JPMorganChase
Assistant General Counsel - Wealth Management Investment Products - Vice President
Join JPMorganChase’s Legal team and deliver impactful legal advice that helps guide Wealth Management’s success. You will be a trusted advisor to business leaders, supporting innovative solutions and sophisticated initiatives. You will work in a collaborative, inclusive environment where your judgment and voice matter. You will help protect the firm while enabling responsible growth. Grow your career with a team that invests in your development.
As a Wealth Management Attorney Investment Products – Assistant General Counsel, Vice President in Wealth Management Legal, you provide practical, solutions-oriented legal guidance on investment products, including investment advisory and brokerage products. You partner closely with business stakeholders and collaborate with Compliance, Risk, and Controls to support effective risk management and regulatory compliance. Working with a global Legal Department, we help safeguard the integrity of the firm while supporting clients and the businesses we advise. In this role, you will be valued for sound judgment, clear communication, responsiveness, and your ability to build strong working relationships.
Job responsibilities
- Advise on investment products distributed by JPMorgan Wealth Management, with a primary focus on broker-dealer and investment advisory matters.
- Support advisory and brokerage product offerings, including product development and enhancements, distribution and platform considerations, marketing and communications, disclosures, agreements, and ongoing governance.
- Interpret and apply requirements under the Investment Advisers Act of 1940, the Investment Company Act of 1940, Financial Industry Regulatory Authority (FINRA) rules, and federal and state securities laws.
- Deliver timely, practical legal counsel that reflects business priorities and appropriately balances risk and business needs.
- Collaborate with Wealth Management attorneys and other Legal teams to provide coordinated legal support.
- Partner with Compliance, Risk, and Controls to support risk management, regulatory compliance, and control design and implementation, as appropriate.
- Identify legal and related risks affecting investment products, advisory programs, and brokerage services.
- Assess and document legal and related risks and support risk management processes and governance.
- Build and maintain strong working relationships with business colleagues and control partners as a responsive, solutions-oriented advisor.
- Contribute to special projects and initiatives beyond core responsibilities, as needed.
Adapt to evolving business needs and priorities in a dynamic environment.
Required qualifications, capabilities, and skills
- Juris Doctor degree and active license to practice law in at least one United States jurisdiction.
- Minimum 5 years of legal practice experience, including relevant experience in financial services, wealth management, broker-dealer, investment advisory, and/or asset management.
- Demonstrated experience advising on broker-dealer and/or investment advisory matters and investment products.
- Working knowledge of the Investment Advisers Act of 1940, federal and state securities laws, and Financial Industry Regulatory Authority rules, including familiarity with Regulation Best Interest.
- Demonstrated ability to manage multiple issues in a fast-paced environment, prioritize effectively, and exercise sound judgment.
- Demonstrated ability to understand business needs and provide practical, commercially minded legal advice.
Demonstrated ability to build and maintain effective working relationships with clients and colleagues.
Preferred qualifications, capabilities and skills
- Experience advising on Investment Company Act of 1940 registered funds and/or registered fund distribution.
All candidates for roles in the Legal department must be licensed to practice law in the country of employment and successfully complete a conflicts of interest clearance review prior to commencement of employment. Attorney must be licensed to practice law and a member in good standing in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction.
About UsWe 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
JPMorganChase Chicago, Illinois, USA Office
Chicago, IL, United States
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