Senior Compliance Risk Manager — Examinations & Controls

Testing Site - JPMC; Tempe (AZ); On-site; USD 90,000 - 130,000; Full time

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Attention to detail

Analytical skills

Interpersonal skills

Independent work

Travel up to 40%

Driver's license

Education

Undergraduate degree

Job description

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.