22 days old

Corporate & Investment Banking - Compliance Testing - Compliance Tester - Associate / Vice President - Tampa

JPMorgan Chase & Co.
Tampa, FL 33602
  • Job Code

Corporate & Investment Banking - Compliance Testing - Compliance Tester - Associate / Vice President - Tampa

Req #: 190096862
Location: Tampa, FL, US
Job Category: Investment Banking
Potential Referral Amount: 0 US Dollar (USD)

JPMorgan Chase& Co. (NYSE: JPM) 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/.


JPMorgan Chase & Co.’s Compliance Department is seeking Compliance professionals to join the North America CIB Compliance, Conduct, and Operational Risk Testing team, which functions within the firm’s second line of defense and provides testing coverage for the following U.S. CIB businesses:


  • Financial Markets:

Global Equities, Securitized Products, Rates/Credit/FX/Public Finance, Research, Commodities, Prime Brokerage & Finance, Futures & Options Execution

  • Investment Banking:

Client Coverage, Mergers & Acquisitions, Equity Capital Markets, Debt Capital Markets, Corporate Banking, and Wholesale Payments

  • Securities Services:

Agent Lending, Collateral Management, Custody, Depository Receipts, Global Fund Services, Global Clearing, and Liquidity

  • Corporate Functions:

Global Treasury and the Chief Investment Office



  • Communicate with relevant businesses, Line of Business Compliance, Business Control Managers, Operational Risk Management, and Technology partners while conducting detailed evaluations of i) internal controls, ii) policies, iii) procedures, and iv) processes that mitigate risks and reasonably ensure adherence to applicable regulations, legal obligations, and business requirements.
  • Identify potential or actual weaknesses in controls, processes, and procedures.
  • Interpret risk assessment results and develop appropriate methodologies and approaches to review business related activities.
  • Communicate with relevant stakeholders to understand workflows, controls, processes, and procedures employed to mitigate compliance, conduct, and operational risks.
  • Write test reports that effectively communicate testing objectives, processes, methodologies, and results to senior management, business control managers, and other relevant functions.
  • Follow-up on statuses of identified issues until effectively remediated.
  • Communicate with CIB Regional 2nd Line of Defense Testing teams in EMEA, APAC and LATAM to ensure global testing consistency and promote adherence to testing standards.
  • Participate in special projects to enhance compliance testing processes and practices.



  • Five + years of relevant compliance/operational risk testing, regulatory, examination, or internal audit experience.
  • Experience within a top tier U.S. financial services firm is a plus.
  • A working knowledge of Investment Banking, Sales, and Trading-related activities is a plus.
  • Understanding of control frameworks and risk assessment analyses.
  • Experienced business writer with proven ability to review and edit testers’ written test related documents and ensure clear and concise descriptions of reviews and conclusions.
  • Strong analytical and investigative skills.
  • Ability to work independently and collaboratively within a team environment.
  • Ability to manage multiple assignments simultaneously with minimal supervision.
  • Strong interpersonal, communication, and organizational skills.
  • Ability to interact with all levels of personnel within the corporate framework.
  • Knowledge of Dodd Frank and Volcker regulations a plus.

Keyword: consumer%20banking


Posted: 2019-11-22 Expires: 2019-12-22

Before you go...

Our free job seeker tools include alerts for new jobs, saving your favorites, optimized job matching, and more! Just enter your email below.

Share this job:

Corporate & Investment Banking - Compliance Testing - Compliance Tester - Associate / Vice President - Tampa

JPMorgan Chase & Co.
Tampa, FL 33602

Join us to start saving your Favorite Jobs!

Sign In Create Account
Powered ByCareerCast