Location: New York, NY, United States

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-Vice President within J.P. Morgan Securities LLC (JPMS LLC), you will provide advisory Compliance coverage for structured notes and OTC derivatives within the Private Bank. You will support business activity subject to the rules and requirements of the CFTC, SEC, NFA, and FINRA, and focuses on delivering timely, practical guidance to the Front Office and control partners while strengthening governance, supervisory frameworks, and exam readiness across overlapping lines of business and other broker-dealer obligations.

 

Job Responsibilities

• Provide day-to-day advisory support to Private Bank stakeholders on structured notes and OTC derivatives, including escalations, issue triage, and interpretive guidance.
• Advise on requirements applicable to activities spanning broker-dealer (FINRA/SEC) regimes, and help translate those obligations into implementable controls and procedures.

• Support complex product distribution controls across the lifecycle, including client on-boarding and eligibility considerations; sales practices and supervision expectations; and review of structured note term sheets, marketing materials and training content. 

   

• Provide advisory input into OTC derivatives documentation and related client-facing materials (in coordination with Legal and documentation teams)
• Partner with Supervision and monitoring teams to enhance surveillance and monitoring for complex products and derivatives activity (e.g., concentration, roll activity, unwind patterns, outliers, exceptions, and thematic risk indicators).
• Participate in regulatory examinations and inquiries (CFTC, SEC, NFA, FINRA), including evidence gathering, drafting responses, and tracking commitments through closure.
• Contribute to compliance risk assessments, policy/procedure updates, training, and governance forums (e.g., new product approval / complex products committees).
• Support issue management and remediation, including root cause analysis, action plan design, and validation of sustainable fixes.
• Monitor and assess regulatory developments impacting structured notes and OTC derivatives; develop guidance and targeted training to support implementation.

 

Required qualifications, capabilities and skills

• Bachelors degree (or equivalent experience).
• 3+ years of experience in Compliance advisory, or related Legal/Risk/Audit roles with strong complex products exposure.
• Working knowledge of structured notes and OTC derivatives and the associated distribution, conduct, and supervision risks in a broker-dealer context.
• Demonstrated ability to navigate overlapping regulatory regimes and deliver clear, risk-based advice.
• Excellent written and verbal communication skills, including drafting guidance, procedures, and training materials.

 

Preferred qualifications, capabilities and skills

• Familiarity with CFTC Swap Dealer and/or SEC Security-based Swap Dealer requirements as they relate to OTC derivatives
• Knowledge of private wealth distribution models and complex product governance (new product approval, eligibility frameworks, exception management).
• Experience partnering with Technology/Operations on workflow controls and evidence capture; comfort leveraging data to identify themes and drive mitigants.

 

 

 

Exciting role for a Compliance Risk Management lead providing coverage for structured notes and OTC derivatives with the Private Bank.