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Global Employee Compliance Associate

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 Compliance Officer position will assist with policy, procedure and strategic initiatives on the Personal Account Dealing Team within the Global Employee Compliance area. The focus will be on industry regulations and firm wide controls related to insider trading, conflicts of interest, employee disclosure and registration requirements, response to regulatory inquiries, and global consistency of the firm’s policies and procedures.
Primary responsibilities include:
  • Provide advisory support to JPM staff members across all lines of business and corporate functions related to interpretation/application of Personal Account Dealing policies, procedures and regulations.
  • Provide regulatory and policy guidance to Compliance Processing and Technology staff and participate in strategic projects to streamline and automate firm-wide control processes.
  • Timely preparation and maintenance of compliance and risk management reports, databases, memos and control metrics.
  • Execute daily risk-based control functions.
  • Develop and maintain Personal Account Dealing policies and procedures.
  • Review, interpret, and draft communications related to FINRA, SEC, OCC and other regulatory matters and firm policies.
  • Assist the firm's Legal Department and Regulatory Management group with the preparation of documents in response to regulatory inquiries and exams.
  • Assist with regulatory filings.
  • Review and investigate employee conduct matters and collaborate with Human Resources, Employee Relations, business managers, and Global Security and Investigations to resolve employee compliance issues.


  • Bachelor’s degree, preferably in business, finance or economics – J.D. of M.B.A. preferred.
  • 3-5 years’ experience in compliance, legal, risk management or regulatory related function in the financial services industry.
  • Excellent written and verbal communication skills.
  • Strong MS Office skills including Word, Excel and PowerPoint.
  • Highly organized, detail oriented person who is comfortable working both independently and in a team environment.
  • Proactive, with the ability to manage multiple tasks simultaneously with minimal supervision.
  • Excellent collaboration and teamwork skills
  • Strong critical thinking and analytic skills
  • Continuous improvement and global business mindset.
Req #: 180056135
Location: Jersey City, NJ US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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