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Corporate Compliance - Control Room Officer (West Coast) - Associate

Req #: 170099220
Location: San Francisco, CA, 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 www.jpmorganchase.com

 

A core member of the America’s Control Room for the West Coast Control Room located in San Francisco, which forms part of the Global Control Room and which has prime responsibility for maintaining and oversight of the firm’s Information Barriers and Global Watch and Restricted Lists.

 

Key Duties & Responsibilities:

  • Day to day responsibilities including: maintaining and monitoring the firm's Chinese walls/ wall crossings/ flow of non-public information, pre-clearance of permitted communication between banking and research, obtaining deal updates from bankers, use and impact of firm's Watch and Restricted Lists, implementing necessary sales, trading and research restrictions, research clearance.
  • Proactively working with other Control Room teams in the London and Asia-Pacific to create a cohesive global Control Room team operating and applying consistent policies and procedures and IT infrastructure.
  • Providing advice and guidance to front office businesses in respect of permissible interaction with research analysts/providing chaperoning as necessary and on implications of firm's Restricted List Policy and other Control Room related activities.
  • 3-5 years Control Room experience in an investment bank.
  • Bachelor’s Degree / JD a plus.
  • Experience / knowledge of securities laws and regulation and internal control requirements.
  • Ability to identify real issues and know when to escalate them.
  • Ability to work under very short deadlines and make quick and reasoned decisions.
  • Excellent interpersonal skills, solution driven, confident, highly motivated and organized and detail orientated.
  • Team player but able to operate independently.
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