WM Equities and Listed Options Trading Desk

Responsibilities :

• Perform independent assessment of compliance risks within WM's Equities and Listed Options Trading Desk (the "Trading Desk")

o Maintain visibility into CORE results and use these results to form the basis for prioritization of CCOR risk management activities including monitoring and testing plans to cover: (i) short selling locates for hard-to-borrow securities, (ii) Equity IPO allocations per FIRNA Rules 5130/5131, (iii) overwrite of system generated exceptions related to SEC Rule 15c3-5 (Market Access), (iv) trade allocations and best execution, and (v) oversight of Actimize alerts across all exceptions

o Facilitate the reporting and escalation of compliance, conduct and operational risks to senior management and governance/oversight committees

o Assess and address training and awareness needs of the Trading Desk

• Represent WM Capital Market Solutions Compliance in firm-wide best execution and electronic trading forums and lead annual SEC Market Access Rule review and certifications

• Evaluate effectiveness of available metrics and enhance or design new metrics to identify trends, patterns, or potential areas of concern
• Advise the Trading Desk on matters related to restricted and control securities and transaction of securities in reliance of Securities Act exemptions
• Keeping abreast of industry trends and "hot issues" and anticipate areas of focus and attention of regulators, keeping business management and Compliance colleagues informed
• Provide Compliance advice to the line of business on the implementation of appropriate actions plans to address identified compliance and/or control gaps

Role Requirements :

• Strong understanding of securities transaction lifecycles, systems and controls

• Proven track record in partnering with business heads to proactively identify growth areas and emerging risks

• Proven track record of initiating policy and control improvement and driving programs and that enhance transparency, governance or control

• Working knowledge of the FINRA, SEC and other legal and regulatory requirements applicable to the WM businesses

• Minimum of 6 years of experience either as a regulator or in-house compliance, audit and/or risk officer at a large Financial Institution with expertise in brokerage and advisory servicesJPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

Equal Opportunity Employer/Disability/Veterans