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t & Wealth Management Marketing Compliance team ("MAC"), performing "independent" oversight, coverage, advice, and assessment of compliance and regulatory risks related to marketing activities, processes, and controls across J.P. Morgan Wealth Management businesses. Your role will involve advisory, monitoring/testing, risk assessment & oversight, and policies & education/training. This role provides an opportunity to grow with the firm, anticipate new and emerging risks, and use your expert judgement to solve challenges that impact our company, customers, and communities.
Job Responsibilities
Advise on strategic AWM marketing initiatives to help ensure business controls and procedures reasonably meet regulatory/industry standards-in addition to "ad hoc" guidance on specific marketing related matters;
Provide ongoing compliance advice and guidance to line of business functions, marketing and control partners on a broad array of marketing policies and regulations (including communications-related FINRA, SEC, OCC and DOL rules).
Perform Monitoring activities for key Wealth Management marketing initiatives (e.g. social media, digital, product disclosures) to ensure adequate business controls against policy, procedure and regulatory requirements.
Own and/or create identify compliance-related risks for Wealth Management marketing practices, processes to measure the sufficiency of controls, and report any observations, findings and final results to key business partners and managers.
Assist in the development and delivery of marketing-related education, training and compliance bulletins for targeted groups (e.g. Digital, Marketing, Supervisors, Front-office, Sales and Trading Teams, etc.)
Identify compliance and regulatory requirements/standards/trends to ensure they are properly reflected in business policies, procedures, controls and training.
Assist in development of monitoring program, including implementing and conducting various targeted reviews, to ensure that content, disclosures, and outlets for marketing & communications adhere to existing requirements/standards.
Conduct industry and regulatory research on best practices and standards that relate to new business initiatives (e.g. Digital, Social Media, and other marketing initiatives).
Coordinate with Legal, Risk and other Compliance teams to help ensure that the marketing practices and guidance remains consistent across lines of businesses.
Process FINRA Advertising Department filings via. "AREF" system for all applicable business "retail communications" approved by an appropriate registered principal, per FINRA Rule 2210.
Required qualifications, capabilities, and skills
5+ years previous investment product marketing experience as compliance/legal, control, risk or supervisory professional at a major law firm, regulator, fund or financial institution.
Working knowledge of FINRA (2210/2220/2214), SEC (482, Investment Company Act, Investment Adviser's Act) OCC marketing and communication rules, requirements and industry standards.
Working knowledge of Wealth Management investment business, its products and services across representatives, digital, social media, paid media, etc.
Excellent interpersonal and communications skills.
Team Player with the ability to work independently
Proven track record in building good working relationships
Strong attention to detail and analytical skills
Pro-active, motivated and enthusiastic
Good knowledge of Microsoft Office products including Excel, Access, Word, PowerPoint.
Strong verbal, written and interpersonal skills and the ability to liaise with all levels of management
ABOUT US
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 offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
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.
JPMorgan Chase is an Equal Opportunity Employer, including Disability/Veterans
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.
Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm's needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.