Compliance-Monitoring/Testing Senior Officer-Associate

Bring your expertise to JPMorgan Chase.

As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient.

You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities.

Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Compliance, Conduct and Operational Risk (CCOR) Branch Examination Associate, you will effectively partner with Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions.

This position requires knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices.

Job responsibilities


* Perform on-site compliance examinations of broker-dealer and investment advisory business to determine adherence to JPMorgan Securities policies and procedures.


* Develop scope, process flows, design evaluation, testing evaluations to ensure risk controls are implemented, functioning properly, and are being executed properly.


* Evaluate findings and formulate conclusions in written reports on compliance assessments, worksheets and narrative materials.


* Travel to domestic locations 35 percent of the time.


* Provide a high attention to detail, flexibility, patience, good analytical as well as interpersonal skills, and the ability to work independently.

Required qualifications; capabilities; and skills


* Undergraduate degree or equivalent experience.


* 3+ years' experience in financial services, compliance or regulatory role required.


* Ability to travel 35%


* Valid driver's license required.

Preferred qualifications; capabilities; and skills


* FINRA (Financial Industry Regulatory Authority) Series 7, 66, and 24 licenses (or equivalents) not required, however, preferred.


* Prior broker/dealer experience with compliance or audit is desirable.

JPMorgan Chase & Co., 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 offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location.

For those in eligible roles, we offer discretionary incentive compensation which may be awarded in recognition of firm performance and individual achievements and contributions.

We also offer a range of benefits and programs to meet employee needs, based on eligi...