CCOR-Compliance Manager

This position sits within the Employee Compliance group within JPMC's Global Compliance department, supporting all multiple securities, insurance, and futures entities across four lines of business (CCB, AWM, CIB and CB) as well as the Corporate Functions.

The Compliance Manager will be responsible for advisory securities registration functions of the registered broker-dealer and investment advisor. This individual will provide primary registration and compliance advisory support for various LOBs. Additionally, the position will be responsible for all broker dealer, investment advisor, futures, and insurance-related deadline driven entity filings, individual form filings , managing Sworn Document execution as well as updating policies, procedures, and projects, as assigned.

Primary responsibilities include:

• Communicating with senior members of the firm, provide regulatory form filing guidance and execute timely entity related filings
• Partnering with Business and Registered Representatives on registration related issues and filings and drive process improvements and business models
• Reviewing, interpreting and communication of FINRA, NFA and Insurance related regulatory rules and regulation as well as firm policies
• Help drive the development of policies and procedures
• Contribute to materials for presentations, working groups, sr. management
• Contribute to the timely preparation and maintenance of Compliance, Registration and risk reports, databases, memos and management reporting metrics
• Review, investigate and respond to regulatory requests
• Participate in registration related projects and programs

Qualifications:

• B.A./B.S or equivalent experience
• Minimum 5 years of related broker dealer, investment adviser, insurance and futures registration, compliance or legal functions or other equivalent regulatory background
• Strong knowledge of WebCRD, ORS, NIPR and other registration filings including, Form U4, Form U5, Form, Form 8-R and 8-T, preferred
• Must be highly organized; highly detail-oriented person who is comfortable working both independently and within a team environment
• Must be self-motivated, driven, proactive, personable and have excellent communication skills
• Ability to manage multiple tasks and prioritize workflow with minimal supervision
• Advanced knowledge in Microsoft Word, PowerPoint and Excel required

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.

Equal Opportunity Employer/Disability/Veterans