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Corporate Compliance - Corporate & Investment Banking (CIB) Compliance Testing - Compliance Manager, Vice President

Req #: 170071310
Location: New York, 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 $2.6 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 www.jpmorganchase.com.


The Compliance Department of JPMorgan Chase & Co is seeking an compliance professional to join the North America Corporate & Investment Bank Compliance Testing team, providing coverage across the U.S. CIB. This coverage includes the CIB’s Markets Businesses (Equities, Securitized Products, Rates/FX/Public Finance, Research, Commodities) Investor Services Businesses (Prime Brokerage & Finance, Futures & Options, Collateral Management, Custody & Fund Services) and Banking Businesses (Investment Banking, Corporate Banking and Treasury Services).  The CIB NA team also covers certain corporate functions including Global Treasury and The Chief Investment Office.

 

The Compliance Testing team is responsible for supporting these businesses by implementing a risk-based program designed to test and evaluate the effectiveness of internal controls, policies, procedures, and processes with respect to the CIB's ability to meet regulatory requirements and/or internal standards. 


Responsibilities:
  • Communicate with the relevant business, Compliance and technology partners while conducting detailed reviews of internal controls, policies, procedures, and processes that mitigate risks and facilitate compliance with applicable regulations, legal obligations, and business requirements.
  • Identify potential or actual weaknesses in the regulatory-related processes, procedures and controls.
  • Interpret risk assessment results and apply appropriate approach to reviews of business related activities.
  • Write test reports that effectively communicate testing objectives, processes, methodologies, and results to senior management, relevant stakeholders, business control officers, and relevant Compliance functions.
  • Follow-up on the status of identified issues until effectively remediated.
  • Communicate with CIB Regional Compliance Testing teams in EMEA, APAC and LATAM to ensure global testing consistency and promote adherence to testing standards.
  • Participate in special projects to enhance compliance testing processes and practices.

Qualifications:

·         3 or more years of relevant compliance testing, regulatory examination, or internal audit experience.

·         Experience within a top tier U.S. financial service firm with a focus on Investment Banking, Sales, and Trading.

·         Experienced business writer with proven ability to edit other testers’ written test related documents and ensure clear and concise descriptions of reviews and conclusions.  

·         Strong analytical and investigative skills.

·         Ability to work independently and collaboratively in a team environment.

·         Ability to manage multiple projects simultaneously with minimal supervision.

·         Strong interpersonal and organizational skills.

·         Ability to interact with all levels of personnel (e.g. Associate to MD).

·         Knowledge of Dodd Frank and Volcker regulations a plus.


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