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Compliance Risk Management Director (Retail Alternative Investment Funds) - Executive DirectorJPMorgan Chase • Columbus, Ohio, United States
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Compliance Risk Management Director (Retail Alternative Investment Funds) - Executive Director

JPMorgan Chase
  • US
    Columbus, Ohio, United States
  • US
    Columbus, Ohio, United States
Jetzt Bewerben

Über

Compliance Executive Director For Registered Alternative Investments Funds

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 Executive Director for Registered Alternative Investments Funds within the Asset Management Compliance team, you will serve as the Chief Compliance Officer (CCO) of a growing platform of interval and tender offer funds in private markets investments. You will lead regulatory and compliance risk oversight for complex and dynamic fund structures, working closely with the Board and cross-functional stakeholders.

You will join a team of seasoned Compliance Conduct and Operational Risk (CCOR) professionals supporting J.P. Morgan's Asset Management business on a collaborative team where precision, influence, and strategic thinking matter. You will need to thrive in a complex environment, communicate with clarity, and execute with purpose. You will be part of a mission-driven team that values curiosity, accountability, and enterprise perspective.

Job Responsibilities:

  • Serve as Chief Compliance Officer of registered investment funds in private equity and private credit strategies and advise the investment groups responsible for the fund's strategies.
  • Advise on regulatory matters related to fund formation, valuation, investment guidelines, conflicts, and disclosures.
  • Lead compliance program design and operation under Rule 38a-1, including monitoring, testing, and reporting.
  • Prepare and present Board-facing reports and updates related to program effectiveness and material compliance matters.
  • Collaborate with legal, risk, product, platform, and operations teams to identify and resolve complex regulatory issues.
  • Identify, escalate, and respond to emerging compliance risks or control remediation in fund operations.
  • Maintain working knowledge of SEC rules applicable to registered closed-end funds, including valuation practices, redemption offerings, and affiliated transaction no-action and exemptive relief.
  • Conduct the annual compliance review process and report of findings.
  • Build and sustain strong partnerships with internal stakeholders and the Board, aligning compliance oversight with business objectives.
  • Track emerging regulatory developments and assess their impact on fund operations and strategy.
  • Mentor and support colleagues with less experience in alternative fund structures or compliance leadership.

Required Qualifications, Capabilities and Skills:

  • 10+ years of experience in regulatory compliance, legal, or risk management roles within asset management or financial services.
  • Expertise in SEC regulations applicable to registered investment companies, particularly closed-end interval or tender-offer funds, and the Investment Advisers Act of 1940.
  • Proven ability to communicate complex regulatory issues clearly in writing and verbally to senior audiences.
  • Strong working knowledge of fund governance, including preparation of Board materials and annual compliance reporting.
  • Ability to operate independently and lead cross-functional initiatives with limited oversight.
  • Track record of professional judgment in ambiguous or novel regulatory situations.
  • Bachelor's degree or higher in law, finance, or related field.
  • Demonstrated integrity, accountability, and professional maturity in regulated environments.

Preferred Qualifications, Capabilities and Skills:

  • Experience as Chief Compliance Officer of a registered investment company or experience serving in a designated compliance or control function leadership capacity.
  • Subject matter expertise in private equity or private credit within fund structures.
  • Experience reviewing or overseeing valuation practices for illiquid or private assets, liquidity management, and affiliate oversight frameworks.
  • Participation in regulatory exams related to fund compliance.
  • Strong presentation skills and experience interacting with fund Boards or formal governance bodies.
  • Operational familiarity with compliance program testing and documentation processes and systems.
  • Commitment to inclusive leadership and supporting a culture of growth and curiosity.
  • Columbus, Ohio, United States

Sprachkenntnisse

  • English
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