Compliance Manager - Private Bank Surveillance
JPMorgan Chase - Jersey City, NJ

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130097313

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 Vice President's primary responsibilities include:
Reviewing daily transactional surveillance trading reports seeking exceptions.

Review of state “Blue Sky” requirements.

Reviewing monthly suitability reviews of client accounts.

Performing thorough investigations of each exception and bringing possible violations of rules, regulations and procedures to the attention of management.

Assisting in the design, testing and implementation of new exception reports.

Responsible for customer complaint review and filings.

Escalating appropriate concerns to business compliance, AML compliance and management.

Managing multiple projects in a fast paced environment.

Working on special projects pursuant to requests from senior management or necessitated by pertinent current events.

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 Vice President's primary responsibilities include:
Reviewing daily transactional surveillance trading reports seeking exceptions.

Review of state “Blue Sky” requirements.

Reviewing monthly suitability reviews of client accounts.

Performing thorough investigations of each exception and bringing possible violations of rules, regulations and procedures to the attention of management.

Assisting in the design, testing and implementation of new exception reports.

Responsible for customer complaint review and filings.

Escalating appropriate concerns to business compliance, AML compliance and management.

Managing multiple projects in a fast paced environment.

Working on special projects pursuant to requests from senior management or necessitated by pertinent current events.

Qualifications

Requirements:
Bachelors' degree or equivalent experience.

Five+ years' experience in the securities industry dealing with the high net-worth business preferably in a Private Bank compliance capacity. Strong background in fixed income and structured products.

Excellent analytical skills.

Excellent interpersonal skills and written and oral communications skills.

Series 7 and 63 Required. Series 24 and 4 preferred.

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

Job

Compliance

Primary Location

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

Organization

Office of the General Counsel

Schedule

Full-time

Job Type

Standard

Shift

Day Job

Employee Status

Regular

JPMorgan Chase - 11 months ago - save job - copy to clipboard
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