Employee Conduct Specialist III Employee Conduct Specialist III
Job Description
Job Description:
Welcome to JP Morgan Chase. Are you a compliance specialist, passionate about risk mitigation and safeguarding the financial institutions and customers from the financial crime ? You have found the right team. As part of Employee 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 Team
Responsible for overseeing employee personal trading activities in adherence with regulations in the Firm's respective regions of operation. Specifically, we are responsible for the on-boarding of employee Personal Trading Account(s) data, as well as monitoring their compliance to the firm's Personal Trading Policies.
The PAD operational model spans across all lines of business, compliance and technology and is a cross product group. As a member of the team you will be tasked with ensuring employees have correctly attested to the PAD policy, declared personal trading accounts and performing the ongoing surveillance of those trading accounts.
Requirements
The successful candidate will be a team member responsible for successfully monitoring the employees' personal dealing activities with strong adherence to compliance policies and controls. They should be analytical and have the ability to identify trading activity that is not in line with JPMorgan Chases Personal Account Dealing Policy. Frequently communicate with Regional and LOB Compliance to maintain and track the employees' personal account dealing data and activities.
Essential Skills
0 - 2 years' experience in a Legal, Compliance, Risk or Operations areas within the Financial Services industry
A working knowledge of the financial markets and products
Client centric focus - Work as a trusted client partner and advocate, ensuring strong strategic alignment and open communication
Good at data organization and maintenance - must be detail oriented
Able to work both independently and as part of a team
Comfortable user of Microsoft Office (particularly Excel)
Execution skill - Able to deliver results/meet deadlines under pressure
ABOUT US
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. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
About The Team
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.
Legal Fundamentals