Bring your expertise to JPMorganChase (the firm). 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, Conduct and Operational Risk Management Lead Vice President within the Securities Services division of JPMorgan’s Commercial & Investment Bank, you will play a pivotal role in safeguarding the firm’s reputation and operational integrity. You will work within the second line of defense, providing independent oversight, challenge, and subject matter expertise in compliance, conduct, and operational risk management. This role will also involve you supporting the Securities Services business, which delivers global custody, fund accounting, transfer agency, depositary services, liquidity management, agency securities lending, collateral services, and depositary receipts to institutional clients.
Reporting to a Securities Services CCOR team lead, you will be responsible for executing the compliance and risk management program, advising on regulatory and operational risk developments, and partnering with business and control functions to ensure robust risk management practices. You will have the opportunity to make a meaningful impact by driving risk initiatives, supporting regulatory change, and fostering a culture of integrity and excellence.
Job responsibilities
- Lead risk assessments, change management, and implementation of evolving standards from agencies such as the OCC, Federal Reserve, DOL, SEC, and IRS.
- Design and guide monitoring, testing, and risk assessment programs to identify, measure, monitor, manage, report, and mitigate compliance, conduct, and operational risks.
- Drive innovation in compliance and risk processes, including adoption of industry best practices, process enhancements, and technology-enabled solutions to improve efficiency and client outcomes.
- Serve as a strategic subject matter resource and regional lead for compliance and operational risk, including oversight of key regulations (e.g., fiduciary OCC Regulation 9, ERISA, Investment Advisers Act of 1940, conflicts of interest, and related banking requirements).
- Participate in and support regulatory examinations, internal audits, and independent testing programs; coordinate responses, act as a liaison with regulators and auditors, and drive issue identification, root cause analysis, remediation, and validation of corrective actions.
- Provide actionable, strategic guidance and advisory support to senior leadership, business units, and governance forums on regulatory developments, emerging risks, enforcement trends, conflicts management, and best practices.
- Partner closely with cross-functional stakeholders—including Legal, business lines, first-line risk/oversight teams, and senior governance committees—to integrate robust compliance and risk practices into new products, change management, and day-to-day operations.
- Lead and mentor teams of compliance, risk, and control professionals; foster a culture of excellence through training, ethical standards, and collaboration with related functions such as AML/BSA/OFAC.
- Direct the development, implementation, and governance of comprehensive compliance policies, procedures, operational risk frameworks, and risk management programs across Securities Services products.
- Identify more effective and efficient team practices and stay up-to-date with changes in regulations and industry trends.
Required qualifications, capabilities and skills
- Bachelor’s degree or equivalent work experience required;
- 7+ years of progressive experience in financial services compliance, risk management, control, or related fields within a major financial institution.
- Foundational understanding of Securities Services businesses, asset management, or related institutional environments.
- Experience with fiduciary and/or banking regulations, including OCC Regulation 9, ERISA, Investment Advisers Act of 1940, and related standards.
- Knowledge of operational risk frameworks, including KRIs, RCSAs, KPIs, control testing, audit management, KYC protocols, vendor risk, business continuity, and issue/escalation management.
- Demonstrated intellectual curiosity, capability to learn quickly, and ability to manage multiple demands.
- Strong written and oral communication skills, with the ability to provide credible advice and challenge.
- Self-starter who can drive and own their own deliverables whilst continuing to collaborate with the broader team.
- Comfortable with engaging with all levels of the organization on risk and control matters.
Preferred qualifications, capabilities, and skills
- Advanced degree preferred.
- Prior experience in Corporate Investment Bank (CIB), Securities Services, or similar environments.
- Familiarity with global assets, investment management operations, institutional fiduciary oversight, and emerging areas such as digital assets, data, AI, and crypto contexts.
- Demonstrated ability to mentor professionals and influence senior stakeholders through executive communication, diplomacy, and collaborative problem-solving.
- Track record of exposure to regulatory exams/audits end-to-end, implementing regulatory change, and driving remediation in complex products.
- Strategic mindset with a client-focused approach to delivering compliant, efficient, and innovative outcomes in dynamic regulatory landscapes.