Job Description

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.

The Officer will be responsible for all aspects of the Insurance or Securities Registration population with JPMC (JPMorgan Chase). The Compliance Officer will need excellent communication and engagement skills because they will be expected to interact regularly with Compliance Management, Insurance/Registration Compliance, the Business and Employees regarding pre-clearance, registration, and continuing education.

Responsibilities will include the collection, collation, and tracking of paperwork required for onboarding, maintenance of confidential records, and updating of multiple Compliance information systems as well as special assignments and ad hoc requests, as needed. Key activities of the Team include:

Job Responsibilities

• Sourcing appropriate background documents for FINRA registration and/or insurance licensing from employees and managers
• Coordination with Insurance and Securities Regulators to process onboarding and amendments on a timely basis
• Monitoring operational processing controls
• Ensuring regulatory requirements are met by the employee while also adhering to our internal controls

Required Qualifications, Capabilities, and Skills

The candidate must be a quick learner who is able to work in a fast-paced, results-driven environment independently as part of a team. In addition, successful candidates should have the ability to use a wide range of computer-based systems, to exercise sound judgment and observe the highest degree of confidentiality in the handling of information received in connection with their responsibilities.

• Ability to build and maintain effective working relationships with internal stakeholders including but not limited to Sales Representatives, all levels of management, and external parties
• Strong analytical and problem solving skills with the ability to recommend and make decisions autonomously
• Ability to thrive in a changing work environment and manage well under pressure
• Quick learner, team player, results-oriented, self-motivated, flexible approach to work hours
• Proactive approach to problem-solving, a logical thinker who appropriately challenges the status quo
• Strong oral and written communication and presentation skills
• Regulatory or operations knowledge of securities and/or insurance a plus
• Intermediate proficiency with Microsoft Excel (e.g. pivot tables, macros, data analytics, etc.), PowerPoint, Vision (e.g. process mapping), and Outlook 
• Document review experience and high attention to detail