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Corporate - EMEA Compliance - Compliance Officer (Quality Assurance) - Associate

Req #: 170115126
Location: Bournemouth, ENG, UK
Job Category: Compliance
Potential Referral Amount: 3500 Pound Sterling (GBP)
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries.  The firm is a leader in Investment & Corporate Banking; Financial Services for consumers, small business and commercial banking; financial transaction processing; asset management and private equity.
The Compliance department is responsible for supporting and leading aspects of the firm's Anti-Money Laundering (AML) program. The group works closely with the AML Program Management Office, Global Financial Crimes Compliance and the enterprise-wide control program teams.
The EMEA Compliance department is managed centrally and provides Operational support through regional hubs for:
  • Surveillance;
  • Personal Account Dealing;
  • Disclosure of Interest;
  • Licencing & Registrations;
  • AML Alert Dispositions;
  • Client List Screening;
  • Transaction List Screening (Sanctions);
  • GFCC (Investigations and suspicious activity reports).

The EMEA Quality Assurance (“QA”) group is an independent function of the Compliance Operational areas, with the primary purpose to undertake ongoing quality reviews (on a sampling basis) of the work performed by the above mentioned Compliance areas.  
The Quality Assurance Analyst will perform targeted reviews, summarise results and present to stakeholders. The Quality Assurance Analyst will be expected to identify incorrect decision making, determine gaps in process and procedure, question integrity of data and adherence to processing and servicing standards, policies and procedures. The Quality Assurance Analyst will be accountable for analysing issues and paving the way for continuous improvement in the Compliance Operational areas by identifying alternatives that are effective, practical and appropriate. 
• Perform ongoing QA reviews of the Compliance Operational areas to ensure controls/standards are met;
• Question and investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made;
• Review quality of completed cases, based on quality testing standards;
• Identify key issues, trends, observations and effectively report summary results to key stakeholders;
• Perform root cause analysis and make recommendations for addressing identified deficiencies;
• Provide recommendations for improvements to business processes;
• Ensure consistency with the Global QA framework and governance approach;
• Demonstrate ability to raise issues or information to relevant stakeholders or management with respect to the control environment, and to present the issue or information in a concise and effective manner;  
• Present complex and sensitive issues to senior management in a persuasive manner;
• Strong interpersonal skills and ability to influence others for results.

• Experience with Financial Services industry, AML/BSA, KYC, Sanctions, Compliance, Investigative or Quality Assurance background preferred;
• Language skills are desirable but not essential
• Knowledge of public data research including Lexis-Nexis & internal systems & applications;
• Understanding of practices relating to AML, negative media, PEP & Sanctions;
• Ability to translate technical data and information into business reports and presentations;
• Exceptional research and analytical skills with the ability to analyse large amounts of data and disposition appropriately;
• Excellent organization, written and oral communication skills;
• Strong documentation skills to clearly articulate results of testing;
• Strong analytical, problem solving skills and attention to detail;
• Proficiency in MS Excel, documentation and metrics;
• ACAMS certification is advantageous, but not essential.
JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer.
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