regulatory best practices.

Job Responsibilities

Identify compliance and conduct risks inherent within the equities business related to electronic trading, including the firms alternative trading systems, algorithmic and smart order routing trading, indications of interest, market making, and 15c3-5.Act as independent second line of defense and challenge function to equities markets and electronic sales and trading businesses, raising issues for the front office to remediate through action plans and partnering with the front office process owners in control design, control evaluation, and issue management of compliance and conduct risks.Collaborate with legal, regulatory engagement, the business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests. Collaborate with the business, Testing Center of Excellence, and other lines of businesses for the annual 15c3-5 certification.Build and maintaining strong client relationships with front office personnel, business management, control managers, legal, technology and business aligned Corporate Functions.Work proactively with the front office to maintain, enhance and develop an effective control environment and supervisory program.Manage projects independently necessary to support initiatives both within the CCOR and across the firm globally.   Draft and maintain Compliance policies, procedures and bulletins reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.Design and deliver training to support compliance with applicable regulatory obligations, the firm’s compliance-related policies and procedures and industry best practices. Assist the team in identifying and escalating issues through formal escalation channels and facilitating timely and effective resolutions.Interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, compliance risk assessments, project management and formulating consistent approaches on corporate regulatory policies.

Required qualifications, capabilities, and skills

7+ years experience within an investment bank, law firm or regulator covering electronic trading.Extensive knowledge of SRO and SEC rules and regulations relating to equities compliance (e.g. 15c3-5, Reg ATS, Reg NMS, Regulation SHO, CAT, Transaction Reporting, Best Execution), Sales and Trading.Ability to work both independently and as a core team member.Excellent research, analysis, written and interpersonal and communication skills.Detail-oriented; possess a high-level of attention to detail and quality for their work product.Bachelor's degree required.