JPMorgan Compliance- Monitoring/Testing Lead- Associate 

United States, Texas, Plano 

47891683

As a Compliance, Conduct and Operational Risk (CCOR) Associate you will effectively partner with Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions. You will require knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices. This position is anticipated to require the use of one or more High Security Access (HSA) systems. Users of these systems are subject to enhanced screening which includes both criminal and credit background checks, and/or other enhanced screening at the time of accepting the position and on an annual basis thereafter. The enhanced screening will need to be successfully completed prior to commencing employment or assignment.

Job responsibilities

• Perform on-site compliance examinations of broker-dealer and investment advisory business to determine adherence to JPMorgan Securities policies and procedures.
• Develop scope, process flows, design evaluation, testing evaluations to ensure risk controls are implemented, functioning properly, and are being executed properly.
• Conduct examinations that consist of trading analysis, on-site inspections, and document reviews.
• Evaluate findings and formulating conclusions in written reports on compliance assessments, required schedules, worksheets and narrative materials.

Required qualifications, capabilities and skills

• Undergraduate degree or equivalent experience.
• 3+ years' experience in financial services, compliance or regulatory role required.
• The position will require high attention to detail, flexibility, patience, good analytical as well as interpersonal skills, and the ability to work independently.
• Ability to travel 35%
• Valid driver's license required.

Preferred qualifications, capabilities and skills

• FINRA (Financial Industry Regulatory Authority) Series 7, 66, and 24 licenses (or equivalents) not required, however, preferred.
• Prior broker/dealer experience with compliance or audit is desirable.