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Quality Assurance Associate - Compliance

Req #: 180018593
Location: Brooklyn, NY, US
Job Category: Project Management
Potential Referral Amount: 3000 US Dollar (USD)
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
If you're interested in working in an environment where leadership, excellence, integrity, and diversity are among our core principles, then explore the opportunities at JPMorgan Chase.
The Quality Assurance (QA) Team is an integral part of Compliance and is responsible for conducting a continuous analysis against internal procedures and regulatory requirements to ensure quality, completeness, and accuracy.  The Quality Assurance team supports the review of activities performed by functions that support the firm’s Compliance Program.
The Quality Assurance Analyst will be responsible for analyzing, investigating, and escalating Alerts and suspicious transactional activity. The candidate should have the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and appropriately disposition by utilizing analytical skills and research results. There will be a strong expectation to liaise with Senior Management and other units at the bank. 
Responsibilities include:
  • Reviewing trading reports and seeking exceptions related to Market Misconduct, Sales Practice, and Customer Suitability related Compliance Issues.
  • Performing thorough investigations and escalating possible violations of rules, regulations and procedures to the attention of management.
  • Assisting in the design, testing and implementation of new exception reports. 
  • Managing multiple projects in a fast paced environment
  • Working on special projects pursuant to requests from senior management or necessitated by current events 
  • Four year college degree or equivalent experience.
  • Three to five years of experience in a compliance role, preferably in a Wealth Management Brokerage capacity.
  • Familiarity with Wealth Management investment strategies and products including Mutual Funds, Structured Products, Stocks, and Options.
  • Excellent analytical skills.
  • Excellent interpersonal, written and oral communications skills.
  • Strong documentation skills to clearly articulate results of testing.
  • Series 7, 63, 24 and 4 preferred but not required.
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