דרושים Assessments & Exercises Vice President - Red Team Operator ב-גיי פי מורגן ב-United States, Washington

At Compliance Conduct and Operational Risk division, as a trade surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the information barrier and restricted list policies. The trade surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements.

Job Responsibilities:

• Reviewing Trade surveillance alerts and conducting analysis of trading and market activity for asset class and programs such as Equities, Information barriers, Fixed income, Futures/ Options and Asset management
• Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately
• Working with business and compliance stakeholders to identify potential market misconduct and technical rule violations and disposition, accordingly, include through interaction with regional Surveillance teams
• Conducting alert-based reviews for potential violations of laws, rules, and regulations.
• Work along with peers, handle multiple reports, engage in result-oriented tasks in a fast-paced environment. Identifying areas for process improvement and contribute towards the same
• Additional duties as assigned & Identifying areas for process improvement and contribute towards the same
• Identify key issues, risks, trends, observations and have them highlighted to management/key stakeholders

Required qualifications, capabilities, and skills:

• Qualified graduate with minimum of 6 years of trade surveillance / product experience with exchange traded products (including equities, futures and Fixed income) and/or information barriers / Asset management
• An understanding of markets and potential market manipulative behavior and a demonstrated ability to conduct reviews relating to regional rules and regulations
• Experience with reviewing trading activity for Compliance and familiarity with securities laws and regulations for identifying potential trading violations

Preferred Qualifications, Capabilities, and Skills:

• Experience with SMARTS, Actimize or similar Trade surveillance systems is a plus
• Experience with navigation and sourcing of information in Bloomberg/public sources
• Working Knowledge of securities markets preferred

As a Business Relationship Manager Senior (BRM) Acquisition banker in Business Banking, you’ll be developing and managing a portfolio of large profitable business clients with annual revenue greater than ~$3MM. You’ll focus on business development, acquiring balances, deepening product utilization, and gaining referrals to increase primary bank share. As a Senior Acquisition banker, you will provide a high-touch experience by building relationships and providing financial advice with a focus on client experience and risk management, while focusing on acquiring new relationships, retaining and deepening existing relationships.

Job Responsibilities

• Acquire, retain and deepen a portfolio of approximately 40 business clients and 60 prospects in a growth/expansion stage with annual revenue greater than ~$3 million; provide business deposit and cash management solutions and manage business credit opportunities up to $15 million; provide support to branch-based business bankers on sizeable business credit deals as needed
• Deliver an outstanding experience to Chase business clients by providing comprehensive and customized business banking solutions tailored to the financial needs and circumstances of their businesses
• Grow portfolio by prospecting for new clients whose businesses are in expansion mode; utilize extensive referral networks and centers of influence to independently identify and pursue potential new business clients, looking for ways to cultivate long-term primary banking relationships.
• Develop strong referral network internally in partnership with Private Bank, Asset Wealth Management, Middle Market and One Chase to identify new opportunities for all partners
• Leverage knowledge of diverse types of businesses, industries, markets, financial and economic concepts, as well as creative marketing techniques utilizing Chase resources and materials to develop business network and prospects
• Develop relationships with clients, prospect and centers of influence through in-person/virtual calls to understand the needs of the business and its owners and develop the full financial relationship
• Understand the personal financial goals and needs of the owner(s). Utilize knowledge of personal banking products and partner with Branch, Wealth Management and Private Bank to identify and deliver appropriate personal financial solutions
• Partner with product specialists to ensure clients are onboarded seamlessly with end-to-end delivery of new accounts and full suite of products and services. Leverage service team to deliver an outstanding client experience
• Protect the firm by following sound risk management protocols and control policies and adhering to regulatory requirements

Required qualifications, capabilities, and skills

• Minimum of 5 years’ experience in a Business Banking Relationship Management role or related business lending experience
• Strong current business network; active involvement in community organizations such as Chambers of Commerce, non-profit boards
• Demonstrates strong tactical business development and negotiation skills. Self-directed, proactive, and creative; uses sound judgment and navigates ambiguity to get things done
• Strong relationship-building and excellent communication skills with individuals at all levels, internally and externally. Ability to influence others to achieve desired outcomes and leverage technology to interact with clients effectively and efficiently
• Strong knowledge of deposit and cash management products and services, and knowledge of business credit underwriting with commercial credit training. Uses seasoned judgment to offer comprehensive and customized solutions that best meet client needs; monitors and researches market/industry trends and business outcomes to anticipate client needs; presents proactive solutions and innovative alternatives when appropriate
• Balance needs of clients with associated risks and interests of the firm
• Excellent organizational skills and the ability to manage, prioritize, work under pressure and meet tight deadlines

Preferred qualifications, capabilities, and skills

• Bachelor’s degree in Finance or related field, or equivalent work experience
• Minimum of 3 years’ managing clients >$10+MM revenue
• In-depth knowledge of diverse types of businesses, industries, markets, financial and economic concepts
• Proficient in Microsoft Office tools including Outlook, Excel, Word, and PowerPoint

As a Business Relationship Manager Senior (BRM) Acquisition banker in Business Banking, you’ll be developing and managing a portfolio of large profitable business clients with annual revenue greater than ~$3MM. You’ll focus on business development, acquiring balances, deepening product utilization, and gaining referrals to increase primary bank share. As a Senior Acquisition banker, you will provide a high-touch experience by building relationships and providing financial advice with a focus on client experience and risk management, while focusing on acquiring new relationships, retaining and deepening existing relationships.

Job Responsibilities

• Acquire, retain and deepen a portfolio of approximately 40 business clients and 60 prospects in a growth/expansion stage with annual revenue greater than ~$3 million; provide business deposit and cash management solutions and manage business credit opportunities up to $15 million; provide support to branch-based business bankers on sizeable business credit deals as needed
• Deliver an outstanding experience to Chase business clients by providing comprehensive and customized business banking solutions tailored to the financial needs and circumstances of their businesses
• Grow portfolio by prospecting for new clients whose businesses are in expansion mode; utilize extensive referral networks and centers of influence to independently identify and pursue potential new business clients, looking for ways to cultivate long-term primary banking relationships.
• Develop strong referral network internally in partnership with Private Bank, Asset Wealth Management, Middle Market and One Chase to identify new opportunities for all partners
• Leverage knowledge of diverse types of businesses, industries, markets, financial and economic concepts, as well as creative marketing techniques utilizing Chase resources and materials to develop business network and prospects
• Develop relationships with clients, prospect and centers of influence through in-person/virtual calls to understand the needs of the business and its owners and develop the full financial relationship
• Understand the personal financial goals and needs of the owner(s). Utilize knowledge of personal banking products and partner with Branch, Wealth Management and Private Bank to identify and deliver appropriate personal financial solutions
• Partner with product specialists to ensure clients are onboarded seamlessly with end-to-end delivery of new accounts and full suite of products and services. Leverage service team to deliver an outstanding client experience
• Protect the firm by following sound risk management protocols and control policies and adhering to regulatory requirements

Required qualifications, capabilities, and skills

• Minimum of 5 years’ experience in a Business Banking Relationship Management role or related business lending experience
• Strong current business network; active involvement in community organizations such as Chambers of Commerce, non-profit boards
• Demonstrates strong tactical business development and negotiation skills. Self-directed, proactive, and creative; uses sound judgment and navigates ambiguity to get things done
• Strong relationship-building and excellent communication skills with individuals at all levels, internally and externally. Ability to influence others to achieve desired outcomes and leverage technology to interact with clients effectively and efficiently
• Strong knowledge of deposit and cash management products and services, and knowledge of business credit underwriting with commercial credit training. Uses seasoned judgment to offer comprehensive and customized solutions that best meet client needs; monitors and researches market/industry trends and business outcomes to anticipate client needs; presents proactive solutions and innovative alternatives when appropriate
• Balance needs of clients with associated risks and interests of the firm
• Excellent organizational skills and the ability to manage, prioritize, work under pressure and meet tight deadlines

Preferred qualifications, capabilities, and skills

• Bachelor’s degree in Finance or related field, or equivalent work experience
• Minimum of 3 years’ managing clients >$10+MM revenue
• In-depth knowledge of diverse types of businesses, industries, markets, financial and economic concepts
• Proficient in Microsoft Office tools including Outlook, Excel, Word, and PowerPoint

J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions with client assets of $4 trillion. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.

As a Supervisory Manager in Chase Wealth Management, you will lead and oversee a territory of Financial Advisors, ensuring compliance with regulatory obligations and managing operational risk. You will work closely with senior leadership to address complex issues and provide strategic solutions. Your role is crucial in maintaining the integrity and success of our wealth management services.

Job Responsibilities:

• Recognize and address issues, risks, and exposures.
• Engage senior leadership to implement solutions.
• Coach business partners to adapt to regulatory changes.
• Interface with leadership teams across lines of business.
• Develop expertise in securities rules and regulations.
• Implement account reviews for investment suitability.
• Conduct Advisor book reviews to identify trends.
• Escalate potential issues to appropriate parties.
• Present reports to senior management.
• Collaborate with Sales Practice Review team.
• Resolve questions and issues from oversight groups.

Required Qualifications, Capabilities, and Skills:

• 7 years of experience in the securities/investment industry.
• Bachelor's Degree.
• Experience in supervisory or compliance roles.
• Knowledge of FINRA, MSRB, and SEC rules.
• Strong critical thinking and analytical skills.
• Excellent written and verbal communication skills.
• Strong organizational and time management skills.
• Proven judgment and problem-resolution skills.
• Familiarity with office software applications.
• Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53).appropriate State Life & Health Insurance licenseAdditional licensing requirements must be met within 120 days of hire.

Preferred Qualifications, Capabilities, and Skills:

• Experience with Advisor/Banker compensation plans.
• Ability to build relationships across business functions.
• Understanding of new investment products.
• Experience in conducting reviews.
• Ability to communicate with all levels of management.
• Exceptional attention to detail.

• Process trades (subscriptions, redemptions, transfers, etc.), data and reports in accordance with the established work practices and procedures in TA Ops
• Partner within the TA Ops department and across the broader AIS team to ensure the completion of all end-to-end processes in line with JPMorgan Risk Management policies
• Maintain the highest individual and team standards for quality assurance as it relates to all investor or fund activity / changes; ensure team is ‘Always Audit Ready’
• Produce client / investor level reporting and internal control reports, such as contact updates, monthly / quarterly statements, contract notes, order acknowledgements, and regulatory reports
• Collaborate with the TA Ops and AFS leadership teams to help drive the strategic agenda
• Follow JPMorgan's established processes and procedures; Look to modify / iterate processes and procedures to continually improve accuracy, reduce redundancy, and mitigate risk
• Identify and action priority items within appropriate timeframes; escalate issues as necessary; relentlessly resolve aged items

• Bachelor’s degree required
• Extensive working knowledge of Microsoft Office products including Word, Excel (VLOOKUP’s, etc.), and Outlook
• Recent graduates to 2 years’ experience in the Financial Services industry, preferably with prior experience in alternative funds

• Team player, professional and proactive approach to work, positive attitude and ability to solve problems
• Ability to work with a high level of precision in a fast paced, deadline driven environment and ability to work independently with strong follow through
• Excellent oral and written communication