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Corporate Compliance - Private Bank Broker Dealer Strategy and Coordination - Associate - New York

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

J.P. Morgan is a global leader in asset management services.  J.P. Morgan Global Wealth Management (GWM) serves various client types through three separate sub-lines of business: individuals through ultra high net worth and high net worth (UHNW & HNW); and institutional clients and high net worth retail clients through J.P. Morgan Securities (JPMS).

The Private Bank Sales and GWM Trading Compliance Team provides core advisory and strategic direction to the U.S. Private Bank brokerage business regarding all aspects of regulatory and Compliance matters. This position will support coordination and management of the day-to-day compliance responsibilities and functions for the Team.

Key responsibilities include:
      • Provide strategic support to Team including Issue Management, and coordination of Regulatory Exams, Inquiries, and Reporting;
      • Manage governance and management metrics development and reporting;
      • Drive and develop communications regarding key initiatives with the Team;
      • Evaluate methods, processes and risks and implement improvements;
      • Liaise with Team Leads and RIA and Bank Compliance;
      • Liaise with GWM Legal team and business partners
    • 3-5+ years of experience in financial services industry with various roles of increasing responsibility
    • Audit, Legal or Compliance professional with relevant experience addressing private banking and securities issues;
    • Law Degree/Juris Doctorate preferred; law firm securities law experience a plus;
    • Professional maturity and confidence in expressing a point of view with peers and senior management; ability to be a proactive and dynamic member of a team;
    • Excellent judgment, and keen understanding and knowledge of the regulatory environment;
    • Excellent oral and written communication skills and strong interpersonal skills;
    • Ability to work independently, escalate appropriately and multitask successfully in fast-paced and complex business environment.
      Req #: 160019770
      Location: New York, NY US
      Job Category: Compliance
      Employment Type: Full Time
      Potential Referral Amount: 0 US Dollar (USD)

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