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Senior Compliance Officer - Associate

Req #: 170119721
Location: Newark, DE, US
Job Category: Compliance
Potential Referral Amount: 3000 US Dollar (USD)
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 banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.
 
The Employee Compliance Operations team is responsible for supporting and leading aspects of the firm's Personal Account Dealing (PAD) program.  The team works closely with Compliance Advisory 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 Personal Account Dealing apply to a majority of the Employees of the firm around the world. Our goal is to develop and maintain global consistency for the firm in its approach to PAD across the globe.
 
The group focuses on ensuring that employees subject to the Firm’s Personal Account Dealing Policy comply with its provisions pertaining to personal trading activity. The Violations team is responsible for reviewing instances of both identified and suspected non-compliance with the Policy. Where a non-conformance is identified, the team follows a series of steps to remediate the improper conduct and to educate on appropriate behavior. The team’s goal is to identify improper trade activity in an effort to not only ensure employee compliance with the Policy but also to safeguard the Firm from any improprieties.
 
Responsible for ensuring that the Firm meets its reporting obligations pursuant to FINRA Rule 351(e), In order to meet the Firm’s reporting obligations PAD has instituted procedures to provide employee trading activity to respective managers for review and approval. To satisfy both the above rule and FINRA Rule 342.21, managers are required to (i) review the trading activity provided and (ii) conduct an investigation into any trades that appear to have violated applicable securities laws and company policy. Examination of the reports and notification of any suspect activity which may result in violations must be completed by the 15th day following the end of each fiscal quarter.
 
Responsibilities:
  • Reports to the Personal Account Dealing group’s head of Trading Reviews, Investigations and Reporting.
  • Help manage the day to day responsibilities of the Code of Conduct / Personal Account Dealing (PAD).
Liaises with Compliance on the issuance of violations and various Monthly, Quarterly and daily Ad-hoc reporting.
  • Assist PAD management to define and implement process improvement action plans to streamline workflows and improve controls.
  • Assist PAD management with the migration of existing PAD functions to the Delaware Hub for Compliance
  • 5+ years of experience in the Legal, Compliance, Risk or Operations areas within the Financial Services industry.
  • Effective management skills - must be able to manage up, across and down the organization.
  • Client centric focus - Work as a trusted client partner and advocate, ensuring strong strategic alignment and open communication.
  • Controls/Risk management focus - Ensure we remain adaptable and responsive to the changing regulatory landscape.
  • Good at data organization and maintenance – must be detail oriented.
  • Able to deal with ambiguity and work to high standards of accuracy and efficiency.
  • Able to work both independently and as part of a team.
  • Comfortable user of Microsoft Office (i.e. MS Excel; Word, Visio, PowerPoint).
  • Strong and positive personality.
 
Preferred Skills & Knowledge:
  • Due to tight reporting deadlines, candidates must be prepared to sometimes work outside normal business hours or on public holidays to meet reporting obligations.
  • Demonstrated experience in building out High Performing Teams - Creates a culture of inclusion, empowerment, opportunity, and execution excellence. 
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