Compliance Risk Management Senior Officer - Associate

Job Description
Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.
As a Compliance Risk Management Senior Officer within the JPM Wealth Management team and the Compliance Conduct and Operational Risk (CCOR) organization, you will be responsible for partnering with the Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions. You will leverage your knowledge and experience in Compliance as well as have a familiarity with regulatory best practices. Additionally, you will support JPM Wealth Management trading desks inclusive of executing client orders in primary and secondary markets, develop structured investments, and identifying investment opportunities for JPM Wealth Management clients. In this role you will also focus on equities and fixed income trading Compliance matters.
Job Responsibilities

• Maintain policies and standards which set forth the requirements for equities and fixed income trading regarding the management and oversight over compliance risks
• Participate in the risk assessment process and provide challenge to the identification of risks on activities conducted by the trading desks
• Identify potential concerns and control issues, determine the root cause of issues and ensure stakeholders develop and implement appropriate corrective actions
• Partner with global/regional Surveillance teams in promoting our global program and its responsibilities
• Conduct ongoing compliance monitoring activities and participate in special projects as required
• Participate in internal and external examinations and audits

Required qualifications, capabilities, and skills

• Knowledge of SEC, FINRA and MSRB rules relevant to securities trading with focus on regulatory trade reporting, best execution, distribution of issues, and SEC Market Access rule
• Strong written and oral executive-level communications skills
• Excellent analytical skills
• Bachelor's degree required
• Ability to work both independently and as a core team member

Preferred qualifications, capabilities, and skills

• JD preferred

About Us
JPMorganChase, 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 offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
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. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans
About the Team
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we're setting our businesses, clients, customers and employees up for success.
Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm's needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.