Manager - Compliance, Employee Conduct

Employee Compliance Processing 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: Personal Account Dealing, Code of Conduct and Licensing & Registration.

Licensing and Registration Processing (L&R) is a critical Employee 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. L&R partners with employees requiring registration or licensure for the performance of their responsibilities, to ensure they comply with the Firm’s internal policy as well as all external requirements.

 The Role

The L&R team is looking for a Manager who is prepared to work in a challenging yet rewarding environment.  The individual will manage a local team responsible for collection, collation, and tracking of paperwork required for onboarding, maintenance of confidential records, and updating of multiple Compliance information systems as well as special assignments and ad hoc requests, as needed. Key activities of the Team include:

• Sourcing appropriate background documents for FINRA registration and/or insurance licensing from employees and managers
• Maintaining and tracking documentation
• Coordination with Insurance and Securities Regulators to process onboarding and amendments on a timely basis
• Monitoring operational processing controls
• Ensuring regulatory requirements are met by the employee

Responsibilities:

·         Oversight and management of the day-to-day operations of a team of 3-8 Analysts 

·         Proactively manage operational risks by recognizing gaps in technology and processes, developing solutions, and escalating issues to senior management

·         Play an active role in the build-out of the strategic platform that will be used to manage PAD data and workflows

·         Quickly understand internal control policies and regulatory requirements as they relate to the business and function

·         Build effective relationships with and influence senior stakeholders across the firm

·         Lead, manage, and develop team members in order to adapt to changing priorities and maintain best-in-class quality

Qualifications:

·         Ability to proactively identify key risks and issues, make sound decisions (including escalation when appropriate), and act and follow through on them; quality focused work ethic and strong controls mind-set

·         Thrive in an evolving and fast paced environment, both independently and as part of a team

·         Able to demonstrate strong verbal and written communication skills, including conflict resolution

·         Ability to work effectively with key internal stakeholders to ensure all requirements are achieved

·         Excellent research and analytical skills with experience in identifying trends/behaviours

·         Ability to lead a team and foster a collaborative and objective-driven environment

·         Proactively manage and drive own career, identifying personal training needs for development for self and others

·         Proficiency with Microsoft Office (Excel, Word, PowerPoint)

Preferred Skills & Knowledge:

• Personal account dealing background is preferred. 
• Working knowledge of compliance policy matters and the monitoring of employees
• Understanding of investment products and the financial industry

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.