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About the Role
This position requires a Compliance, Conduct and Operational Risk (CCOR) professional to partner with Line of Business (LOB) and global/regional Compliance teams, Internal Audit, Operational Risk, and other Control functions. The role involves knowledge and experience in Compliance, with familiarity in regulatory and/or audit best practices.
Responsibilities
- Provide Compliance coverage for several areas and serve as the team’s subject matter expert for specific regulations in executing Core Practices: Governance and Oversight, Regulatory Management, Policies and Procedures, Training and Awareness, Monitoring and Testing, Issue Management, Risk Assessment and Reporting, and Risk Control Self-Assessment.
- Perform analysis to identify major issues and actionable opportunities, design potential solutions, and quantify compliance conduct and operational risk for the Markets business.
- Develop and execute management, stakeholder, and regulator communications to convey issues, recommendations, and initiative status.
- Identify potential concerns and control issues, determine root causes, and ensure stakeholders implement appropriate corrective actions.
- Conduct ongoing compliance monitoring activities and participate in special projects.
- Challenge the status quo by providing critical and analytical thinking and strong decision-making capabilities to identify problems, propose creative solutions, and escalate as necessary.
- Develop project plans and document and analyze business systems/processes.
Requirements
- Possess strong written and oral executive-level communications skills.
- Detail-oriented with a high level of attention to detail and quality for work product.
- Excellent analytical skills.
- Demonstrate the ability to partner with stakeholders on projects.
- Ability to work both independently and as a core team member.
Skills
- Compliance
- Regulatory best practices
- Audit best practices
- Governance and Oversight
- Regulatory Management
- Policies and Procedures
- Training and Awareness
- Monitoring and Testing
- Issue Management
- Risk Assessment and Reporting
- Risk Control Self-Assessment
- Analytical thinking
- Decision making
- Project planning
- Business systems analysis
- Business process analysis
Education Level
- Bachelor's degree with relevant licenses and certifications preferred.
About the Company
- J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors.
- Our first-class business in a first-class way approach to serving clients drives everything we do.
- We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
- Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing.
- Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.
- Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs.
- Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.
Equal Opportunity
- 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.