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Compliance Operations-Negative Media, Client List Screening

Req #: 170102591
Location: Brooklyn, NY, US
Job Category: Compliance
Potential Referral Amount: 500 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


The Global Compliance Operations (GCO) organization provides management and oversight associated with operational support for Global Compliance including the development of operational centers of excellence for compliance functions which are operational in nature including: Alert Operations (Level 1 Alerts Disposition), OFAC/Client Screening, Due Diligence, Look Backs, Disclosure of Interest, Account Activity Reviews, Personal Account Dealing, and Licensing & Registration.  


GCO is responsible for supporting and leading aspects of the firm's Anti-Money Laundering (AML) program. The team works closely with the AML Program Management Office, Global Financial Crimes Compliance and the enterprise-wide control program teams to identify, remediate and track issues, and develop controls to sustain improvements as they are made. The company's responsibilities related to Anti-Money Laundering span every business, function and region - and apply to every customer and client of the firm.

This is an opportunity for a highly-skilled KYC/due diligence/compliance professional to progress their career in a fast growing and highly professional international environment. The individual will work in close partnership with the Analytics Manager of the Client List Screening L3 Analytics Unit. Additionally, the Analyst will work in close partnership with the CIB Sales teams, AML Compliance, and the WCOB and Quality Assurance functions to improve the quality of the firm’s client due diligence policies and regulatory requirements. The CLS Level 3 Analyst will be based in Brooklyn, New York.

Key responsibilities:

  • Gather and analyze all pertinent client information identified from the screening unit/screening Results 
  • Ability to understand the Corporate standards with respect to the identification of our direct clients and related parties; socialize these adopted standards into the holistic WCOB KYC due diligence process 
  • Complete the CLS Level 3 templates using public and internal sources  
  • Ensure due diligence system is updated properly based upon information sourced 
  • Enter completed template repository to monitor relationships as well as associated country summaries 
  • Adhere to SLAs; escalating any quality or timeliness issues with Manager for follow-up

Skills/ Experience/Qualifications:

  • 1+ years previous experience in financial compliance or related position preferred.

  • Self-starter, capable of working under minimum supervision.

  • Individual must be results driven and have attention to detail, maintain a sense of urgency and ability to prioritize/multi-task 

  • Strong sense of accountability and ownership over “quality” and end-to-end best practices 

  • Strong analytical/time management skills 

  • Results-oriented team player

  • Able to meet goals and quotas

  • Adept at multi-tasking and meeting deadlines in a high-pressure environment

  • Strong problem solving abilities

  • Strong communication skills are a must – verbal and written 

  • Adaptable, flexible, and willing to work in a dynamic environment 

  • Proficiency in MS Word and Excel.

  • Strong documentation skills to clearly articulate alert disposition

  • Adherence to controls and standards

  • Bachelor's degree or equivalent work experience (3+ years in compliance)


This position is anticipated to require the use of one or more High Security Access (HSA) systems. Users of these systems are subject to enhanced screening which includes both criminal and credit background checks, and/or other enhanced screening at the time of accepting the position and on an annual basis thereafter. The enhanced screening will need to be successfully completed prior to commencing employment or assignment.

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