JPMorgan JP Morgan Wealth Management- Business Analyst Regulatory Policy Management 

United States, Ohio, Columbus 

927169294

Job Responsibilities:

• Partner closely with Legal to review Court Order and Levy (COAL) restrictions
• Serve as a Subject Matter Expert “SME” resource for peers, managers & internal business partners for COAL related matters
• Act as an owner of the end-to-end COAL restriction process, owning research and other tasks from start to finish
• Identify, escalate, and drive solutions for issues, risks, and decisions with business partners
• Understand applicable legal obligations and documentation use to comply
• Facilitate cross functional working groups to drive decisions needed to confirm appropriate steps are taken
• Participate in regulatory exams, audits, and Controls tests
• Demonstrate superior judgement to identify and mitigate risk impacts
• Foster and maintain strong working relationships
• Guide and influence partners of all levels toward strategic decision making
• Process development, enhancement, and implementation

Required qualifications, capabilities, and skills:

• FINRA Series 7 and 63 (or equivalent) required, in addition to meeting FINRA continuing education requirements
• Strong compliance record prior to position(s) and ability to hold a registration in all 50 states
• Strong business and investment acumen; knowledge of Investment Products, Individual Retirement Accounts (IRAs) etc.
• Ability to understand, investigate, and solve complex problems
• Strong organization, time management, priority management and multi-tasking skills
• Ability to understand internal policies and regulatory requirements
• Comfortable working independently as well as part of a team to meet deadlines
• Ability to maintain strong documentation for internal and external reporting purposes
• Outstanding written and verbal communication and presentation skills
• Ability to forge relationships and build a network throughout the firm
• Extremely organized and detail oriented, demonstrating working knowledge of Windows, Microsoft Office software (Word, Excel, PowerPoint, Outlook, etc.)

Preferred qualifications, capabilities, and skills

• Series 24 preferred
• At least five to ten years of financial services or brokerage experience (regulatory and/or wealth management preferred)
• Bachelor’s degree preferred