Compliance Officer 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

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

As an Operational Risk Management Lead within the Compliance, Conduct and Operational Risk organization, you will be joining a team of risk professionals from a diverse range of backgrounds and experience who collectively ensure that the Firm’s Operational Risk Management Framework is implemented and functions effectively within Asset & Wealth Management (AWM). In this role, you will be highly visible to senior management and offers the opportunity to work across AWM and JPMorgan Chase & Co. To be successful, you will require knowledge of operational risk and key risk management skills, along with an ability execute on a broad book of work including creation and oversight of operational risk testing requirements.

Job Responsibilities

• Understand the operational risk profile as assessed by the business in Control and Operational Risk Evaluation (CORE), key risk & performance indicators, and other controls to identify negative trends and potential control gaps.
• Identify operational risks associated with New Business Initiatives (NBI) and other programs within the business and challenge the control environment within these programs
• Perform deep dive reviews of areas of emerging risk or potential control gaps to identify issues for the business to remediate; document and share analysis with business stakeholders entering issues and action plans firm’s system of record
• Provide an independent, objective view of the business and/or function control environment, mitigation strategies and emerging risk.
• Review internal and external Operational Risk events for opportunities to implement new preventive and detective controls.
• Provide independent operational risk oversight in key governance forums within control forums and committees; escalate to regional committees and liaise with regulators as needed
• Be a trusted advisor for Wealth Management Solutions, control teams, Compliance, Conduct and Operational Risk (CCOR) and Risk colleagues and leverage subject matter knowledge to drive value added dialogue, inform risk based decisions and influence strategic programs decisions

Required qualifications, capabilities, and skills

• Bachelor’s Degree with at least 6+ years of industry experience in wealth management/private banking, asset management, institutional capital markets or their control functions such as risk management, compliance, or audit
• Expertise in financial services products – e.g. Investment (fixed income, equity, alternatives, derivatives), Lending, Trusts and Estates
• Highly disciplined, ability to make independent decisions and work with limited supervision while exceling in a dynamic, demanding environment.
• Good communicator (written and oral) with strong analytical, problem solving and project management skills with successful track record of completion
• Strong analytical skills and proven ability to identify potential process and control issues and develop and present solutions to key stakeholders
• Strong interpersonal and influencing skills and ability to embrace and drive change
• Ability to multi-task, prioritize and thrive in a fast-paced and evolving environment

Preferred qualifications, capabilities, and skills

• Familiarity with Wealth Management (WM) and aspects of WM Solutions (e.g. Trust & Estates, Banking, Lending, Product Development, Capital Markets Solutions and Managed Solutions) will be an advantage.
• Exposure to multiple risk disciplines (e.g., credit, investment, fiduciary, reputation) will be an advantage.
• Experience with risk management, control management, capital markets structure, compliance and audit in the financial services industry
• Self-motivated, driven and intellectually curious