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Corporate Compliance - Employee Conduct Risk Governance - Sr. Compliance Officer - Associate

Req #: 180019989
Location: Brooklyn, NY, US
Job Category: Compliance
Potential Referral Amount: 0 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


The Compliance team is responsible for managing compliance risk management programs related to key employee related regulatory risk, reporting to relevant governance committees and/or senior management. The team is tasked with designing and executing risk mitigation strategies, developing and conducting training, and managing internal audit and relevant regulatory exams.


The Firmwide Employee Conduct Risk Program aims to:

  • Define standards and develop requirements for tools, analytics & reporting, and framework to capture and assess relevant conduct information on employees from all monitoring activities
  • Monitor employee conduct and compliance for emerging areas of focus, including Employee Compliance programs, Market Conduct programs, Data Loss Prevention (DLP), workforce code cases, etc.
  • Ensure execution and implementation of recommended changes.
  • Establish program structure, manage milestones, create new metrics
  • Refine program and approach based on learning's

To be successful in this role, the candidate must be prepared to work in a challenging yet rewarding environment delivering first class program and project management solutions. They must enjoy creating and maintaining strong relationships with key stakeholders. They will assist in the creation and ongoing governance of the employee conduct risk framework, identifying globally consistent standards. The ideal candidate will be someone who has excellent communication and engagement skills, and can operate at a variety of levels.

  • Engage and partner with senior working group and committee members to ensure successful execution of program deliverables to reach a target state governance model
  • Support in the creation of conduct minimum standards and associated gap analysis
  • Support in the delivery of conduct risk assessments
  • Assist in the development and ongoing maintenance of senior management and board reporting
  • Conduct global testing and monitoring as relates to conduct risks
  • Manage multiple project deliverables to ensure timely delivery
  • Engagement in issue management
  • Least 5 years of financial services experience with demonstrated progression of responsibilities
  • Bachelor degree required 
  • Experience in Risk Management / Compliance / Audit / Controls / Business Management required
  • Experience in project management and execution.
  • Business Management / Marketing skills
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnerships with business/compliance partners
  • Excellent organizational skills and ability to manage, prioritize, work under pressure, and meet tight deadlines
  • Robust analytical and problem solving skills
  • Strong written and verbal communication skills; comfort interacting with and presenting to senior management
  • Flexible to changing business priorities and ability to multitask in a constantly changing environment
  • Knowledge and/or prior experience with employee/workforce compliance a plus

***Any candidate not meeting ALL the qualifications can be considered for the

Compliance Officer, Associate role.  


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