Apply Now    

CIB - Broker Dealer - Legal Entity Control Regulatory Reporting Vice President

Req #: 180035108
Location: Brooklyn, NY, US
Job Category: Accounting/Finance/Audit/Risk
Potential Referral Amount: 5000 US Dollar (USD)

The Regulatory Reporting team, within CIB Controllers – North American Legal Entity Control Group, is responsible for the regulatory reporting and oversight of the firm’s key client-facing U.S. broker-dealer legal entities – J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Prime Inc. (JPMPM).

The team’s key ongoing deliverables include the ongoing monitoring and weekly/monthly calculation and reporting of regulatory capital and the customer protection requirements for JPMS and JPMPM.

The group interacts with many groups across the firm to accomplish these objectives- Product Controllers, Financial Controllers, Treasury, Risk management, Operations, Legal and Compliance, Internal Audit and the front office.   The Regulatory Reporting team also serves as the liaison for all regulatory examinations and inquires (FINRA, SEC, CME, NFA) and also is a primary contact for our external auditors, Price Waterhouse Coopers.

Position Description:

The candidate will have the responsibility prepare, review and manage various aspects of J.P. Morgan’s 15c3-3 calculation and become involved with the preparation of the 15c3-1 calculation along with any additional tasks that are necessary to complete the FOCUS filing. Also the candidate will at the same time will work on several projects, both internal to the firm and externally with regulators. Developing and maintaining extensive working relationships internally and with regulators will be essential. 


The candidate will need to demonstrate strong analytical and problem solving skills and be able to effectively leverage their network to deliver results.  The ideal candidate will be comfortable digging into the details and also be able to present them in the context of the ‘big picture’ to peers and senior management.  Early issue identification and appropriate escalation and response are important.

 7+ years of related experience

Ideally, the candidate would possess many of the following attributes:

  • Knowledge of SEC Rule 15c3-1 & 15c3-3
  • General understanding of US GAAP
  • General product knowledge
  • Excellent communication and relationship building skills
  • Well organized; ability to prioritize, multi-task and meet deadlines
  • Experience dealing with regulators (FINRA,SEC,CME,etc.)
Apply Now    

Join our Talent Community

Not ready to apply? Leave your information with us and we will keep you up to date with new career opportunities.

Things to note

Sign in to our application system to continue your job search or update your profile.

Current employees sign in here. Contractors sign in here.

Any information you provide is confidential and will only be viewed by our recruiters in an effort to fill open positions. In addition, the information you provide is subject to our privacy policy practices.

Please note that J.P. Morgan will not accept unsolicited approaches or speculative CVs, nor will J.P. Morgan be responsible for any related fees, from Third Party Firms who are not preferred suppliers.

The firm invites all interested and qualified candidates to apply for employment opportunities.

Need disability related assistance?

If you are a US or Canadian applicant with a disability who is unable to use our online tools to search and apply for jobs, please click here.

Important links

Click here to view the "EEO is the Law" poster.

Click here to view the "EEO is the Law" supplemental poster.

Click here to view our U.S. Pay Transparency Policy.

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.