Compliance Mission Statement
The Compliance Processing team supports Compliance, to ensure that our customers, employees, and lines of business are in adherence with firm standards and required regulations.
Our mission is to provide compliance support across the firm’s global businesses and functions. We are driving a culture of quality and continuous improvement toward the best outcome for client experience, our colleagues and JP Morgan Chase. We do the right thing, even when it’s not the easy thing.
If you're interested in working in an environment where leadership, excellence, integrity, and diversity are among our core principles, then explore the opportunities at JP Morgan Chase.
Our team- Personal Account Dealing
Responsible for overseeing employee personal trading activities in adherence with regulations in the Firm’s respective regions of operation. Specifically, we are responsible for the on-boarding of employee Personal Trading Account(s) data, as well as monitoring their compliance to the firm’s Personal Trading Policies.
The PAD operational model spans across all lines of business, compliance and technology and is a cross product group. As a member of the team you will be tasked with coordinating the effort in sync with your counterparts in the other regions i.e. Americas and Asia, as well as maintaining the day to day control environment of the EMEA and APAC region.
· Ensure the timely pre approval and reconciliation of employees personal trades (including reporting of breaches, reconciliation of statements and employee records)
· Support the creation of Internal, External (Regulatory) and Ad-hoc reports, based off the PAD strategic platform or per a pre-defined reporting calendar
· Collation, analysis and distribution of Operational Metrics / Key Performance Indicators
· Inquiry management/Investigations
· Operational/Compliance remediation exercises
· Project/Change Management Support
· Documentation Management
The successful candidate will be a team member responsible for successfully monitoring the employees’ personal dealing activities with strong adherence to compliance policies and controls. They should be analytical and have the ability to identify trading activity that is not in line with JP Morgan Personal Account Dealing Policy. Frequently communicate with Regional and LOB Compliance to maintain and track the employees’ personal account dealing data and activities.
· Strong experience in the Legal, Compliance, Risk or Operations areas within the Financial Services industry
· A working knowledge of the financial markets and products
· Client centric focus - Work as a trusted client partner and advocate, ensuring strong strategic alignment and open communication
· Good at data organization and maintenance – must be detail oriented
· 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
· Execution skill - Able to deliver results/meet deadlines under pressure
· Candidates must be prepared to sometimes work outside normal business hours or on public holidays to meet reporting obligations
· Demonstrated experience working as part of a High Performing Teams - Creates a culture of inclusion, empowerment, opportunity, and execution excellence
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