Compliance Officer at JPMorgan Chase Bank, N.A.

Posted in General Business 2 days ago.

This job brought to you by eQuest

Type: Full-Time
Location: Newark, Delaware





Job Description:

Description - Internal
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 JPMorgan Chase.
The Quality Assurance (QA) Team is an integral part of Compliance and is responsible for conducting a continuous
analysis against internal procedures and regulatory requirements to ensure quality, completeness, and accuracy. The
Quality Assurance team supports the review of activities performed by functions that support the firm's Compliance
Program.
The Quality Assurance Analyst will be responsible for analyzing, investigating, and escalating Alerts and suspicious
transactional activity. The candidate should have the ability to analyze large amounts of data, decipher higher risk
attributes (transactional, geographical, product, customer type, etc.) and appropriately disposition by utilizing analytical
skills and research results. There will be a strong expectation to liaise with Senior Management and other units at the
bank.
Responsibilities include:
- Reviewing trading reports and seeking exceptions related to Market Misconduct, Sales Practice, and Customer Suitability
related Compliance Issues.
- Performing thorough investigations and escalating possible violations of rules, regulations and procedures to the
attention of management.
- Assisting in the design, testing and implementation of new exception reports.
- Managing multiple projects in a fast paced environment
- Working on special projects pursuant to requests from senior management or necessitated by current events
Qualifications - Internal
Qualifications:
Requirements:
- Four year college degree or equivalent experience.
- Three to five years of experience in a compliance role, preferably in a Wealth Management Brokerage capacity.
- Familiarity with Wealth Management investment strategies and products including Mutual Funds, Structured Products,
Stocks, and Options.
- Excellent analytical skills.
- Excellent interpersonal, written and oral communications skills.
- Strong documentation skills to clearly articulate results of testing.
- Series 7, 63, 24 and 4 preferred but not required.JPMorgan 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





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