Job Title – Compliance - Personal Account Dealing Processing - Assistant

Compliance Mission Statement

The Compliance Operations team acts to ensure that our customers, employees, and lines of business are in adherence with firm standards and required regulations.

Our mission is to provide compliance support across the firm’s global businesses and functions. We are driving a culture of quality and continuous improvement toward the best outcome for client experience, our colleagues and JPMorgan Chase.

If you're interested in working in an environment where leadership, excellence, integrity, and diversity are among our core principles, then explore the opportunities at JPMorgan Chase.

Our Team- Personal Account Dealing

Responsible for overseeing employee’s personal trading activities are 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.

Opportunity

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.

Key Responsibilities:

• They should possess strong written and oral communication skills.
• Ensure the timely reconciliation of employee’s personal trades (including reporting of breaches, reconciliation of statements and employee records)
• Managing more complex trading activity and employee escalation
• Dealing with employees across all regions as it relates to specific queries on the PAD Policy
• Ensuring key throughput and quality targets are met.
• Conducting analysis as required as it relates to the surveillance activity performed by PAD.
• Analysis of Operational Metrics / Key Performance Indicators

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 can identify trading activity that is not in line with JPMorgan Chase’s 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:

• 0-3 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.
• They should possess strong written and oral communication skills.
• 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.