JPMorgan Compliance - Employee Conduct Officer Associate 

United States, Delaware 

411158118

Job Description

Responsibilities will include the collection, collation, and tracking of paperwork required for onboarding, maintenance of confidential records, and updating of multiple Compliance information systems as well as special assignments and ad hoc requests, as needed. Key activities of the Team include:

Job Responsibilities

• Sourcing appropriate background documents for FINRA registration and/or insurance licensing from employees and managers
• Coordinating with Insurance and Securities Regulators to process onboarding and amendments on a timely basis
• Monitoring operational processing controls
• Ensuring regulatory requirements are met by the employee while also adhering to our internal controls

Required Qualifications, Capabilities, and Skills

The candidate must be a quick learner who is able to work in a fast-paced, results-driven environment independently as part of a team. In addition, successful candidates should have the ability to use a wide range of computer-based systems, to exercise sound judgment and observe the highest degree of confidentiality in the handling of information received in connection with their responsibilities.

• Ability to build and maintain effective working relationships with internal stakeholders including but not limited to Sales Representatives, all levels of management, and external parties
• Strong analytical and problem solving skills with the ability to recommend and make decisions autonomously
• Ability to thrive in a changing work environment and manage well under pressure
• Quick learner, team player, results-oriented, self-motivated, flexible approach to work hours
• Proactive approach to problem-solving, a logical thinker who appropriately challenges the status quo
• Strong oral and written communication and presentation skills
• Intermediate proficiency with Microsoft Excel (e.g. pivot tables, macros, data analytics, etc.), PowerPoint, Vision (e.g. process mapping), and Outlook
• Document review experience and high attention to detail

Preferred Qualifications, Capabilities, and Skills

• Regulatory or operations knowledge of securities and/or insurance a plus