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CCOR - Compliance Manager - Vice President

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JPMorgan Chase & CoNew York, NY
Full-time
  • We currently have an opening in the J.P. Morgan Asset Management (JPMAM) Compliance Department for a Compliance Manager supporting 55ip, an innovative financial technology company recently acquired by JPMAM. 55i LLC is the SEC registered investment advisor through which 55ip provides a tax-smart investment strategy engine to financial advisers and wealth management enterprises, including wrap fee programs.
  • With over $3 billion in assets and fast growing, 55ip is becoming the industry standard of automated tax-smart investing.
  • 55ip capabilities are actively engaged across Asset Management and Wealth Management, as well as contracted out to external clients of the platform.
  • The Compliance Manager will support 55ip with responsibility for delivering the mandated Compliance Program for the RIA under Advisers Act Rule 206(4)-7, including on-going independent assessment of the risk of the business activities of 55ip, covering New Business Initiatives, advising on regulatory developments, development of Compliance policies and bulletins, delivering training, maintenance of the Compliance manual and other responsibilities supporting the RIA's Chief Compliance Officer.
  • In addition to supporting the integration of compliance risk management oversight activities for 55ip to JPMAM, the responsible Compliance Officer will conduct potential policy violation investigations, plan and perform monitoring, and plan and direct testing and surveillance activities for 55ip.
  • The responsible Compliance Officer will manage relationships with senior level business executives, legal, risk, operations, control and business management partners, capably managing multiple projects and tasks with the right urgency and flexibility to prioritize and re-prioritize as needed.
  • The successful candidate will be entrepreneurial, curious, thoughtful, agile, and open to professional growth and new responsibilities in the planning and execution of the Compliance program for the RIA and business group.
  • The successful candidate will be equally committed to delivering as an individual contributor and as a member of the team working across JPMAM lines of business and the Compliance, Conduct and Operational Risk (CCOR) organization.
  • 5-8 years investment adviser Compliance experience or related Legal, Audit, Controls or Operational experience
  • Proficient with RIA requirements pursuant to the Investment Advisers Act of 1940
  • Experience with monitoring and testing, investment management risk oversight, Separately Managed Account/Wrap Fee Programs, financial technology, quantitative investing a plus.

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