Michelle Goldfarb
Vice President Compliance at J.P. Morgan Wealth Management | First Republic now part of JP Morgan Chase & Co | San Francisco, California, United States
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Michelle Goldfarb serves as Vice President of Compliance at J.P. Morgan Wealth Management, following the integration of First Republic into JPMorgan Chase & Co. With a robust background in compliance management, she plays a pivotal role in overseeing the compliance program for a firm that manages approximately $80 billion in assets under management (AUM), primarily catering to high-net-worth clients. Her extensive expertise encompasses a deep understanding of SEC and FINRA regulations, including the 1933 and 1934 Acts, the Investment Advisers Act of 1940, and the Investment Company Act of 1940, along with Rule 206(4)-7.
In her current role, Michelle supports the Chief Compliance Officer by spearheading the development and execution of comprehensive compliance strategies. This includes crafting and refining policies and procedures, conducting thorough risk assessments, and ensuring timely regulatory filings. She is also instrumental in preparing for mock audits and regulatory examinations, which are critical for maintaining the firm’s integrity and adherence to compliance standards. Her leadership extends to designing and delivering compliance training programs that empower team members to navigate the complexities of regulatory requirements effectively.
Michelle’s commitment to fostering a culture of compliance is evident in her proactive approach to risk management and her ability to implement new compliance initiatives that align with industry best practices. Her skills in compliance procedures, regulatory compliance, and people management not only enhance the firm’s operational resilience but also ensure that it remains a trusted partner for its high-net-worth clientele. Through her strategic oversight, Michelle Goldfarb continues to elevate the compliance framework at J.P. Morgan Wealth Management, ensuring that it meets the evolving demands of the financial landscape.
Vice President Compliance at J.P. Morgan Wealth Management | First Republic now part of JP Morgan Chase & Co in November 2017 to Present
Vice President - Compliance Manager at HighMark Capital Management in February 2015 to November 2017
Associate Director at CounselWorks LLC in November 2013 to February 2015
Senior Compliance Manager at Charles Schwab in March 2012 to November 2013
Senior Compliance Manager at Charles Schwab in March 2008 to March 2012
Compliance Manager at Charles Schwab in November 2005 to February 2008
Compliance Examiner at NASD in October 2003 to October 2005
Margin Analyst at Charles Schwab in October 2000 to October 2003
Staff Accountant at Novogradac & Company LLP in January 2000 to October 2000
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Marketing Materials
Compliance Training
Compliance Procedures
Wealth Management Services
Risk Management
Business
People Management
Regulatory Compliance
Investment Advisers Act
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What is Michelle Goldfarb email address?
Email Michelle Goldfarb at [email protected] and [email protected]. This email is the most updated Michelle Goldfarb email found in 2026.
What is Michelle Goldfarb phone number?
Michelle Goldfarb phone number is +14156098167 and +14159906289.
How to contact Michelle Goldfarb?
To contact Michelle Goldfarb send an email to [email protected] or [email protected]. If you want to call Michelle Goldfarb try calling on +14156098167 and +14159906289. (updated on October 30, 2024)
What company does Michelle Goldfarb work for?
Michelle Goldfarb works for J.P. Morgan Wealth Management | First Republic now part of JP Morgan Chase & Co
What is Michelle Goldfarb's role at J.P. Morgan Wealth Management | First Republic now part of JP Morgan Chase & Co?
Michelle Goldfarb is Vice President Compliance
What industry does Michelle Goldfarb work in?
Michelle Goldfarb works in the Financial Services industry.
Michelle Goldfarb Email Addresses
Michelle Goldfarb Phone Numbers
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