Christopher Clark Email & Phone Number

London, England, United Kingdom

My primary role is to provide regulatory advise and guidance to the JPM Asset Management business in EMEA, which is part of the broader Asset & Wealth Management organisation within JPMorgan Chase & Co. Among the key areas of focus include providing leadership in the delivery of compliance program efforts associated with the AM Solutions business in Europe, supporting the business through various regulatory implementations, including FCA Operational Resilience, EBA Guidelines on Outsourcing, the Investment Firms Prudential Regime (IFPR), in addition to providing coordination and support to global Compliance program deliverables e.g., risk assessments, department wide strategic priorities, innovation, DE&I, etc.

London, United Kingdom

Asset & Wealth Management Compliance Head of Governance & Controls (Global) - Control Officer for AWM Compliance, providing leadership, direction and oversight of operational processes owned by the function, maintenance of the firm's three lines of defence structure, etc.- Provide leadership and direction to the AWM Compliance Innovation Program and various governance related initiatives-Relocated to the UK from NYC in August 2016

Greater New York City Area

-Lead the development and execution of the Compliance Testing function for the U.S. Private Bank and J.P. Morgan Securities LOBs-Collaborate with product/functional coverage, control functions and business leaders to assist in the evaluation of compliance risks and controls.-Responsible for leading a team of compliance professionals who perform risk based testing of processes and controls designed to mitigate regulatory risks of Broker-Dealers, RIAs, and Consumer Banks (e.g., Mortgages, Credit, Deposits, Trust & Estates, Discretionary IM).-Lead the coordination of various compliance-related initiatives to establish global consistency and best practices across LOB regions (e.g., conflicts of interest, suitability, D-F/Volcker, etc.).-Verify that results of periodic testing, audits, regulatory exams, and/or self-identified issues are tracked and corrective action is fully implemented.

Greater New York City Area

-Primary role was to coordinate, facilitate and manage securities regulatory exams and sweeps impacting legal entities associated with the JPM Corporate & Investment Bank and Wealth Management businesses in the US (e.g., SEC, FINRA, etc.)-Coordinate with compliance and line of business management to obtain relevant documentation to respond to regulatory requests-Report relevant information to compliance management (e.g., identified issues, regulatory trends, etc.)

Kansas City, Missouri Area

-Responsible for the development and execution of the Compliance Testing Programs for broker-dealer activities within the Investment Management line of business-Participated in Market Downturn Committee, analyzing compliance roles and resources across the division to ensure proper coverage for critical functions in light of a signficant market downturn-Participated in various corporate-wide initiatives relating to compliance testing, evaluating the overall JPMorgan Chase & Co. Testing program for the purpose of leveraging resources and gaining efficiencies across multiple entities and affiliates-Assist lines of business supported by the broker-dealers with regulatory guidance, policy updates, and supervisory controls-Review and analyze new and existing regulatory initiatives impact on the lines of business supported by the broker-dealers-Manage the branch office audit program for the broker-dealers-Assisted with the completion of various RIA requirements under SEC Rule 206-4-7 of the Advisors Act

Kansas City, Missouri Area

-Conducted on-site examinations and reviews of member firms compliance programs and systems-Analyzed broker-dealer's compliance with SEC, NASD, and MSRB rules and regulations-Assessed member firms financial and operational conditions-Evaluated firms compliance with Anti-Money Laundering rules and regulations-Investigated broker-dealer customer complaints

Provided general compliance support for H&R Block Financial (Birchtree Financial Services, Inc. & RSM McGladrey)