J. P. Morgan Wealth Management - Suitability Product Team Associate

JPMorganChase•Jersey City, NJ

About The Position

As a Senior Associate on the Regulatory US Strategic Suitability product team within the Regulatory Programs and Transformation Group, you will support the development, implementation, and monitoring of solutions that maintain FINRA 2111 obligations for the SEC 17a3 playback letter and harmonized suitability questionnaire. The role includes writing, reviewing, and signing off on requirements; developing and maintaining the operating model; providing oversight reporting; and escalating observations about the regulatory operating business model. You will help maintain compliance with the policies, procedures, processes, and technology established to meet regulatory requirements. Regulatory Programs and Transformation drives critical regulatory change initiatives across Wealth Management. The team works cross-functionally with senior management, front-office advisors, product specialists, Legal, Risk, Compliance, Operations, Technology, and Supervision to implement complex change. It develops end-to-end solutions, builds subject-matter expertise in applicable rules and business models, provides post-implementation support, and drives ongoing improvements in response to industry changes and feedback from auditors, regulators, and the business.

Requirements

Must hold FINRA Securities Industry Essentials (SIE) and Series 99 licenses, or be able to secure them within 120 days of hire.
At least 3 years of experience in product, project management, process improvement, and/or data analytics.
At least 3 years of experience with wealth management infrastructure, including advisors, client service, product, technology, operations, supervision, and controls.
Strong analytical and logical thinking to understand large data sets and complex business processes.
Willingness to learn to identify trends, themes, and opportunities from information.
Intermediate to advanced experience using Microsoft Office, including Excel, Visio, and PowerPoint.

Nice To Haves

College degree or equivalent is strongly preferred.
Experience with compliance, supervision, controls, and/or legal initiatives.
Jira experience.

Responsibilities

Support project workstreams and assist in developing and deploying the strategic operating model for an assigned project or program.
Lead or assist workstreams and working groups delivering US Suitability initiatives in partnership with Front Office, Product, Marketing, Legal, Risk, Compliance, Operations, and Technology.
Contribute to the design and implementation of full operating models, including organizational structures, governance, processes, controls, and technology tools.
Identify challenges, gaps, and opportunities for improvement, and communicate findings clearly and compellingly.
Organize related in-flight programs that cross-impact or depend on the assigned workstream, project, or program.
Analyze large data sets to identify trends, challenges, and opportunities for improvement.
Escalate findings within the team and manage follow-ups.
Guide or execute remediations and corrective actions as needed.
Collaborate on requirements and enter them into Jira.
Participate in product lifecycle and governance checkpoints, applying process improvement, organizational design, change management, internal communication, and training strategies.