AWM Fund Compliance - Assistant Vice President

's subject matter expert for specific regulations in executing the following Core Practices: Governance and Oversight, Regulatory Management, Policies and Procedures, Training and Awareness, Monitoring and Testing, Issue Management, Risk Assessment and Reporting and Risk Control Self-Assessment.

Job Responsibilities

• Perform analysis to identify major issues and actionable opportunities, design potential solutions and quantify bottom-line financial impact

• Develop management, stakeholder and regulator presentations in order to communicate issues, recommendations and status of initiatives

• Identify potential concerns and control issues, determine the root cause of issues and ensure stakeholders develop and implement appropriate corrective actions

• Conduct ongoing compliance monitoring activities and participate in special projects as required

• Challenge the status quo by providing critical and analytical thinking and strong decision making capabilities to identify problems, propose creative solutions and escalate as necessary

• Develop project plans and document and analyze business systems/processes

Required Qualifications, Capabilities and Skills

• Masters/Bachelor's degree

• 10+ years of relevant experience in Risk, Compliance or Controls

• Familiarity with Regulatory and/or Audit best practices

• Strong analytical skills

• Exceptional written and oral executive-level communications skills

• Ability to partner with stakeholders on projects and confidently interact with business partners and offer credible challenges as necessary

• Detail-oriented and strong attention to detail

• Ability to work both independently and as a core team member

• Proficient in MS Suite of products

Preferred Qualifications, Capabilities and Skills

• Knowledge of the regulations governing mutual funds, private funds (including 3c-7 funds)

• Experience with the Investment Company Act of 1940, the Investment Advisers Act of 1940 and other SEC rules

• Experience having regulatory interactions with the SEC, FINRA, and OCC is a plus

• Knowledge of fund guideline monitoring best practices

• Exceptional ability to "issue spot" and to credibly challenge our business partners

• Ability to present with confidence to senior leaders

• Experience with creating Board materials and other governance documents, including policies and procedures

Working Hours: 1:30 pm to 10:30 pm India Hours

ABOUT US

JPMorganChase, 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. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

ABOUT THE TEAM

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we're setting our businesses, clients, customers and employees up for success.