JPMorgan Chase & Co
Compliance- Monitoring/Testing Lead-Vice President
JPMorgan Chase & Co, Jersey City, New Jersey, United States, 07390
JOB DESCRIPTIONBring your expertise to JPMorgan Chase. 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, Conduct and Operational Risk (CCOR) Vice President, you will effectively partner with Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions. You will require knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices. This position is anticipated to require the use of one or more High Security Access (HSA) systems. Users of these systems are subject to enhanced screening which includes both criminal and credit background checks, and/or other enhanced screening at the time of accepting the position and on an annual basis thereafter. The enhanced screening will need to be successfully completed prior to commencing employment or assignment.
Job Responsibilities
Perform on-site compliance examinations of broker-dealer and investment advisory business to determine adherence to JPMorgan Securities policies and procedures.
Develop scope, process flows, design evaluation, testing evaluations to ensure risk controls are implemented, functioning properly, and are being executed properly.
Conduct examinations that consist of trading analysis, on-site inspections, and document reviews.
Evaluate findings and formulating conclusions in written reports on compliance assessments, required schedules, worksheets and narrative materials.
Required Qualifications, Capabilities and Skills
Undergraduate degree or equivalent experience.
5+ years' experience in financial services, compliance or regulatory role required.
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 35%.
Valid driver's license required.
Preferred Qualifications, Capabilities and Skills
FINRA (Financial Industry Regulatory Authority) Series 7, 66, and 24 licenses (or equivalents) not required, however, preferred.
Prior broker/dealer experience with compliance or audit is desirable.
ABOUT US
JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, we offer discretionary incentive compensation which may be awarded in recognition of firm performance and 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 is an Equal Opportunity Employer, including Disability/Veterans
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As a Compliance, Conduct and Operational Risk (CCOR) Vice President, you will effectively partner with Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions. You will require knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices. This position is anticipated to require the use of one or more High Security Access (HSA) systems. Users of these systems are subject to enhanced screening which includes both criminal and credit background checks, and/or other enhanced screening at the time of accepting the position and on an annual basis thereafter. The enhanced screening will need to be successfully completed prior to commencing employment or assignment.
Job Responsibilities
Perform on-site compliance examinations of broker-dealer and investment advisory business to determine adherence to JPMorgan Securities policies and procedures.
Develop scope, process flows, design evaluation, testing evaluations to ensure risk controls are implemented, functioning properly, and are being executed properly.
Conduct examinations that consist of trading analysis, on-site inspections, and document reviews.
Evaluate findings and formulating conclusions in written reports on compliance assessments, required schedules, worksheets and narrative materials.
Required Qualifications, Capabilities and Skills
Undergraduate degree or equivalent experience.
5+ years' experience in financial services, compliance or regulatory role required.
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 35%.
Valid driver's license required.
Preferred Qualifications, Capabilities and Skills
FINRA (Financial Industry Regulatory Authority) Series 7, 66, and 24 licenses (or equivalents) not required, however, preferred.
Prior broker/dealer experience with compliance or audit is desirable.
ABOUT US
JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, we offer discretionary incentive compensation which may be awarded in recognition of firm performance and 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 is an Equal Opportunity Employer, including Disability/Veterans
#J-18808-Ljbffr