at JPMorgan Chase in Newark, Delaware, United States
Internal and External
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in Investment & Corporate Banking; Financial Services for consumers, small business and commercial banking; financial transaction processing; asset management and private equity.
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. JPMorgan Chase is a global firm, and financial services regulators and licensing entities include state and national organizations in the U.S. and abroad. L&R is responsible for ensuring that employees requiring registration for the performance of their responsibilities comply with the Firm’s internal policy as well as all external requirements for obtaining and maintaining a license.
The Compliance Analyst position is part of the Firm’s L&R Compliance Processing team. The Analyst position will be responsible for all aspects of the Insurance or Securities Registration population with JPMC. The Compliance Analyst will communicate regularly with Compliance Management, Insurance/Registration Compliance, the Business and Employees regarding pre-clearance, registration, and continuing education. Responsibilities will include the 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
The candidate must be a quick learner who is able to work in a fast-paced, results-driven environment independently as part of a team. In addition, successful candidates should have the ability to use a wide range of computer-based systems, to exercise sound judgment and observe the highest degree of confidentiality in the handling of information received in connection with their responsibilities.
+ Bachelor’s degree or equivalent work experience
+ Ability to build and maintain effective working relationships with internal stakeholders including but not limited to Sales Representatives, all levels of management, and external parties
+ Strong analytical and problem solving skills with the ability to recommend and make decisions autonomously
+ Ability to thrive in a changing work environment and manage well under pressure
+ Quick learner, team player, results-oriented, self-motivated, flexible approach to work hours
+ Proactive approach to problem-solving, a logical thinker who appropriately challenges the status quo
+ Strong oral and written communication and presentation skills
+ Regulatory or operations knowledge of securities and/or insurance a plus
+ Intermediate proficiency with Microsoft Excel (e.g. pivot tables, macros, data analytics, etc.), PowerPoint, Vision (e.g. process mapping), and Outlook
+ Document review experience and high attention to detail
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 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. In accordance with applicable law, we make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as any mental health or physical disability needs.
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