JPMorgan Compliance-Monitoring/Testing Senior Officer-Associate 

United States, Texas, Plano 

283938411

As a Compliance, Conduct and Operational Risk (CCOR) Branch Examination Associate within our global/regional Compliance teams, you will be expected to form effective partnerships with various Line of Business (LOB) units. Your role will also involve collaboration with Internal Audit, Operational Risk, and other Control functions. This position necessitates a solid understanding and experience in Compliance, along with a familiarity with regulatory and/or audit best practices.

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.
• Evaluate findings and formulate conclusions in written reports on compliance assessments, worksheets and narrative materials.
• Travel to domestic locations 35 percent of the time.
• Provide a high attention to detail, flexibility, patience, good analytical as well as interpersonal skills, and the ability to work independently.

Required qualifications, capabilities, and skills

• Undergraduate degree or equivalent experience.
• 3+ years' experience in financial services, compliance or regulatory role required.
• 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.