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Global Compliance Operations - Licensing and Registration - Associate

Job Description

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.
 
Registration and Licensing (R&L) is a critical Compliance function within JPMorgan Chase. The registration and licensing of qualified employees is required for the marketing, sale, and trading of securities and insurance products to the Firm’s institutional clients and retail customers. JPMorgan Chase is a global firm, and financial services regulators and licensing entities include state and national organizations in the US and abroad. The Registration and Licensing group is responsible for ensuring that employees requiring registration for the performance of their responsibilities comply with the Firm’s internal policy as well as all External requirements for obtaining and maintaining a license.
 
The Associate position is part of the Firm’s newly formed R&L Compliance Operations team. Key activities of the Team include:
 
  • Responsible for the oversight and management of the day-to-day operations
  • Is able to lead, manage and develop team members and readily adjust to changing priorities; maintain the highest standards of quality and professionalism.
  • Expected to quickly understand internal control policies and regulatory requirements as they relate to the business and functional area.
  • 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.
  • Coordination with State Department of Insurance to process insurance licensing and renewals on a timely basis
  • Monitoring operational processing controls
 
The Associate position will be responsible for all aspects of the insurance licensing population with JPMC. The Compliance Analyst will communicate regularly with Compliance Management, Registration Operations, the Business and Employees regarding registration, continuing education and product-specific training requirements. Responsibilities will include the collection, collation and tracking of paperwork required for an insurance license, maintenance of confidential records, and updating of multiple Compliance information systems. Special assignments and ad hoc requests, as needed.
 
 
 
  • 5+ years management experience to include managing people, complex processes, and technology change.
  • 3+ years experience in Operational/Financial services
  • 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.
  • Bachelor’s degree or equivalent work experience
  • Ability to build and maintain effective working relationships with Sales Representatives; comfortable with interaction with all levels of management and external parties; a team-player
  • Ability to adapt to opportunities presented through change
  • Pro-active approach to problem-solving; a logical thinker
  • Results-oriented, self-motivated and a flexible approach to working hours
  • Intermediate Microsoft Outlook experience
  • Strong analytical skills
Req #: 160047500
Location: Newark, DE US
Job Category: Operations
Employment Type: Full Time
Potential Referral Amount: 500 US Dollar (USD)

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