Compliance Data Management – Employee Compliance Analyst - 502
JP Morgan Chase
JPMorgan Chase & Co. is a leading global financial services firm with 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 http://www.jpmorganchase.com/ .
Our Compliance Function
With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.
Compliance Data Management team is responsible for ensuring the highest quality of data for use in Corporate Compliance Reporting, Surveillance and Monitoring. This is achieved through the monitoring and validation of inbound data to identify data quality issues, complete impact assessment and remediate through the Defect Governance framework.
The team supports its Compliance and Advisory partners across multiple functions: Trade Surveillance & Employee Personal Account Dealing focusing on the prevention of manipulative or illegal trading practices, Client List Screening focusing on Office of Foreign Assets Control (OFAC) Sanctions & Know Your Customer (KYC) programs and AML Transaction Monitoring, focusing on the detection, investigation and reporting of suspected money laundering and terrorist financing.
CDM also manages the Compliance Chief Data Office (CDO) responsibilities, ensuring data issues are reported and tracked in accordance with the Firmwide Data Office Policy, partnering to help influence Firmwide policy and/or best practice and drive consumer data standards across all Lines of Business. CDM is responsible for various projects/initiatives that focus on improving operational efficiencies and controls for the CDM organization and the areas we support.
The CDM team partner globally with the following groups in support of these functions:
· Back Office & Middle Office Operations teams.
· LOB & Compliance Technology groups (Operate and AD).
· Global Compliance teams & Project Management Office.
· Reference Data Teams (Security, Client and Pricing data etc.)
· Firmwide Data Management
· Monitor delivery and completeness of feed/files into and throughout the Compliance environment and escalate delays to the appropriate stakeholders
· Perform data analysis & reconciliations to identify data issues and their impact to Compliance.
· Participate in weekly Working Groups to triage new data quality issues, assign & manage the severity, and review closures of issues, with input from Compliance, Technology and the Personal Account Dealing processing teams.
· Take ownership & manage data issues throughout the Firm-wide Data life cycle, partnering by effectively collaborating with functional leads from Lines of Business, Technology, Operations and Compliance to document data issues, root cause and communicate remediation plans.
· Collaborate effectively with regional and global CDM colleagues to complete ad hoc projects and initiatives.
· Produce weekly metrics.
· Update and maintain procedure documentation and process flows.
· Support UAT testing, review test scripts, and create business requirement documentation (BRDs).
· Experience in an Operations, Middle Office, or Compliance environment (preferably with a focus on ensuring data quality).
· Some experience in financial services industry
· Experience in defining/documenting new processes ensuring appropriate Controls framework
· Experience in an end to end exception management process; preferably in resolving data quality issues
· Effective analytical, problem solving and decision-making skills.
· Excellent verbal and written communication, influencing and relationship building skills.
· Intermediate Excel skills required for data analysis (e.g. use of pivot tables and v-lookups)
· Able to multi-task and meet deadlines while maintaining quality output
· Accuracy and attention to detail
· Knowledge of Employee Compliance Policy & Regulations (Personal Account Dealing, Anti-Corruption & Bribery etc) or Electronic communication channels (e.g. Bloomberg, Symphony etc.) advantageous.
About J.P. Morgan Chase & Co:
J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion. 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. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its JPMorgan and Chase, and WaMu brands.
J.P. Morgan offers an exceptional benefits program and a highly competitive compensation package. J.P. Morgan is an Equal Opportunity Employer
· Strong Microsoft Office skills with proficiency in Excel, Word, PowerPoint & Visio
· Data Quality Management (Firm-Wide Data Tool)
· Knowledge of the Employee Surveillance systems (PATROL, PACT, Alcatraz) an advantage.