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Corporate Compliance - Compliance Officer - Associate

Company: JPMorgan.
Location: Jersey City
Posted on: June 14, 2019

Job Description:

JP Morgan Chase JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at . Our Compliance Function With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered. Compliance Officer The Compliance Officer position is for the Compliance Department supporting both retail and institutional lines of business and will report to the Compliance Director of the Compliance Branch Examination unit. The position will be located in Tampa, FL. Duties

  • Performing on-site compliance examinations of broker-dealer and investment advisory business to determine adherence to JPMorgan Securities policies and procedures.
  • Developing scope, process flows, design evaluation, testing evaluations to ensure risk controls are implemented, functioning properly, and are being executed properly.
  • Examinations consist of trading analysis, on-site inspections, and document reviews.
  • Evaluating findings and formulating conclusions in written reports on compliance assessments, required schedules, worksheets and narrative materials.
  • Domestic travel will be required 30 percent of the time.
  • FINRA Series 7, 66, and 24 licenses (or equivalents) not required, however, preferred.
  • Prior broker/dealer experience with compliance or audit is desirable.
  • The position will require high attention to detail, flexibility, patience, good analytical as well as interpersonal skills, and the ability to work independently.
  • Valid driver's license required.
    • Undergraduate degree or equivalent experience.
    • 3 years' experience in financial services in a compliance or regulatory role required.
    • FINRA Series 7, 66, and 24 licenses (or equivalents) not required, however, preferred.
    • The position will require high attention to detail, flexibility, patience, good analytical as well as interpersonal skills, and the ability to work independently.
    • Ability to travel 30%
    • Valid driver's license required. JPMorgan Chase Co. is an Equal Opportunity and Affirmative Action Employer, M/F/Disability/Veteran Corporate Compliance - Compliance Officer - Associate

Keywords: JPMorgan., Jersey City , Corporate Compliance - Compliance Officer - Associate, Other , Jersey City, New Jersey

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