Compliance Director-Core Compliance
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.
JPMorgan Chase Co. is an Equal Opportunity and Affirmative Action Employer, M/F/D/V
- 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
US-NJ-Jersey City-NOC 5 - 575 Washington / 02969
JPMorgan Chase & Co.
JPMorgan Chase - 7 months ago
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