Job Description

Compliance Mission Statement

The Compliance Processing team acts to ensure that our customers, employees, and lines of business are in adherence with firm standards and required regulations. Our mission is to provide compliance support across the firm's global businesses and functions. We are driving a culture of quality and continuous improvement toward the best outcome for client experience, our colleagues and JPMorgan Chase. If you're interested in working in an environment where leadership, excellence, integrity, and diversity are among our core principles, then explore the opportunities at JPMorgan Chase. Our Team- Personal Account Dealing

Responsible for overseeing employee personal trading activities in adherence with regulations in the Firm's respective regions of operation. Specifically, we are responsible for the on-boarding of employee Personal Trading Account(s) data, as well as monitoring their compliance to the firm's Personal Trading Policies. Opportunity

The PAD operational model spans across all lines of business, compliance and technology and is a cross product group. As a member of the team you will be tasked with ensuring employees have correctly attested to the PAD policy, declared personal trading accounts and performing the ongoing surveillance of those trading accounts. Key Responsibilities:

• Strong knowledge in financial products. PAD experience would be added benefit
• Should have managed a team of 10 associates
• Ensuring key throughput and quality targets are driven
• Dealing with employee escalations across all regions as it relates to specific queries on the PAD Policy
• Ensure the timely review of outstanding reconciliation of employees personal trades (including reporting of breaches, reconciliation of statements and employee records)
• Reviewing account disclosures outstanding and following up with employees/team on closure of non- approved broker accounts.
• Reviewing documentation received for account closures and Managed accounts.
• Raising cases to the Investigations team where employees do not complete actions as per timelines

Requirements

The successful candidate will be a team member responsible for successfully monitoring the employees' personal dealing activities with strong adherence to compliance policies and controls. They should be analytical and have the ability to identify trading activity that is not in line with JPMorgan Chases Personal Account Dealing Policy. Frequently communicate with Regional and LOB Compliance to maintain and track the employees' personal account dealing data and activities. Essential skills:

• 10-12 years' experience in a Legal, Compliance, Risk or Operations areas within the Financial Services industry
• A working knowledge of the financial markets and products
• Client centric focus - Work as a trusted client partner and advocate, ensuring strong strategic alignment and open communication
• Good at data organization and maintenance - must be detail oriented
• Able to manage a team size of 10+ associates or even work independently
• Comfortable user of Microsoft Office (particularly Excel)
• Execution skill - Able to deliver results/meet deadlines under pressure

JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management. We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.