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Check with seller CCOR - Employee Compliance Officer Wilmington

Published date: April 3, 2022
  • Location: Wilmington, Delaware, United States

Competencies :
Responsible for the oversight and management of the day-to-day operations and management of a team of 3-5 Analysts.
The Officer position will be responsible for all aspects of FINRA registrations with JPMC. The Compliance Officer will communicate regularly with Compliance Management, the Business and Employees regarding pre-clearance, registration, and continuing education.
Build relationships with senior stakeholders across the firm
Responsible for providing Operational guidance on the continuing build-out of the strategic platform that will be used to manage our data and workflow.
Is able to lead, manage and develop team members and readily adjust to changing priorities; maintain the highest standards of quality and professionalism .
Ability to take direction, work independently and coordinate work with others.
Expected to quickly understand internal control policies and regulatory requirements as they relate to the business and functional area.
Proactively manage operational risks by recognizing gaps in technology and processes, developing solutions and escalating issues to management.
Partner with other Employee Compliance managers to cross-train and re-allocate resources as volumes and priorities dictate.
Foster an environment of constant improvement, reducing cycle times and strengthening controls.
Work closely with the Compliance Advisory team responsible for setting the policies that we execute on.
Manage ad hoc projects as needed.

Successful candidates should have a strong formal education or work experience, the ability to work independently and use their initiative and be adaptable to change. In addition, successful candidates need to be quick learners with 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 Sales Representatives; comfortable with interaction with all levels of management and external parties; a team-player
Quick learner; innovative and analytical
High level problem solving ability coupled with the ability to recommend and make decisions autonomously
Ability to adapt to opportunities presented through change
Pro-active approach to problem-solving; a logical thinker
Results-oriented, self-motivated and a flexible approach to working hours
Experience creating Microsoft Excel Pivot Tables
Intermediate Microsoft Outlook experience
Strong Analytical skills
Document review experience

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. Full vaccination is a requirement for this role for new hires joining JPMorgan Chase. Additional requirements include sharing information including your vaccine card in the firm's vaccine record tool and may include mask wearing and social distancing. Requirements may change in the future with the evolving public health landscape. JPMorgan Chase will consider accommodation requests as required by applicable law.

Note: The requirement to be fully vaccinated to be hired for this role does not apply to roles with a work location in Arkansas, Florida, Iowa, Montana, and Tennessee. For applicants to these roles, JPMorgan Chase will consider all qualified applicants regardless of vaccination status, due to state and local laws.

Equal Opportunity Employer/Disability/Veterans

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