2 days old

Employee Compliance Analyst

JPMorgan Chase & Co.
Newark, DE 19711
  • Job Code
    190093888

Employee Compliance Analyst

Req #: 190093888
Location: Newark, DE, US
Job Category: Compliance
Potential Referral Amount: 500 US Dollar (USD)

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries.  The firm is a leader in Investment & Corporate Banking; Financial Services for consumers, small business and commercial banking; financial transaction processing; asset management and private equity. 


Licensing and Registration (L&R) is a critical Compliance function within JPMorgan Chase. The registration and licensing of qualified employees is required for the marketing, sale, and trading of securities and insurance products to the Firm’s institutional clients and retail customers. JPMorgan Chase is a global firm, and financial services regulators and licensing entities include state and national organizations in the US and abroad. The Licensing and Registration group is responsible for ensuring that employees requiring registration for the performance of their responsibilities comply with the Firm’s internal policy as well as all External requirements for obtaining and maintaining a license.
 
The Compliance Analyst position is part of the Firm’s L&R Compliance Processing team. Key activities of the Team include:
 
Sourcing appropriate background documents for FINRA registration from Employees and Managers
Maintaining and tracking documentation
Coordination with Insurance and Securities Regulators to process onboarding and amendments on a timely basis
Monitoring operational processing controls
 
The Analyst position will be responsible for all aspects of the Insurance or Securities Registration population with JPMC. The Compliance Analyst will communicate regularly with Compliance Management, Insurance/Registration Compliance, the Business and Employees regarding pre-clearance, registration, and continuing education. Responsibilities will include the collection, collation and tracking of paperwork required for onboarding, maintenance of confidential records, and updating of multiple Compliance information systems. As well as special assignments and ad hoc requests, as needed.

 

Successful candidates should have a strong formal education or work experience, the ability to work independently and use their initiative and be adaptable to change.  In addition, successful candidates need to be quick learners with the ability to use a wide range of computer based systems, to exercise sound judgment and observe the highest degree of confidentiality in the handling of information received in connection with their responsibilities.

 

  • Bachelor’s degree or equivalent work experience

  • Ability to build and maintain effective working relationships with Sales Representatives; comfortable with interaction with all levels of management and external parties; a team-player

  • Quick learner; innovative and analytical

 


Keyword: consumer%20banking

Categories

Posted: 2019-10-11 Expires: 2019-11-10

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Employee Compliance Analyst

JPMorgan Chase & Co.
Newark, DE 19711

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