18 days old

Employee Compliance - Associate

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

Employee Compliance - Associate

Req #: 190091589
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 Licensing and Registration 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 Individual
To be successful in this role the candidate must be prepared to work in a challenging yet rewarding environment delivering a first class product which will exceed all client expectations.  You must enjoy creating and maintaining strong relationships with key stakeholders.  You will be responsible for delivering the agenda which will allow our business to drive forward. You’ll be someone who loves to make things happen, has excellent communication and engagement skills, be someone whom is passionate about innovation and driving change and can operate at the highest level.  This is a fantastic opportunity to join the team as the firm-wide utility takes shape.  Data quality is a key driver across the franchise and it touches almost every area of the bank.




  • Responsible for the oversight and management of the day-to-day operations and management of a team of 3-5 Analysts.
  • The Officer position will be responsible for all aspects of FINRA registrations with JPMC. The Compliance Officer will communicate regularly with Compliance Management, the Business and Employees regarding pre-clearance, registration, and continuing education.
  • Build relationships with senior stakeholders across the firm
  • Responsible for providing Operational guidance on the continuing build-out of the strategic platform that will be used to manage our data and workflow.
  • Is able to lead, manage and develop team members and readily adjust to changing priorities; maintain the highest standards of quality and professionalism.
  • Ability to take direction, work independently and coordinate work with others.
  • Expected to quickly understand internal control policies and regulatory requirements as they relate to the business and functional area.
  • Proactively manage operational risks by recognizing gaps in technology and processes, developing solutions and escalating issues to management.
  • Partner with other Employee Compliance managers to cross-train and re-allocate resources as volumes and priorities dictate.
  • Foster an environment of constant improvement, reducing cycle times and strengthening controls.
  • Work closely with the Compliance Advisory team responsible for setting the policies that we execute on.
  • Manage ad hoc projects 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
  • High level problem solving ability coupled with the ability to recommend and make decisions autonomously
  • Ability to adapt to opportunities presented through change
  • Pro-active approach to problem-solving; a logical thinker
  • Results-oriented, self-motivated and a flexible approach to working hours
  • Experience creating Microsoft Excel Pivot Tables
  • Intermediate Microsoft Outlook experience
  • Strong Analytical skills
  • Document review experience

Keyword: consumer%20banking


Posted: 2019-10-31 Expires: 2019-12-14

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:

Employee Compliance - Associate

JPMorgan Chase & Co.
Newark, DE 19711

Join us to start saving your Favorite Jobs!

Sign In Create Account
Powered ByCareerCast