Regulatory Ops Associate: FINRA Controls & Analytics

JPMorgan Chase & Co.; Chicago (IL); On-site; USD 81,000 - 130,000; Full time

Benefits offered by this job

Comprehensive health care coverage

On-site health and wellness centers

Retirement savings plan

Backup childcare

Tuition reimbursement

Mental health support

Financial coaching and more

Job summary

JPMorgan Chase & Co. is seeking a Business Ops Associate to join the Regulatory & Business Conduct Programs in Chicago.

You will own FINRA licensing controls, monitor risk, and deliver critical reporting in partnership with Operations, Risk, Compliance, and Technology. You will analyze FINRA data, support senior management milestones, and help strengthen control monitoring while improving operational efficiency across Commercial Banking.

Qualifications

• Seasoned in Controls and/or FINRA Licensing.
• Comprehensive understanding of the CB business and its regulatory environment.
• Experienced and highly skilled in presenting to senior leaders.
• Advanced proficiency in Microsoft Office tools (Excel, Pivot Tables, VBA, PowerPoint).
• Proficient with data profiling and data analysis/visualization toolsets (e.g., Alteryx, databases, query languages) and Tableau dashboard creation.
• Knowledgeable in regulatory/FINRA concepts and reporting, including control monitoring.

Responsibilities

• Analyze critical FINRA data, control metrics, perform detailed risk, and control monitoring assessments.
• Partner with groups outside of Business Control to influence enhancements that strengthen the control environment and improve operational efficiency.
• Prepare analysis and slides for presentations to support Commercial Bank senior management’s FINRA milestones.
• Stay current with evolving industry and regulatory changes and analyze their impact on FINRA processes and compliance.
• Coordinate Audit deliverables with firmwide and cross-functional partners.
• Leverage tools such as Tableau and Alteryx to perform data analysis on FINRA.
• Update procedures frequently to ensure detailed documentation of the business changes and eliminate duplication of efforts.
• Serve along your manager to coordinate internal audit, facilitating communication and collaboration to ensure alignment and compliance with requirements.

Skills

FINRA licensing

Regulatory environment knowledge

Stakeholder communication

Tableau

Alteryx

Excel

Pivot Tables

VBA

Data analysis

Presentation to senior leaders

Tools

Tableau

Alteryx

Databases

SQL

Job description

JPMorgan Chase & Co. is seeking a Business Ops Associate to join the Regulatory & Business Conduct Programs in Chicago.

You will own FINRA licensing controls, monitor risk, and deliver critical reporting in partnership with Operations, Risk, Compliance, and Technology. You will analyze FINRA data, support senior management milestones, and help strengthen control monitoring while improving operational efficiency across Commercial Banking.