CCOR - Compliance Quality Assurance - Associate

at JPMorgan Chase in Newark, Delaware, United States

Job Description

QA Associate roles are available to perform reviews across the following Compliance functions:

Client List Screening/Sanctions

Trade Surveillance/Risk Assessment

SAR & AML Alerts

The QA Associate will perform testing of the provided sample, summarise results and present to stakeholders. The Quality Assurance Associate will be expected to identify incorrect decision making, determine gaps in process and procedure, question the integrity of data and adherence to processing and servicing standards.

The Quality Assurance Associate will be accountable for analysing issues and paving the way for continuous improvement in the Compliance functions we test, by identifying alternatives that are effective, practical and appropriate.


• Perform ongoing QA reviews across various functions such as Client List Screening/Sanctions Alerts, AML Alerts, Trade Surveillance, AML/OFAC Risk Assessment Reports, Suspicious Activity Reports (“SARs”), No-file cases and Continuing Activity reviews (“CAR”).

• Question and investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made.

• Review quality of completed cases, based on quality testing standards.

• Identify key issues, trends, observations and effectively report summary results to key stakeholders.

• Perform root cause analysis and make recommendations for addressing identified deficiencies.

• Provide recommendations for improvements to business processes.

• Ensure consistency with the Global QA framework and governance approach.

• Demonstrate ability to raise issues or information to relevant stakeholders or management with respect to the control environment, and to present the issue or information in a concise and effective manner.



• Experience within the Financial Services industry and one or more of the following areas functions; Client List Screening, Sanctions, Trade Surveillance, Risk Assessment, AML/BSA, KYC.

•Investigative or Quality Assurance/Controls background preferred.


• Exceptional research and analytical skills with the ability to analyse large amounts of data and disposition appropriately.

• Excellent organization, written and oral communication skills.

• Strong documentation skills to clearly articulate results of testing.

• Strong analytical skills, problem solving skills and attention to detail.

• Strong interpersonal skills and ability to influence others for results.

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.

The health and safety of our colleagues, candidates, clients and communities has been a top priority in light of the COVID-19 pandemic. JPMorgan Chase was awarded the “WELL Health-Safety Rating” for all of our 6,200 locations globally based on our operational policies, maintenance protocols, stakeholder engagement and emergency plans to address a post-COVID-19 environment.

As a part of our commitment to health and safety, we have implemented various COVID-related health and safety requirements for our workforce. Employees are expected to follow the Firm’s current COVID-19 or other infectious disease health and safety requirements, including local requirements. Requirements include sharing information including your vaccine card in the firm’s vaccine record tool, and may include mask wearing. Requirements may change in the future with the evolving public health landscape. JPMorgan Chase will consider accommodation requests as required by applicable law.

Equal Opportunity Employer/Disability/Veterans

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Job Posting: JC212788149

Posted On: May 07, 2022

Updated On: Sep 30, 2022

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