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Complaint Resolution Analyst I

Job Description

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.

 

This position sits within the retail brokerage division of JP Morgan Chase Bank NA supporting the Wealth Management line of business.

 

The Analyst will be responsible for reviewing and responding to any customer complaints assigned to them by management while also ensuring that any required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner.

 

Primary responsibilities include:

  • Review, investigate and respond to customer complaints.
  • Ensure that required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner.
  • Assist the firm's Legal Department with the preparation of discovery documents related to pending arbitrations and/or litigations involving customer complaints. . Conduct interviews of Financial Advisors or other firm employees in connection with the investigation of customer complaints.
  • Provide recommendations to management on available courses of action with respect to customer complaints.
  • Identify widespread operational concerns and refer matters to the firm's Risk, Examination and/or Surveillance Groups for possible corrective action.

Qualifications:

  • Bachelor's degree and 3-5 years of progressively responsible compliance/securities industry experience required.
  • Experience in complaint handling and dealing with regulators is preferred. Excellent writing skills are mandatory.
  • Series 7, 66, 9/10 or 24 registration is desirable.
  • Series 53, 4; Life and Disability licensing is desirable.
  • Knowledge of concepts, products, practices and compliance techniques for the financial services industry preferred.
  • Ability to understand complex legal and regulatory issues, FINRA rules and regulations required.
  • Understanding of methodologies for researching and analyzing compliance issues required.
  • Understanding of reporting requirements of various regulatory agencies required.
  • Advanced MS office skills including Word, Excel and PowerPoint preferred. Ability to learn proprietary software
Req #: 160018794
Location: Columbus, OH US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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