Compliance Risk Management Senior Officer - Wealth Management Solutions - Associate
JPMorgan Chase & Co. · Posted Nov 5, 2026
- New York, New York, United States
- Senior
- 3+ years
Provide compliance advisory coverage for Wealth Management equities and fixed income trading activities, advise on regulatory requirements, maintain and enhance policies, participate in risk assessments, identify control gaps, support regulatory examinations, partner with surveillance and legal functions, conduct reviews and special projects, assist with implementation of regulatory developments.
Compensation
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, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions.
Responsibilities
- Provide compliance advisory coverage for Wealth Management equities and fixed income trading activities.
- Advise on regulatory requirements impacting trading businesses, including best execution, trade reporting, sales and trading conduct, and distribution of securities.
- Maintain and enhance policies, procedures, and standards governing trading-related activities.
- Participate in risk assessments and challenge the identification and management of regulatory and compliance risks.
- Identify control gaps, determine root causes of issues, and partner with stakeholders to develop and implement corrective actions.
Requirements
- Bachelor's degree required
- Nice to have: Experience supporting equities and fixed income trading businesses
- Nice to have: Experience interacting with regulators, auditors, and control partners
- Nice to have: Knowledge of primary market activities