Compliance -Risk Management Senior Officer - Associate

Testing Site - JPMC; Tempe (AZ); In loco; USD 90.000 - 130.000; Tempo pieno

Descrizione del lavoro

JPMorgan Chase is seeking a Compliance Risk Management Senior Officer - Associate in Risk Management and Compliance based in Tempe, AZ. You will partner with Lines of Business and global or regional Compliance teams to apply regulatory and audit best practices and help maintain robust risk controls.

This role involves on-site and remote examinations of broker-dealer and investment advisory businesses, collaboration with cross-functional teams, and up to 40% regional travel.

Competenze

• 3+ years in financial services, compliance, or regulatory roles.
• High attention to detail and strong analytical skills.
• Excellent interpersonal skills and ability to work independently.
• Willingness to travel up to 40% (regional).
• Valid driver’s license.

Mansioni

• Perform on-site and remote compliance examinations of broker-dealer and investment advisory businesses.
• Analyze trading branch configuration and documentation during examinations.
• Evaluate findings and write reports, schedules, and narratives.
• Collaborate with Lines of Business, Supervision, global or regional Compliance teams, Internal Audit, Operational Risk, and other Control functions.
• Apply regulatory and audit best practices to monitoring and testing activities.
• Maintain high attention to detail and work independently to meet objectives.
• Travel regionally up to 40% for examinations.
• Complete enhanced screening for High Security Access systems.
• Hold a valid driver’s license for travel requirements.

Conoscenze

Attention to detail

Analytical skills

Interpersonal skills

Independent work

Travel up to 40%

Driver's license

Formazione

Undergraduate degree

Descrizione del lavoro

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.

Job Summary

As a Compliance Risk Management Senior Officer - Associate in Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You partner with Line of Business and global or regional Compliance teams, including Internal Audit, Operational Risk, and other Control functions. You bring your compliance expertise and knowledge of regulatory and audit best practices to help us maintain robust risk controls. Together, we ensure our business operates responsibly and meets the highest standards.

Job Responsibilities

• Perform on-site and remote compliance examinations of broker-dealer and investment advisory businesses to ensure adherence to firm policies and procedures.
• Conduct analysis of trading branch configuration, and documentation as part of compliance examinations.
• Evaluate findings and formulate conclusions in written reports, schedules, worksheets, and narrative materials.
• Collaborate with Line of Business, Supervision, global or regional Compliance teams, Internal Audit, Operational Risk, and other Control functions.
• Apply regulatory and audit best practices to all monitoring and testing activities.
• Maintain high attention to detail and work independently to meet objectives.
• Travel regionally up to 40% to conduct examinations.
• Successfully complete enhanced screening requirements for High Security Access systems.
• Hold a valid driver’s license for travel requirements.

Required Qualifications, Capabilities, and Skills

• Undergraduate degree or equivalent experience.
• Minimum 3 years of experience in financial services, compliance, or regulatory roles.
• High attention to detail, flexibility, patience, and strong analytical skills.
• Excellent interpersonal skills and ability to work independently.
• Ability to travel up to 40% (mostly regional).
• Valid driver’s license.

Preferred Qualifications, Capabilities, and Skills

• FINRA Series 7, 66 and 24 licenses.
• Experience with High Security Access systems and enhanced screening processes.
• Familiarity with trading analysis and document review procedures.
• Strong written communication skills for reporting and documentation.
• Experience collaborating with cross-functional teams.
• Knowledge of regulatory and audit best practices in financial services.
• Demonstrated ability to challenge the status quo and drive process improvements.