Equities Control Manager - Vice President
New York, NY, USA
Join us to make a global impact in a fast-paced, dynamic environment. As part of our Equities Business Control Management team, you’ll collaborate with diverse partners to drive operational risk excellence and help shape our response to an evolving regulatory landscape. Your expertise will help us maintain high standards and deliver meaningful results.
As a Vice President in Equities Business Control Management, you will provide critical guidance and oversight to ensure JPMorgan Chase maintains robust regulatory compliance. You’ll work with a collaborative team, gaining broad exposure across compliance domains and engaging with stakeholders such as trading supervisors and product managers. Your role will focus on maintaining a disciplined control environment, identifying and escalating issues, and supporting timely remediation efforts.
Job Responsibilities
- Develop, draft, and implement policies and procedures to ensure compliance with regulatory requirements
- Research and analyze evolving regulatory frameworks to align processes with current standards
- Serve as a subject matter expert on rules and regulations, providing guidance across teams
- Engage with trading, product, account management, and compliance teams to address real-time issues
- Triage and resolve compliance-related questions and incidents efficiently
- Collaborate with outside counsel and regulators regarding supervisory frameworks
- Lead cross-functional initiatives to enhance supervisory controls
- Update team leads and internal decision-makers on regulatory compliance developments
- Maintain a disciplined end-to-end control environment and escalate issues with urgency
- Support top-down risk analysis, real-time issue detection, and root cause remediation
- Partner with the business for timely remediation of identified issues
Required Qualifications, Capabilities, and Skills
- Bachelor’s degree or equivalent experience
- Minimum 7 years of professional experience in financial services, with expertise in controls, audit, quality assurance, operational risk management, compliance, or a related business function
- Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint)
- Strong written and verbal communication skills, with the ability to distill complex information and interact effectively with senior management
- Advanced analytical thinking, systematic problem-solving abilities, and attention to detail
- Demonstrated organizational skills and ability to manage competing priorities in a fast-paced environment
- Collaborative approach with effective interaction across teams and global time zones
- Adaptability and openness to learning from feedback and new challenges
Preferred Qualifications, Capabilities, and Skills
- FINRA Certifications: SIE, Series 7, Series 57, Series 63, Series 24, Series 4
- Basic understanding of the trade life cycle, equity, and markets
- Prior front office exposure
- Experience with data analysis or familiarity with coding
**To be eligible for this role, you must be authorized to work in the United States. We do not offer any type of employment-based immigration sponsorship for this role. Likewise, JPMorgan Chase & Co. will not provide any assistance or sign any documentation in support of any other form of immigration sponsorship or benefit, including optional practical training (OPT) or curricular practical training (CPT).**
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. 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 & Co. is an Equal Opportunity Employer, including Disability/Veterans
J.P. Morgan’s Commercial & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.
Lead regulatory compliance and operational risk initiatives for the Equities Business Control Management team.