JPMorgan Chase 2018 ALPFA Convention - Compliance - Experienced Professionals in New York, New York

2018 ALPFA National Conference - Las Vegas - Experienced Professionals

JPMorgan Chase & Co. is a proud sponsor and excited to attend the 2018 ALPFA National Convention, July 30th - August 3rd in Las Vegas, Nevada.

We look forward to connecting with you and want to provide you with an overview of some of the teams that will be in attendance at the conference and recruiting to fill open roles across the country.

Please note hiring manager and recruiters will also be on site to answer questions about opportunities at JPMorgan Chase.


  • For additional information and a complete list of all of our available opportunities, please visit our general careers website

  • You can apply to this pipeline to alert us you have an interest in our firm. We will follow-up accordingly. Please make a note in your profile if you are interested and able to have a discussion at the conference or post conference.


Compliance operates the Firmwide Global Compliance Program, which ensures compliance with varies rules and regulations and oversee compliance risk. Our compliance colleagues may support corporate functions or a particular line of business to support their respective business and regions.

Compliance Advisory:

Embeds into each line of business and region to provide businesses with advice on regulatory matters and control initiatives.

Compliance Officer

This role works closely with the Line of Business (LOB), Legal, Risk, and Audit functions to provide expertise on regulatory compliance matters, which include maintaining regulatory relationships; assessing, measuring and reporting on compliance related risks; monitoring and testing the adequacy of the firm's compliance control environment; and training and awareness

Compliance Practices :

Designs and implements compliance practices across the globe, including Governance & oversight (including Quality Assurance), Regulatory Management, Policies & Procedures, Training & Awareness, Monitoring & Testing, Issue Management and Risk Assessment & Reporting.

Governance Practice Lead - This role drives the development/design of governance related processes and tools which underpin the continuous improvement of our compliance program. This role is also responsible for leading the development of the coverage framework for legal entities, as well as the methodology utilized by Compliance during the New Business Initiatives Approval Process. In addition, the role has responsibility for advising, guiding, and supporting Line of Business / Regional Compliance groups on the compliance risk management framework and related governance practices.

Regulatory Development Manager - This role supports activities associated with developing and enhancing the Compliance Department's regulatory change management process, including associated governance activities and the development and maintenance of tools utilized by the Compliance community to log and track regulatory developments. Further, this role manages the framework to identify Compliance-relevant risks that relate to the implementation of Compliance Program activities and significant regulatory obligations arising in connection with the offering of financial products and services to clients.

Compliance Policies Manager - In this role, the individual will contribute to policy governance and oversight, policy review and editing, tracking and reporting policy metrics and other group initiatives. Serves as primary author/editor (not subject matter expert) for Firmwide and cross- LOB Compliance policies to ensure consistency of both content and "look and feel".

Compliance Training Content Specialist / Course Facilitation Manager - This role is responsible for leading a team that develops and implements best practices for coordinating and creating training to mitigate compliance risk for various levels of staff globally using classroom, virtual and/or e-learning delivery methods.

Monitoring & Testing Lead - This role is responsible for leading the effort for the development and continuous enhancement of Compliance Monitoring and Testing process that is sustainable, drive consistency, and provide flexibility to execute across the businesses and countries in which the firm operates. This role is comprised of heavy interaction and collaboration with senior executives across the Firm, as well as interaction with regulators, as applicable. Responsibilities include, but are not limited to: assessing testing coverage/planning based on risk assessment results, analyzing testing resources/capacity and ongoing strategy, assessing regulatory implications and supporting the development/maintenance of test scripts/library covering key compliance risks.

Risk Assessment Manager - This role will focus on the developing reporting and analysis and the ongoing enhancement to the Compliance Risk Assessment process. Specifically, this role provides the opportunity to establish and build-out the global compliance framework and associated governance for risk assessment and reporting, and other components of our compliance program. This role has responsibility for advising, guiding, and supporting Lines of Business / Regional Compliance groups on the framework and related standards. Additionally, this role will support creating tactical solutions to meet day-to-day re porting needs. This group partners with the Compliance Technology team to design strategic tools to support the implementation of the compliance framework. Investigations Page 3 of 3 Anti-money Laundering Investigations Manager

Corporate Compliance:

Oversees various Compliance programs across the firm, including Global Financial Crimes Compliance Investigations (AML Investigations), Employee Compliance (Firmwide policies such as Code of Conduct, Personal Account Dealing, Anti-Corruption and Licensing & Registrations), Privacy and Global Information Management, Trade Surveillance & Electronic Communications .

Anti-money Laundering Investigations Manager

This role focuses on managing a team of investigators, providing feedback, developing employees' skills and enhancing work products. Successful individuals have strong independent responsibility and demonstrate compliance knowledge in working with international Anti Money Laundering (AML) related issues, to include foreign correspondent banking clients and products, in addition to large multinational corporations. Individuals must have banking system and investigative knowledge. Individuals will be expected to interact with AML management, the firm's Corporate and Investment Bank line of business, and the firm's legal, audit and risk departments. This position requires the individual to exercise sound judgment, and high quality standards when conducting investigations.

Trade Surveillance Analyst

This role is responsible for performing surveillance of CIB trading activity for various products; i.e., fixed income securities, foreign exchange, derivatives, options, equities, futures, and commodities. Any successful candidate will understand the business that is transacted sufficiently to identify areas/topics requiring surveillance activity. Additionally, the individual will work with Technology, Project managers, and other stakeholders to define requirements and conduct user acceptance testing for new or enhanced surveillances.

Personal Account Dealing (PAD) Compliance Manager

This role focuses on leading policy, procedure, communications, and training initiatives within the Personal Account Dealing Compliance team. A successful individual in this role will coordinate efforts across Compliance and technology leadership to implement key action plans in response to FINRA commitments - including implementation of enhanced policies and procedures and implementation of global PAD compliance program priorities.


  • Bachelor’s degree or equivalent work experience

  • Excellent interpersonal, written and verbal communication skills required.

  • Self-starter and able to work independently, escalate appropriately and multitask successfully in a fast-paced and complex business environment.

  • Must possess strong computer skills: Microsoft Office Suite including Excel, Word, Access, Outlook and PowerPoint.

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.