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Philippines - AM - Agency

Job Description

As a Compliance Officer, you will review and approve marketing materials; advise on option issues especially on marketing materials; review and gather customer complaints as well as create reporting and filing of complaints; serve as a liaison to the centralized regulatory exam group; gather documents and materials for regulators; prepare Regulatory presentations; participate on special projects and draft policies and procedures.

  • Previous experience and/or knowledge of general brokerage compliance, NASD and NYSE marketing and advertising guidelines is required
  • Knowledge of options, supervisory and marketing rules
  • Must have Series 7, 24, 63; Series 9, 10, 4 preferred
  • Excellent interpersonal and communication skills
  • Law degree or MBA a plus

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


Req #: 180001469
Location: Taguig City, 00 PH
Job Category: Digital
Employment Type: Full Time
Potential Referral Amount: US Dollar (USD)

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