Trade Lifecycle Lead - Legal Entity Oversight & Control

JPMorganChase • Jersey City, NJ

1d

About The Position

Step into a high-impact leadership role as a Trade Lifecycle Lead at JPMorgan Securities LLC, where you’ll be at the forefront of our U.S. Broker-Dealer operations. In this pivotal position, you’ll oversee the daily functions that support compliance, settlements, and regulatory reporting, ensuring strict adherence to SEC, FINRA, and other regulatory requirements. Your expertise will be essential in driving operational efficiency, managing risk, and leading strategic initiatives that strengthen our compliance culture. You’ll collaborate with cross-functional teams, manage complex regulatory filings, and ensure all reporting is accurate and timely—making you a key player in our firm’s continued success. As the Trade Lifecycle Lead within JPMorgan Securities LLC, you’ll leverage your deep understanding of regulatory rules to identify areas of risk and develop innovative solutions that keep us ahead of industry changes. You’ll lead change management initiatives, manage critical projects, and influence strategic decisions within your area of responsibility. This is your opportunity to make a significant impact, shape the future of broker-dealer operations, and grow your career with a global leader. If you thrive in a fast-paced, high-stakes environment and are passionate about operational excellence and compliance, we invite you to join us and drive the next chapter of success at JPMorgan Securities LLC.

Requirements

• Bachelor's degree in Finance, Accounting, Business or related field is required.
• Minimum of 5+ years of experience in broker-dealers operations or compliance; with evidence of extensive knowledge of U.S. securities laws, rules, and regulations, including SEC and FINRA requirements.
• Advanced skills in project management, with a track record of leading complex projects and driving change management initiatives.
• Exceptional time management skills and attention to detail, with strong analytical and problem solving abilities.
• Excellent verbal and written communication skills, with the ability to translate technical subject matter to various audiences.
• Strong ability to influence strategic decisions, with a focus on improving operational efficiency and mitigating risks.
• FINRA Securities Industry Essentials & Series 99 required or commitment to be obtained within 120 days of hire.

Responsibilities

• Ensure accurate and timely preparation and submission of all required regulatory reports, such as Extensions of Time.
• Develop, implement, and maintain the firm's Written Supervisory Procedures (WSPs) and Standard Operating Procedures (SOPs), ensuring they align with the day to day processes.
• Collaborate with other lines of business, including legal, compliance, technology, and settlements operations to ensure the firm is in compliance with all regulations.
• Identify potential compliance and operational risks through a deep-dive analysis of existing report infrastructure, documenting the end to end process to be ready for audits and examinations.
• Lead various forums, presenting metrics and other project initiatives to senior leadership within the firm to keep them abreast of any areas of concern.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees