Senior Compliance Officer
JPMorgan Chase - Jersey City, NJ

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130086496

Job Description

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 banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.

Job Description

The Senior Compliance Officer position is for the JPMorgan Chase Brokerage/Investment Advisor Compliance Department and will report to the Vice President of the Compliance Testing and Examinations Unit. A full time exempt position is located in Jersey City, NJ.

Duties

Performing on-site compliance examinations of broker-dealer and investment advisory business to determine adherence to JPMorgan Securities policies and procedures. Examinations consist of trading analysis, knowledge assessment, and document reviews. Evaluating findings and formulating conclusions in written reports on compliance assessments, required schedules, worksheets and narrative materials. Travel will be required 35 percent of the time (mostly regional travel).

Qualifications

FINRA Series 7, 66 (or equivalent), and 24 license.

Prior broker/dealer experience with compliance or audit is desirable.

The position will require high attention to detail, flexibility, patience, good analytical as well as interpersonal skills, and the ability to work independently.

Valid driver’s license.

JPMorgan Chase Co. is an Equal Opportunity and Affirmative Action Employer, M/F/D/V

Job

Other

Primary Location

US-NJ-Jersey City-NOC 5 - 575 Washington / 02969

Organization

JPMorgan Chase & Co.

Schedule

Full-time

Job Type

Standard

Shift

Day Job

Employee Status

Regular

Travel

Yes, 25 % of the Time

JPMorgan Chase - 11 months ago - save job - block
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