Compliance -Risk Management Senior Officer - Associate
About The Position
As a Compliance Risk Management Senior Officer - Associate in Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You partner with Line of Business and global or regional Compliance teams, including Internal Audit, Operational Risk, and other Control functions. You bring your compliance expertise and knowledge of regulatory and audit best practices to help us maintain robust risk controls. Together, we ensure our business operates responsibly and meets the highest standards.
Requirements
- Undergraduate degree or equivalent experience.
- Minimum 3 years of experience in financial services, compliance, or regulatory roles.
- High attention to detail, flexibility, patience, and strong analytical skills.
- Excellent interpersonal skills and ability to work independently.
- Ability to travel up to 40% (mostly regional).
- Valid driver's license.
Nice To Haves
- FINRA Series 7, 66 and 24 licenses.
- Experience with High Security Access systems and enhanced screening processes.
- Familiarity with trading analysis and document review procedures.
- Strong written communication skills for reporting and documentation.
- Experience collaborating with cross-functional teams.
- Knowledge of regulatory and audit best practices in financial services.
- Demonstrated ability to challenge the status quo and drive process improvements.
Responsibilities
- Perform on-site and remote compliance examinations of broker-dealer and investment advisory businesses to ensure adherence to firm policies and procedures.
- Conduct analysis of trading branch configuration, and documentation as part of compliance examinations.
- Evaluate findings and formulate conclusions in written reports, schedules, worksheets, and narrative materials.
- Collaborate with Line of Business, Supervision, global or regional Compliance teams, Internal Audit, Operational Risk, and other Control functions.
- Apply regulatory and audit best practices to all monitoring and testing activities.
- Maintain high attention to detail and work independently to meet objectives.
- Travel regionally up to 40% to conduct examinations.
- Successfully complete enhanced screening requirements for High Security Access systems.
- Hold a valid driver's license for travel requirements.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Industry
Credit Intermediation and Related Activities
Number of Employees
5,001-10,000 employees
