GUP-442 | CORP_Compliance Assistant- Personal Account Dealing

GUP-442 | CORP_Compliance Assistant- Personal Account Dealing

25 Dec

25 Dec



Personal Account Dealing, Employee Compliance, APAC

Location: India

Job Category: Compliance

JP Morgan Chase

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at .

Our Compliance Function

With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.

The Role

The Compliance Officer position will assist with policy, procedure, and strategic initiatives on the Personal Account Dealing Team within the Global Employee Compliance area. The focus will be on industry regulations and firm wide controls related to insider trading, conflicts of interest, employee disclosure and registration requirements, response to regulatory inquiries, and global consistency of the firm s policies and procedures.

In conjunction with PAD Compliance Officers across the region and other functional partners (including Legal, Internal Audit, Risk, Controls), you will ensure consistent adherence with all elements of our global compliance program.

Key Responsibilities

- Monitor employee trade data to determine compliance with the Firm's personal account dealing policies and Location/Line of Business requirements. This includes:

- Process employees pre-clearance on personal trades and private investments

- Investigate and follow-up with the Employee, Location/Line of Business Compliance and senior management to ensure closure of potential violations, discrepancies and issues.

- Investigate personal account dealing violations and issuance of violation notification.

- Update and enhance PAD processes and procedures to reflect changes to the business and regulatory environment and synchronize policies across different businesses and regions.

- Work closely with Compliance Processing teams to ensure policies can be supported from an operational and implementation standpoint.

- Improve / enhance communications from the PAD group to the APAC employee population (e.g. window period reminders, PAD policy updates / bulletins, annual attestation requirements, business specific policy / process changes etc.).

- Design improvements to personal account dealing surveillance processes.

- Provide Personal Account Dealing policy advice to Lines of Business.

- Handle enquiries and investigations for adverse/sensitive issues raised to Compliance that require liaison with Senior Compliance Managers, Employee Relations and Legal.

- Work closely with Global PAD Compliance officers to design, implement, sustain a robust monitoring activities in relation to PAD risks.

- Generate regular PAD metrics and enhance the risk management framework.

- Preparation and delivery of PAD compliance training materials across Asia.

Required Skills and Experience:

- Bachelor s degree, preferably in business or law

- Strong sense of ownership and responsibility.

- Excellent written and oral communication skills with the ability to interact with all levels of management and staff

- Ability to prioritize, multi-task, work under pressure and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment.

- Strong problem solving and analysis skills

- Able to work to high standards, of accuracy and efficiency


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