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Personal Account Dealing Operations Specialist, Compliance Operations - Portuguese

Req #: 180005293
Location: Newark, DE, 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 $2.6 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.


The Personal Account Dealing team ensures compliance with the Firm’s Code of Ethics and oversight of the Personal Account Dealing Policy as it relates to Employee Personal Trading, which includes but is not limited to disclosure of brokerage accounts, electronic and paper statement monitoring, identification and remediation of breaches to the PAD Policy and Violations issuance, to warrant the Firm meets it’s Regulatory and Fiduciary duty.


Primary responsibilities include:


  • Partner with Compliance and Technology contacts to conduct analyses aimed at determining root cause of data issues and develop strategy on how to address/remediate such issues
  • Upon creation of both ad-hoc and periodic reports, analyze output to develop action plans for resolving issues, share and vet data with business partners, respond to queries from various levels of Compliance management and troubleshoot any issues raised
  • Review requests from internal stakeholders and determine applicable response based on boundaries of Compliance policy
  • Create presentations for senior stakeholders based on interpretation of data metrics, evaluations of trends and make recommendations based on findings
  • Recommend solutions to defects reported by system end-users
  • Perform User Acceptance Testing, evaluate results, and recommend solutions to identified issues
  • Respond to regulatory, audit or control–related inquiries from business partners or management.  Create documentation/reporting on which responses to external inquiries are based; provide explanations for exceptions or trends
  • Manage relationship with Compliance business partners; evaluate and recommend best methods to resolve concerns within the boundaries of the Compliance Policy (e.g. reportability of Outside Activities)
  • Provide technical guidance to frontline Compliance staff and maintain a log of their inquiries
  • Conduct regular reviews of Standard Operating Procedures and recommend changes, as necessary
  • Review, monitor and reconcile transactional details to ensure subject employees’ personal brokerage accounts and trading activity are compliant with the Policy
  • Escalation of potential  breaches of the PAD Policy and Violation issuance
  • Implementation of tactical and strategic improvements to Employee Compliance platforms and processes
  • Participate in special assignments and ad hoc requests / project management
  • Bachelor's degree and/or 2-3 years equivalent work experience in the financial services industry
  • Knowledge of financial instruments (equities, fixed income, private investments)
  • Exceptional experience in Excel, especially with the use of macros, pivot tables, v-lookups, etc.
  • VBA experience a plus.
  • Ability to build and maintain effective working relationships with all levels of management and external parties
  • Quick learner;  innovative and analytical
  • Ability to adapt to opportunities presented through change
  • Pro-active approach to problem-solving; a logical thinker 
  • Highly disciplined individual, self-motivated, and delivery focused
  • Accuracy and attention to detail
  • Solid Communication skills, both verbal & written 
  • Strong data analysis skills with ability to provide guidance to partners and stakeholders based on analysis gathered
  • Demonstrated experience in defining/documenting new processes ensuring the appropriate level of controls in place
  • Strong experience in other Microsoft Office platforms such as Access, Word, and PowerPoint.
  • Ability to learn proprietary software
Preferred Skills:
  • Exceptional experience in Excel, especially with the use of macros, pivot tables, v-lookups, etc.
  • Knowledge of compliance techniques for the financial services industry preferred
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