Compliance Director-Core Compliance
JPMorgan Chase - Jersey City, NJ

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Compliance Director-Core Compliance - 130087304
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.
  • The Compliance Director will report to the JPMS LLC North America Head of Personal Account Dealing compliance.
  • Responsibilities will include:
    • Assist with managing day to day personal account dealing compliance program for North America (trade pre-clearance, account disclosures, designated broker arrangements, account/transaction reviews and violation escalations, trade reporting, policy development, technology implementation, metrics and management reporting).
    • Assist with the development of strategic policy, process, and technology initiatives in the Personal Account Dealing area and the broader Employee Compliance space - from both a regional and global perspective.
    • Coordinate efforts across compliance and technology leadership to implement key automation action plans in response to FINRA commitments - including implementation of on-line trade pre-clearance and implementation of data feed aggregator for non-designated brokers.
    • Work with Compliance, Operations, and Technology counterparts to execute the strategy for further operationalizing certain aspects of the Personal Account Dealing compliance program.
    • Lead cross-functional compliance and technology team charged with designing, developing, and implementing a new firm-wide annual affirmation process for all members of the Firm’s US broker-dealer.
    • Track and report key performance metrics to senior compliance management.
    • Oversee continuous process improvement and enhanced quality control standards for North America PAD.
    • Manage team of compliance staff.
    • Bachelors Degree – preferably in business, finance, economics
    • MBA a plus
    • 10 – 15 years experience in compliance, risk management, or regulatory related function in the financial services industry
    • Demonstrated project management experience
    • Experience managing a team
    • Experience managing organizational change
    • Policy development experience
    • Strong written and verbal communication skills
    • Experience dealing with regulatory matters
    • Excellent presentation skills and data / analytical skills
    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

JPMorgan Chase - 7 months ago - save job - block
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At JPMorgan Chase, the work we do matters. All of us are committed to putting our resources and our voices to work every day for our...