Compliance Analyst jobs in United States, New Jersey, Jersey City

As a Vice President in Investment Banking, you’ll have experience developing strong relationships with corporates and financial institution clients and working across different products. You’ll work on deals and transaction across the spectrum of our banking products, including mergers & acquisitions, divestitures, restructurings, loans, and equity capital and debt capital raises.

Job Responsibilities

• Acting as the primary day-to-day client point of contact and lead banker on deals
• Reviewing and coordinating the analytic work of junior bankers to move marketing/execution process forward
• Refining marketing/execution materials for maximum client impact
• Overseeing the creation of financial projection models
• Identifying and managing all risks in a given deal
• Liaising with other internal and external parties on transactions (eg. lawyers, accountants, counterparties)
• Leading client negotiations, Q&A process and management interviews

Required qualifications, capabilities, and skills

• Prior VP level experience in Healthcare Investment Banking
• Experience in training junior bankers
• Exceptional written and verbal communication skills with specific ability to communicate concepts and ideas concisely and defend their validity
• Very strong quantitative and analytical skills (including Excel modelling and valuation work)
• Ability to work well under pressure and to tight deadlines, and have the aptitude to synthesize large amounts of information and to develop innovative solutions
• Adaptability, able to manage projects independently and be ready to assume a high level of responsibility as a member of a team
• Ability to comfortably interact with clients in a professional and mature manner
• Excellent understanding of financial, legal and reputational risks facing large integrated investment banks in today's environment

With highly supportive leadership and programs to foster growth and career mobility, your skills and capabilities can increase and be fine-tuned to make you more agile and versatile in reaching your career potential.

As an Operations Analyst- Loan Sales in Home Lending, you will be responsible for allocating and delivering mortgaged back securities (MBS), ensuring compliance with investor and regulatory requirements and support the line of business by performing complex operational loan sales and analytical tasks with a focus on investor related loan edit problem solving. You will drive end to end loan quality, recommend operational reengineering opportunity, and lead automation initiatives to benefit streamlined salability processes.

Job responsibilities

• Control tasks for loan sales operations including end to end pooling, allocation, defect identification/remediation, and oversight
• Comprehend investor data requirements and accurately cure related loan quality edits efficiently
• Develop and understand automation solutions for internal operational workflows and builds tools which will optimize and reduce manual processes.
• Lead citizen development initiatives to benefit streamlined salability processes
• Create reporting, interpret results and convey in a concise, straight-forward, and professional manner for all levels of operational staff from supervisors to senior level management.
• Spearhead projects & tasks by ensuring timely completion and articulate any issues and risks to management
• Ensure the integrity of data through automated extraction, translation, processing, analysis, and reporting

Required qualifications, capabilities, and skills

• Analytical skills with independent and logical problem solver and able to synthesize data, identify trends, and project outcomes.
• Ability to organize and prioritize multiple projects and responsibilities with accuracy, attention to detail and limited supervision with very short turnaround times.
• Ability to react quickly and decisively in high stressed situations and ability to lead projects and initiatives, prioritize work, meet deadlines and escalating any issues to management
• Expert level PowerPoint and Excel and Working knowledge of either Alteryx, UiPath, Xceptor or Tableau
• Strong written and verbal communication skills with ability to influence and work collaboratively with diverse/cross-functional teams and develop and maintain effective relationships with a wide range of stakeholders.
• Ability to create presentations for all levels of management and effectively report with an executive presence and creating complex reporting with compelling key messages.
• Ability to work with audit, compliance and regulatory constituencies to manage work in accordance with established procedures and demonstrate accountability for work processes and the associated risks and controls.

Preferred qualifications, capabilities, and skills

• Bachelor’s Degree, majored in Finance, Economics, Statistics, Math, Business Administration, or Computer Science
• 3-5 years Mortgage Banking experience
• Knowledge of mortgage based operating systems including Black Knight, FHLMC Loan Selling Advisor, FNMA Loan Delivery, GNMA SFPDM

As a Tech Risk & Controls Lead in Corporate Sector's Employee platforms team, you will be responsible for identifying, and mitigating compliance and operational risks in line with the firm's standards. You will also provide subject matter expertise and technical guidance to technology-aligned process owners, ensuring that implemented controls are operating effectively and in compliance with regulatory, legal, and industry standards. By partnering with various stakeholders, including Product Owners, Business Control Managers, and Regulators, you will contribute to the reporting of a comprehensive view of technology risk posture and its impact on the business. Your advanced knowledge of risk management principles, practices, and theories will enable you to drive innovative solutions and effectively manage a diverse team in a dynamic and evolving risk landscape.

Job responsibilities

• Ensure effective identification, quantification, communication, and management of technology risk, focusing on root cause analysis and resolution recommendations
• Develop and maintain robust relationships, becoming a trusted partner with LOB technologists, assessments teams, and data officers to facilitate cross-functional collaboration and progress toward shared goals
• Execute reporting and governance of controls, policies, issue management, and measurements, offering senior management insights into control effectiveness and inform governance work
• Proactively monitor and evaluate control effectiveness, identify gaps, and recommend enhancements to strengthen risk posture and regulatory compliance

Required qualifications, capabilities, and skills

• 5+ years of experience or equivalent expertise in technology risk management, information security, or related field, emphasizing risk identification, assessment, and mitigation
• Familiarity with risk management frameworks, industry standards, and financial industry regulatory requirements
• Proficient knowledge and expertise in data security, risk assessment & reporting, control evaluation, design, and governance, with a proven record of implementing effective risk mitigation strategies
• Demonstrated expertise in regulatory compliance, risk management frameworks, and industry best practices (e.g., NIST, ISO, FFIEC, GDPR) is required
• Demonstrated ability to influence executive-level strategic decision-making and translating technology insights into business strategies for senior executives

Preferred qualifications, capabilities, and skills

• CISM, CRISC, CISSP, or similar industry-recognized risk and risk certifications are preferred

As a Model Risk Program Associate within Risk Management and Compliance, you will be responsible for assessing the risks associated with models used for sanctions screening, trade surveillance, transaction monitoring, and other models within Compliance. You will perform independent testing, develop benchmarking tools, and monitor performance of the models. You will leverage your technical expertise and intellectual rigor to assess conceptual soundness of the data-promoten compliance models, identify and assess the emerging model risks from various component models and model-to-model interactions..

Job responsibilities

• Perform model reviews: analyze the conceptual soundness of compliance model and assess model behavior and suitability in the context of usage.
• Guide on model usage and act as the first point of contact for the business on all new models and changes to existing models.
• Develop and implement alternative model benchmarks and compare the outcome of various models. Design model performance metrics.
• Liaise with model developers, users, and compliance groups, and provide guidance on model risk.
• Evaluate model performance on a regular basis.

Required qualifications, capabilities, and skills

• 1 plus years of experience in a quantitative modeling role, such as Data Science, Quantitative Model Development, Model Validation, or Technology focused on Data Science.
• A PhD or Master’s degree in a quantitative field such as Mathematics, Physics, Engineering, Computer Science, Economics or Finance is required.
• Strong verbal and written communication skills, with the ability to interface with other functional areas in the firm on model-related issues and write high quality technical reports.
• Deep understanding of standard statistical techniques, such as regression analysis.
• Hands-on experience with standard Machine Learning models, including Boosted Trees, Neural Networks, SVM, and LLM (e.g. BERT).
• Experience of working with dedicated ML packages, such as TensorFlow or similar, as well as data processing and numeric programming tools (NumPy, SciPy, Pandas, etc.).
• Ability to implement benchmarking models in Python, R, or equivalent.
• Risk- and control-oriented mindset: ability to ask incisive questions, assess the materiality of model issues, and escalate issues appropriately.
• Ability to work in a fast-paced, results-driven environment.

Preferred qualifications, capabilities, and skills

• Prior experience in modeling, reviewing or managing models for sanctions screening, trade surveillance or transaction monitoring is desirable.
• Experience with database interfacing, data management, and preprocessing (e.g. SQL or kdb+, q) is a plus.

As a Data Scientist Vice President within the Compliance, Conduct Operational Risk (CCOR) Data Analytics team, you will be responsible for devising and developing Proofs of Concept (POCs) and deployable models using AI/Gen AI/ ML techniques, algorithms and other statistical and numerical methods. You will need to be able to extract and work with large volumes of data (both structured and unstructured) from multiple sources, transforming it into an analysis-ready format to develop the data pipeline. Additionally, you are expected to independently formulate methodologies, and quantitative and analytical tasks, from business problems.

Job Responsibilities

• Analyze complex/unstructured data to understand the business problem and use case
• Analyze business requirements, design, and develop appropriate methodology
• Develop deployable, scalable and effective models/ analytical methods as part of technology managed system or as a self-served application of a business user
• Work collaboratively and creatively with other data scientists, technology partners, risk professionals, model validation teams, etc.
• Prepare technical documentation of quantitative models for internal model risk and governance review

Required qualifications, capabilities, and skills

• 6+ years of related experience in Python, R or Scala with Bachelor of Science degree in Computer Science, Physical Sciences, Econometrics, Statistics, or other any quantitative discipline.
• Demonstrable theoretical and application knowledge of AL/ ML, Gen AI and Statistical Models
• Demonstrable hands-on experience with Transformer or other deep learning architectures in real applications
• Demonstrable hands-on experience with using or fine tuning multimodal LLM in real business applications with scale and performance
• Demonstrable hands-on experience and familiarity with any or all of the following packages, algorithms, and/or alternatives, including Graph Learning Packages : (NetworkX, Torch-Geometric, Graphframes, Graphistry),ML Packages (Pandas, Scikit-Learn, XGBoost, catboost, lightgbm, automl, Optuna, Hyperopt), Visualization Packages (Matplotlib, Seaborn, Geopandas), Algorithm (Ensemble Louvian / Hierarchical Clustering, Label Propagation, Connected Component Analysis, Graph Neural net (Graph Attention Network), Page Rank, Centrality Analysis, Tree based Analysis, Outlier Detection Methods, Zero Shot/ Few Shot learning)
• Demonstrable experience with graph analytics, graph-based learning, and graph representation/visualization
• Experience in graph Database: TigerGraph, Neo4j
• Experience in Query Language: Hive, Cypher (Graph Query Language)
• Experience in developing and operationalization of data pipelines
• Familiarity and experience of assimilating large amounts of data from multiple databases and utilize them for creating actionable outcome; Adhering to a standardized analysis and project methodology; and documenting quantitative analysis
• Experience with processes, controls and governance of a highly regulated environment; Self-starter and strong influencing skills with strong communication skills

Preferred qualifications, capabilities, and skills

• Hands-on professional experience in software development especially with analytical & computationally intensive systems, digital transformations leveraging cloud technologies (AWS, GCP, Azure, Databricks etc.). Experience with EKS or AKS provisioning is a plus
• Post graduate degrees such as Master’s Degree, PhD, etc. is preferred
• Real life exposure to Agile SDLC, ModelOps and /Or Design Thinking is desirable.
• Working knowledge of C/C#/C++ or others is a plus
• Experience in financial services industry especially in Operational Risk Management, Anti-Money Laundering & Know Your Customer, Trade Surveillance model development

As a Surveillance Lead, supporting the Compliance, Conduct and Operational Risk (CCOR) organization, you will work on daily reviews of alerted communications to identify potential issues and escalate such issues as applicable. You will leverage your knowledge of financial services and/or legal/regulatory background to find potential market conduct risks, reputational risks, or other compliances risks. You need to be intellectually curious and have a passion for connecting the dots, then you would have the preferred skillset for this role. JP Morgan’s global surveillance program monitors electronic written and voice communications to detect various forms of market misconduct or other potential conduct issues.

Job responsibilities

• Conduct lexicon-based reviews, certain targeted reviews, and ad hoc reviews of employee electronic communications (e.g. emails, Bloomberg chats, etc) and voice communications
• Review and analyze communications and related information to identify potential compliance issues relating to market conduct risks, reputational risks, or other compliance risks
• Interact with Line of Business Compliance and other internal teams to appropriately escalate potential compliance issues
• Develop and enhance surveillance review processes and procedures

Required qualifications, capabilities, and skills

• Bachelor's Degree
• 3+ years of Compliance, Surveillance or Risk related experience in a financial services environment or similar legal/regulatory experience
• Strong written communication, verbal communication, and presentation skills
• Excellent analytical skills and strong attention to detail
• Investigative instincts and background/experience in reviewing communications
• Strong knowledge of financial markets and products including terminology
• Demonstrated ability to handle multiple tasks in a fast-paced environment
• Ability to effectively partner with key stakeholders and technology partners

Preferred qualifications, capabilities, and skills

• Juris Doctor (JD) degree
• Experience with communications surveillance tools (Connected Archive), Actimize Case Manager, Excel, and SharePoint a plus
• Fluency in languages other than English