Wealth Management CCO - Managing Director
New York City, NY, USA | J.P. Morgan
Functions:Financial Services Professional
Job Description:65 people have viewed this job
Managing the Regulatory Compliance program for USWM including the Compliance plan, risk assessments, monitoring and advisory activities to ensure compliance with applicable FINRA, SEC and OCC regulations.
Input into New Business Initiative Approvals involving business operations, assessing Compliance/Regulatory issues/impact of proposed new products and services.
Keeping abreast of industry trends and “hot issues” and anticipate areas of focus and attention of regulators, keeping business management and Compliance colleagues informed.
Partner with the heads of CCB Compliance testing, training and exam management on USWM topics and deliverables.
Participating in and/or managing compliance projects; and timely escalation of significant control and compliance issues to management.
Manage a team of compliance professionals
15 years of experience either as a regulator or in-house compliance, audit and/or risk officer at a large bank with expertise in Consumer & Institutional Brokerage Services.
FINRA Series 7 and 63 licenses required for the position.Series, 9, 10 and 14 a plus.
Expert knowledge of the FINRA, SEC and other legal and regulatory requirements applicable to the USWM businesses.
Experience working closely with federal banking regulators on regulatory exams.
Enterprise compliance and regulatory management experience.
Ability to build relationships with Sr. Management and business partners. Excellent written and presentation skills.
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