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Corporate Compliance - Branch Examiner - Vice President

Req #: 180018487
Location: Seattle, WA, US
Job Category: Compliance
Potential Referral Amount: US Dollar (USD)


JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 trillion and 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 Branch Examiner
The Compliance Branch Examiner position is for the Compliance Department supporting a retail broker-dealer and investment advisor and will report to the Compliance Director of the Compliance Branch Examinations unit.  The position will be located in Seattle, WA
  • 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.


  • Undergraduate degree or equivalent experience.
  • 5+ years' experience in financial services in a compliance or regulatory role required.
  • Prior broker/dealer experience with compliance or audit is desirable.
  • FINRA Series 7, 66 (or equivalent), and 24 license 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 40% (mostly regional).
  • Valid driver's license required.

** Any candidate not meeting ALL the qualifications can be consider for a Sr. Compliance Officer, Associate.

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