What are the responsibilities and job description for the Compliance -Risk Management Senior Officer - Associate position at JPMorgan Chase?
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.
Job Summary
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.
Job 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.
Required Qualifications, Capabilities, and Skills
- 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.
Preferred Qualifications, Capabilities, and Skills
- 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.