Compliance Officer jobs in United States, Florida, Tampa

Job Summary:

As a Trade Lifecycle Associate within our Securities Services Operation, you will be responsible for the end-to-end process of the trade lifecycle, ensuring timely processing and settlement of trades. You will investigate and resolve trade-related breaks in accordance with established work practices and procedures. Collaborate with various internal teams such as Middle Office, Pre-Matching, Cash Processing, Account Opening, and Asset Servicing to process transactions and resolve any exceptions in a timely manner. Perform root cause analysis for clients to increase Straight Through Processing (STP) and reduce client inquiries. Establish and maintain relationships with operations and middle office contacts at clients. Manage issues and exceptions above materiality thresholds for resolution, ensuring all day-to-day queries are dealt with within required SLAs and escalate issues to the team leader.

Job Responsibilities:

• Ensure timely processing and settlement of trades, investigate and resolve trade-related breaks.
• Collaborate with internal teams to process transactions and resolve exceptions promptly.
• Perform root cause analysis to increase STP and reduce client inquiries.
• Establish and maintain relationships with operations and middle office contacts at clients.
• Manage risk and issues exceptions above materiality thresholds for resolution.
• Ensure all day-to-day queries are dealt with within required SLAs and escalate issues as needed.

Required Qualifications, Capabilities, and Skills:

• Bachelor's Degree required.
• Knowledge of financial markets, trade lifecycle, and settlement practices.
• Excellent verbal and written communication skills, adept at communicating with all levels of the business and technical parts of the organization.
• Ability to operate effectively in a dynamic environment with tight deadlines and exhibit time management skills.
• Exposure to business intelligence tools (e.g., Tableau, Alteryx, UiPath, OwlDQ); comfortable working with data.

As an Audit Manager - Commercial and Investment Bank Technology -you will beand

Job responsibilities

• Work closely with business and technology audit colleagues to ensure that key risks are identified and assessed in the program of audit coverage.
• Assist in all aspects of audits including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow up and verification of issue closure.
• Perform audit work in accordance with department and professional standards, and complete assignments in an efficient manner.
• Attention to detail to ensure accuracy and completeness of audit coverage.
• Write audit work papers and reports with minimal intervention by the Audit Director.
• Partner with colleagues, stakeholders and control community members to evaluate, test and report on the adequacy and effectiveness of management controls with appropriate recommendations for improvement. This may be delivered through specific audit reviews or through ongoing involvement in major activities or projects.

Required qualifications capabilities and skills

• Extensive internal or external technology or risk & controls work experience
• Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner.
• Extensive knowledge of system development life cycle concepts with an ability to quickly learn a complex, distributed computing environment.
• Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness
• Excellent verbal and written communication skills. Also, good interpersonal skills with the ability to present complex and sensitive issues to senior management, and influence change.

Preferred qualifications capabilities and skills

• Degree and background in Technology
• Related professional certification such as CISA, CISSP, or CIA

As a Summer Analyst in the Financial Advisor Development Program (FADP), you will take part in a nine-week introduction to our Full-Time program. Centered on providing a detailed view of J.P. Morgan Wealth Management, FADP gives you experience focusing on matters that add value to our clients and our business. Our Summer Internship Program is designed to deepen your investment knowledge and skills through hands-on experience. You’ll have access to training opportunities structured to enhance your business acumen, while further developing your professional and technical skills. You’ll be supported by an entire team, including a dedicated program manager, mentors, and senior leaders who are sincerely invested in your success during your internship.

The mission of the Financial Advisor Development Program is to develop and advance a diverse, equitable, and inclusive community of Investment Professionals to Financial Advisors dedicated to the highest standards of excellence while serving our clients. Our goal is to ensure you have all tools necessary to take advantage of the robust opportunities at hand, resulting in a great summer experience. Successful completion of the FADP Summer Internship Program may result in an offer of employment into our Financial Advisor Development Full-Time Program, which follows a 2 year progression of phone-based roles in the Client Service Center, allowing Analysts to deepen their knowledge of customer service and the wealth management industry.

Job responsibilities:

• Learning the fundamentals of working with clients in a service-oriented role
• Learning the foundations of the investments we offer through in-depth industry training
• Receiving dedicated time to study for and take the FINRA Securities Industry Essentials (SIE) exam
• Participating in group projects and job shadowing opportunities

Required qualifications, capabilities, and skills:

• A well-rounded academic background with an interest in providing exceptional client service and financial advice
• Pursuing a B.A. or B.S. degree, with an expected graduation date of December 2026 through June 2027
• Excellent leadership, interpersonal, and problem-solving skills
• Relevant internship experience or leadership in school or community organizations
• Highly motivated individual with a passion for client service, an interest in financial advising, and a desire to obtain and pass the FINRA SIE
• Ability to thrive in a dynamic and collaborative work environment, but also work well independently
• Ability to use your interpersonal skills to successfully build relationships over the phone and in person with others

Preferred qualifications, capabilities, and skills:

• Experience in finance or other finance-related courses is a plus
• Preferred minimum GPA of 3.2 out of 4.0

1. To be considered for the Financial Advisor Development Program you must submit a complete and thoughtful application, which includes your resume, and location preference.
   • Your application and resume are a way for us to initially get to know you. It’s important to complete all relevant application questions, so we have as much information about you as possible. We will review your application to determine whether you meet the required criteria.
2. If you meet the minimum criteria for the application, you will receive an email invitation to complete a video interview, powered by HireVue.
   • This is your opportunity to further bring your resume to life and showcase your experience for our recruiting team and hiring managers.
   • HireVue is required, and your application will not be considered for further review until you have completed this step.
   • Applications will be reviewed on a rolling basis; we strongly encourage you to complete your HireVue video(s) within three days of receiving
3. We strongly encourage that you apply and complete these required elements as soon as possible, since programs will close as positions are filled.

As a Senior Test Lead within the Global Asset Compliance and Ops Risk Testing Center of Excellence (CoE), you will be responsible for identifying risks, evaluating controls, and overseeing security governance. That would be crucial in advising on complex situations and enhancing the firm’s risk posture. Through collaboration and analytical skills, you will contribute to the Testing CoE’s overall success and strengthen the firm’s compliance with regulatory obligations and industry standards.

Job responsibilities

• Leadcontrol evaluations and end-to-end substantive testing activities, including planning, fieldwork and reporting.
• Lead simultaneously a wide range of comprehensive reviews to independently assess the design and operating effectiveness of controls within the Asset and Wealth Management LOB.
• Ensure compliance with internal policies, procedures, and external laws, rules, and regulations, while identifying necessary remediation actions. This includes developing and executing testing procedures, meticulously documenting results, drawing informed conclusions, making actionable recommendations, and distributing detailed compliance testing review reports.
• Foster collaboration with Compliance and Operational Risk Officers on various engagements. This includes supporting the development of detailed test scripts, facilitating issue discussions, participating in business meetings, and drafting comprehensive final reports to ensure alignment and clarity.
• Utilize advanced critical thinking skills to apply substantive testing techniques, thoroughly evaluating the effectiveness of high-risk business processes and identifying potential areas for improvement.
• Assess and monitor risks, ensuring adherence to firm standards, regulatory requirements, and industry best practices. Implement strategies to mitigate identified risks effectively.
• Collaborate with cross-functional teams and stakeholders to support the design and effectiveness of controls. Drive initiatives that enhance the business control environment through recommended updates to the Compliance and Operational Risk Evaluation (CORE) application.
• Develop and execute robust control test scripts aimed at identifying control weaknesses, determining root causes, and recommending practical solutions to enhance operational efficiency and control effectiveness.
• Document test steps and results in a comprehensive and organized manner, ensuring sufficient support and justification for testing conclusions. Maintain a high standard of documentation to facilitate transparency and accountability.
• Lead meetings with business owners at various management levels, delivering testing results and supporting sustainable control enhancements. Identify and capitalize on opportunities to strengthen controls and improve operational efficiency.

Required qualifications, capabilities, and skills:

• Extensive experience in risk management, assessment, control evaluations, or a related field, within the financial services industry.
• Possess a strong understanding of industry standards and regulatory requirements, especially with regards to the Asset Management industry.
• Demonstrated ability to analyze complex issues, develop and implement effective risk mitigation strategies, and communicate insights and recommendations clearly to senior stakeholders.
• Proficient knowledge of risk management frameworks, regulations, and industry best practices. Ability to stay updated with evolving regulatory landscapes and adapt strategies accordingly.
• Exceptional ability to develop and communicate well-founded recommendations based on regulatory guidance and standards, ensuring alignment with organizational goals and compliance requirements.
• Highly organized and detail-oriented, with a proven track record of managing multiple priorities and delivering results in a fast-paced environment.
• Strong analytical and communication skills, with the ability to convey complex information in a clear and concise manner to diverse audiences.

Preferred qualifications, capabilities, and skills

• CISM, CRISC, CISSP, CISA, CCEP, CRCM, CRCMP, GRCP, CFA, FRM, or other industry-recognized risk and risk certifications preferred.
• A background in auditing and the ability to understand of internal controls is beneficial.
• Proficiency in MS (Microsoft Suite) Office - Microsoft Word, Excel, Access, and PowerPoint.
• Knowledge of data analytical tools such as Tableau, Altryx or Pythyon is a plus.