Compliance - Control Room Senior Officer - Associate

JPMorgan Chase & Co.; San Francisco (CA); On-site; USD 120,000 - 170,000; Full time

Job summary

JPMorgan Chase & Co. in San Francisco is seeking a Control Room Senior Associate within Risk Management and Compliance.

You will help maintain information barriers by monitoring information flows between private- and public-side teams and advise on policy applicability across the firm. You will partner with Banking, Sales & Trading, and Asset Management to maintain watch and restricted lists, review research publications for regulatory compliance, and guide front-office interactions with

Qualifications

• 2+ years of Control Room or related experience.
• Thrives in a fast-paced, high-pressure, team-oriented environment.
• Strong analytical and problem-solving skills, including gathering, synthesizing, and assessing information.
• Ability to build credibility and partner effectively with senior leaders, control functions, and global stakeholders.
• Flexible and collaborative working style across all levels.
• Detail-oriented with strong multitasking, organization, and prioritization skills.
• Excellent written and verbal communication skills.
• Bachelor's degree required

Responsibilities

• Partner with Banking, Sales & Trading, and Asset Management to maintain the Firm's Watch and Restricted lists.
• Review Research publications for compliance with legal and regulatory requirements.
• Chaperone covered communications between Equity Research and Global Banking to support Research independence and adherence to internal policies.
• Advise front-office teams on permissible interactions with research analysts, including pre-clearing and chaperoning communications as needed.
• Provide guidance on the Firm's restricted list policy, research restrictions during advisory mandates, and other Control Room policies.
• Deliver training to business areas on Control Room policies and procedures.

Skills

Control Room experience

Analytical skills

Communication skills

Collaborative

Detail-oriented

Multitasking

Education

Bachelor's degree

MBA

Job description

Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Control Room Senior Associate working within the Compliance, Conduct and Operational Risk organization in the San Francisco office, you will join a global team responsible for maintaining the Firm's information barriers by monitoring and controlling information flows between private- and public-side businesses. You will track global banking projects throughout the transaction lifecycle to ensure appropriate monitoring, apply restrictions in a timely manner, and advise business units on the applicability of restrictions in line with internal policies and procedures.

Job Responsibilities

• Partner with Banking, Sales & Trading, and Asset Management to maintain the Firm's Watch and Restricted lists.
• Review Research publications for compliance with legal and regulatory requirements.
• Chaperone covered communications between Equity Research and Global Banking to support Research independence and adherence to internal policies.
• Advise front-office teams on permissible interactions with research analysts, including pre-clearing and chaperoning communications as needed.
• Provide guidance on the Firm's restricted list policy, research restrictions during advisory mandates, and other Control Room policies.
• Deliver training to business areas on Control Room policies and procedures.

Required qualifications, capabilities and skills

• 2+ years of Control Room or related experience.
• Thrives in a fast-paced, high-pressure, team-oriented environment.
• Strong analytical and problem-solving skills, including gathering, synthesizing, and assessing information.
• Ability to build credibility and partner effectively with senior leaders, control functions, and global stakeholders.
• Flexible and collaborative working style across all levels.
• Detail-oriented with strong multitasking, organization, and prioritization skills.
• Excellent written and verbal communication skills.
• Bachelor's degree required

Preferred qualifications, capabilities and skills

• MBA and/or professional certification preferred.