Compliance Risk Management Director (Retail Alternative Investment Funds) - Executive Director

JPMorgan Chase & Co. • New York, NY

32d

About The Position

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 Retail Alternatives Investment Funds within the Asset Management Compliance team, you will serve as the Chief Compliance Officer (CCO) where you will lead oversight of regulatory compliance for registered closed-end funds in alternative investment strategies in private market investments. You will lead regulatory and compliance risk oversight for some of the most complex and dynamic fund structures in the industry as Chief Compliance Officer, 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.

Requirements

• 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.
• Experience serving in a designated compliance leadership capacity (e.g., Deputy CCO, CCO, or control function lead).
• 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.
• Experience reviewing or overseeing valuation practices for illiquid or private assets.
• Bachelor’s degree or higher in law, finance, or related field.
• Demonstrated integrity, accountability, and professional maturity in regulated environments.

Nice To Haves

• Experience as Chief Compliance Officer of a registered investment company.
• Subject matter expertise in private equity or private credit within fund structures.
• Familiarity with valuation, liquidity management, and affiliate oversight frameworks.
• Participation in regulatory exams or responses related to fund compliance.
• Strong presentation skills and experience interacting with fund Boards.
• Operational familiarity with compliance program testing and documentation systems.
• Commitment to inclusive leadership and supporting a culture of growth and curiosity.

Responsibilities

• Serve as Chief Compliance Officer of a registered investment fund focused on alternative strategies and advise the investment groups responsible for the fund's strategies.
• Advise on regulatory matters related to fund formation, valuation, investment restrictions, conflicts, and disclosures.
• Lead compliance program design and operation under Rule 38a-1, including testing, reporting, and documentation.
• Prepare and present Board-facing reports and updates related to compliance oversight and material issues.
• Collaborate with legal, product, risk, and operations teams to resolve complex regulatory issues.
• Identify, escalate, and respond to potential compliance risks or control gaps in fund operations.
• Maintain working knowledge of SEC rules applicable to closed-end funds, tender offers, and affiliated transactions.
• Guide the annual compliance review process, including planning, execution, and delivery of findings.
• Build and sustain strong partnerships with internal stakeholders to align compliance guidance 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.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Director