Compliance, Vice President – JPMorgan Asset Management (Canada) Inc. (“JPMAMC”)
Deputy Chief Compliance Officer (Canada)
Bring your expertise to JPMorgan Asset Management. As part of Risk Management and Compliance, you are at the center of keeping the firm strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgment to solve real-world challenges that impact our company, customers, and communities.
As a Vice President, Deputy Chief Compliance Officer (Canada) within JPMorgan’s Asset Management Canada, you will support the Chief Compliance Officer in delivering a robust compliance program across a growing Canadian asset management business. You will provide independent compliance and operational risk oversight and trusted advisory support across registrations and filings, regulatory engagement, product and distribution compliance, monitoring and testing, governance reporting, and policy implementation. You will partner closely with business leaders and cross-functional stakeholders to drive clear, practical outcomes in a dynamic and highly regulated environment.
Job Responsibilities
- Deputy coverage and leadership support: Act as the deputy to the Canada Chief Compliance Officer, providing day-to-day compliance leadership, escalation support, and continuity of coverage across Canadian asset management activities.
- Licensing, registrations, and regulatory submissions: Oversee and coordinate employee and firm securities licensing/registrations and related submissions (including renewals, maintenance, exemptive relief where applicable), partnering with internal stakeholders and outside counsel and ensuring appropriate compliance review and sign-off processes.
- Regulatory engagement and exam management: Serve as a key point of contact for regulators and internal stakeholders on regulatory exams, inquiries, desk reviews, and consultations—driving disciplined response management and providing strategic guidance on regulatory engagement.
- Advisory for business, products, and distribution: Provide compliance advisory support across the business, including new or novel matters involving products, distribution channels, sales/marketing practices, client service, and operational processes; identify, escalate, and help remediate emerging compliance and conduct risks.
- Monitoring, testing, and risk assessments: Support the Canadian monitoring and testing plan and periodic risk assessments, partnering with relevant stakeholders to set focus areas, execute reviews, document results, and drive sustainable control enhancements.
- Policies, procedures, and regulatory change implementation: Maintain and enhance Canadian compliance policies, procedures, and desk references; interpret regulatory developments and drive coordinated implementation of new requirements across business activities.
- Governance, reporting, and disclosures: Prepare and support governance materials and reporting (including periodic updates and annual reporting) and oversee the development and maintenance of key client disclosures (e.g., conflicts-related disclosures).
- Client due diligence and institutional support: Support compliance input to client due diligence requests and meetings, including coordination of appropriate internal reviews and timely, accurate responses aligned to firm standards.
- Training and compliance communications: Develop, maintain, and deliver compliance training and bulletins for relevant teams, including oversight of new content and periodic firm communications.
- Program partnership and oversight (cross-border/third parties/financial crime): Partner with relevant horizontal and regional programs (e.g., cross-border compliance, AML/sanctions, third-party oversight) to ensure Canadian requirements are understood, implemented, and evidenced appropriately.
Required Qualifications, Capabilities, and Skills
- Demonstrated compliance experience within asset management or financial services, with accountability for program execution, regulatory engagement, and issue escalation in a regulated environment.
- Proven ability to communicate complex regulatory issues clearly, in writing and verbally, to senior audiences and governance stakeholders.
- Strong working knowledge of governance practices, including preparation of materials for senior forums and periodic/annual compliance reporting.
- Ability to operate independently, exercise sound judgment in ambiguous situations, and lead cross-functional initiatives with limited oversight.
- High integrity, accountability, and professional maturity.
- Bachelor’s degree or higher (law, finance, or related discipline preferred).
Preferred Qualifications, Capabilities, and Skills
- Experience as a deputy compliance lead, or prior responsibility for a material component of an asset management compliance program (e.g., registrations, product/distribution compliance, or regulatory exams).
- Familiarity with Canadian securities regulations (e.g., NI 31-103, NI 81-102, etc.) and derivatives rules.
- Strong presentation skills and experience interacting with formal governance bodies and senior stakeholders.
- Operational familiarity with compliance program testing and documentation processes and systems.
- Commitment to inclusive leadership and supporting a culture of growth and curiosity.