JPMorgan Chase Commercial Banking - Sr. Compliance Associate in New York, New York

Commercial Banking ("CB") Compliance supports the CB line of business, which includes Corporate Client Banking & Specialized Industries, Middle Market Banking & Specialized Industries, Real Estate Banking, Commercial Term Lending and Community Development Banking, and Product Groups: Credit Markets, International Banking and Wholesale Loan Services. CB generally serves clients with $10MM - $2B in annual revenue, and also includes specialized industry groups that focus on government, not-for-profit, healthcare, financial institutions, technology, energy, and entertainment.

The CB Compliance group is seeking a Senior Compliance Officer to deliver the regulatory compliance program and plan for CB’s International Banking group as well as assist in the management of CB’s FINRA registered representative program. The position is based in New York or Chicago. The ideal candidate should possess strong leadership and managerial skills, as well as team building experience and project management skills. The Compliance Officer will be responsible for providing guidance to the business on all applicable banking laws and regulations such as: FINRA Rules, Federal Reserve alpha regulations and OCC rules and regulations. To provide such guidance, the team works closely with the rest of CB Compliance, CB Legal & Operational Risk Management and Global Compliance.

Responsibilities

  • Advise International Banking on all compliance topics and applicable regulations.

  • Coordinate Compliance testing and training programs for International Banking with CB Compliance Practices team.

  • Develop and deliver Annual Compliance Meeting training to FINRA registered representatives and act as CB Compliance liaison to Branch Inspection team.

  • Assist senior manager in providing compliance advice on all Cross Border matters and participate in x-LOB Compliance forums.

  • Provide guidance on key banking regulations such as Reg W, Reg O, Reg R and Reg B, as well as, FINRA licensing requirements.

  • Assist in regulatory exam management / interactions & Internal Audits.

  • Identify and monitor metrics that support the compliance program to senior management.

  • Act as a liaison for senior business leaders for the compliance program.

  • Coordinate with CB Legal, Global Compliance & Operational Risk to implement strong compliance culture.

  • Develop and deliver ad-hoc live training sessions / programs as an as needed basis for International Banking employees.

Commercial Banking ("CB") Compliance supports the CB line of business, which includes Corporate Client Banking & Specialized Industries, Middle Market Banking & Specialized Industries, Real Estate Banking, Commercial Term Lending and Community Development Banking, and Product Groups: Credit Markets, International Banking and Wholesale Loan Services. CB generally serves clients with $10MM - $2B in annual revenue, and also includes specialized industry groups that focus on government, not-for-profit, healthcare, financial institutions, technology, energy, and entertainment.

The CB Compliance group is seeking a Senior Compliance Officer to deliver the regulatory compliance program and plan for CB’s International Banking group as well as assist in the management of CB’s FINRA registered representative program. The position is based in New York or Chicago. The ideal candidate should possess strong leadership and managerial skills, as well as team building experience and project management skills. The Compliance Officer will be responsible for providing guidance to the business on all applicable banking laws and regulations such as: FINRA Rules, Federal Reserve alpha regulations and OCC rules and regulations. To provide such guidance, the team works closely with the rest of CB Compliance, CB Legal & Operational Risk Management and Global Compliance.

Responsibilities

  • Advise International Banking on all compliance topics and applicable regulations.

  • Coordinate Compliance testing and training programs for International Banking with CB Compliance Practices team.

  • Develop and deliver Annual Compliance Meeting training to FINRA registered representatives and act as CB Compliance liaison to Branch Inspection team.

  • Assist senior manager in providing compliance advice on all Cross Border matters and participate in x-LOB Compliance forums.

  • Provide guidance on key banking regulations such as Reg W, Reg O, Reg R and Reg B, as well as, FINRA licensing requirements.

  • Assist in regulatory exam management / interactions & Internal Audits.

  • Identify and monitor metrics that support the compliance program to senior management.

  • Act as a liaison for senior business leaders for the compliance program.

  • Coordinate with CB Legal, Global Compliance & Operational Risk to implement strong compliance culture.

  • Develop and deliver ad-hoc live training sessions / programs as an as needed basis for International Banking employees.

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