CORP_Compliance Analyst I ORS-752

CORP_Compliance Analyst I ORS-752

25 Dec

25 Dec



Job Title Compliance - Personal Account Dealing Processing- Analyst

Compliance Mission Statement

The Compliance Processing 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 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.

Key Responsibilities:

Ensure the timely reconciliation of employees personal trades (including reporting of breaches, reconciliation of statements and employee records)

Managing more complex trading activity and employee escalation

Dealing with employees across EMEA as it relates to specific queries on the PAD Policy

Ensuring key throughput and quality targets are met, inclusive of performing supervisory checks and review

Conducting analysis as required as it relates to the surveillance activity performed by PAD

Analysis of Operational Metrics / Key Performance Indicators

Working with the global team to standardise processes across regions and different technology platforms including the use of Robotics and OCR


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 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:

Over three 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


The original job offer can be found in Kit Job:

Reply to this offer

Impress this employer describing Your skills and abilities, fill out the form below and leave Your personal touch in the presentation letter.

Subscribe to this job alert:
Enter Your E-mail address to receive the latest job offers for: corp_compliance analyst i ors-752
Publish a new Free Offer
Need to publish an offer? With more than 1 million unique users per month, you will find the ideal candidate for your company instantly, what are you waiting for!
Publish Now

Subscribe to this job alert