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Compliance Analyst - Registration & Licensing

Req #: 170116450
Location: Newark, DE, 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 www.jpmorganchase.com.
 
The Compliance organization provides management and oversight associated with operational support for 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, Account Activity Reviews, Personal Account Dealing, and Licensing & Registration. 

Compliance 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.
 
Registration and Licensing (R&L) is a critical Compliance function within JPMorgan Chase. The registration and licensing of qualified employees is required for the marketing, sale, and trading of securities and insurance products to the Firm’s institutional clients and retail customers. JPMorgan Chase is a global firm, and financial services regulators and licensing entities include state and national organizations in the US and abroad. The Registration and Licensing group is responsible for ensuring that employees requiring registration for the performance of their responsibilities comply with the Firm’s internal policy as well as all External requirements for obtaining and maintaining a license.
 
The Compliance Analyst position is part of the Firm’s newly formed R&L Compliance Processing team. Key activities of the Team include:
 
Sourcing appropriate background documents and attestations for registration from Employees and Managers
Maintaining and tracking documentation
Coordination with Securities Regulators to process FINRA onboarding and amendments on a timely basis
Monitoring operational processing controls
 
The Analyst position will be responsible for all aspects of the Securities registration population with JPMC. The Compliance Analyst will communicate regularly with Compliance Management, Registration Compliance, the Business and Employees regarding pre-clearance, registration, and continuing education. Responsibilities will include the collection, collation and tracking of paperwork required for onboarding, maintenance of confidential records, and updating of multiple Compliance information systems. As well as special assignments and ad hoc requests, as needed.
  • Bachelor’s degree or equivalent work experience
  • Ability to build and maintain effective working relationships with Sales Representatives; comfortable with interaction with all levels of management and external parties; a team-player
  • Quick learner; innovative and analytical
  • Ability to adapt to opportunities presented through change
  • Pro-active approach to problem-solving; a logical thinker
  • Results-oriented, self-motivated and a flexible approach to working hours
  • Experience creating Microsoft Excel Pivot Tables
  • Intermediate Microsoft Outlook experience
  • Strong Analytical skills
  • Document review experience
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