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Global Compliance Operations - Employee Compliance Personal Account Dealing (PAD) - Vice President

Job Description

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at

The Global Compliance Operations (GCO) organization provides management and oversight associated with operational support for Global Compliance including the development of operational centers of excellence for compliance functions which are operational in nature including: Alert Operations (Level 1 Alerts Disposition), OFAC/Client Screening, Due Diligence, Look Backs, Disclosure of Interest, Account Activity Reviews, Personal Account Dealing, and Licensing & Registration.  

GCO is responsible for supporting and leading aspects of the firm's Anti-Money Laundering (AML) program. The team works closely with the AML Program Management Office, Global Financial Crimes Compliance and the enterprise-wide control program teams to identify, remediate and track issues, and develop controls to sustain improvements as they are made. The company's responsibilities related to Anti-Money Laundering span every business, function and region - and apply to every customer and client of the firm.

Department Overview: The North America Personal Account Dealing department is a division of the Employee Compliance and Regulatory Reporting and is responsible for monitoring the personal trading of North America employees who are subject to the firm’s Personal Account Dealing policy.


Manager for the department is responsible for managing approximately 40 staff divided between three distinct but inter-related workstreams, each overseen by a managerial Associate.



  • Responsible for the oversight and management of the day-to-day operations and management of a team of approximately 40 with three Associate direct reports

  • Responsible for providing Operational guidance on the continuing build-out of the strategic platform that will be used to manage our data and workflow

  • Is able to lead, manage and develop team members and readily adjust to changing priorities; maintain the highest standards of quality and professionalism

  • Ability to take direction, work independently and coordinate work with others

  • Expected to quickly understand internal control policies and regulatory requirements as they relate to the business and functional area

  • Proactively manage operational risks by recognizing gaps in technology and processes, developing solutions and escalating issues to management

  • Partner with other EC&RR managers to cross-train and re-allocate resources as volumes and priorities dictate

  • Foster an environment of constant improvement, reducing cycle times and strengthening controls

  • Work closely with the Compliance Advisory team responsible for setting the policies that we execute on

  • Manage ad hoc projects as needed

  • 5+ years management experience to include managing people, complex processes, and technology change
  • 3+ years experience in Operational/Financial services
  • BA/BS Degree
  • Strong understanding of markets, trading, and financial instruments
  • Effective communicator with excellent writing, listening, negotiation skills
  • Ability to work with deadlines: Strong time management, problem solving, and decision making skills
  • Manage competing priorities with a sense of urgency in a fluid, non-siloed environment
  • Solid computer skills – MS Office Suite
Req #: 160041631
Location: Newark, DE US
Job Category: Operations
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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