CCOR - Employee Compliance - Personal Account Dealing - Associate

☞ JPMorgan Chase & Co.

看过: 103

更新日: 07-05-2024

位置: Bournemouth South West

类别: 其他

行业: Financial Services

水平: Entry level

工作类型: Full-time

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工作内容

This role covers, Personal Account Dealing, Market Conduct and Cross Border programs, supporting global stakeholders and working with internal Compliance colleagues to ensure consistent application of the policies. As a Processing Associate, you will responsible for the investigation and potential issuance of violations for individuals deemed noncompliant with the firm’s policies. Alongside global partners, you will work to develop existing programs and implement new processes to enhance the violation frameworks within Compliance.

Key Responsibilities
  • Investigating potential violations by:
    • Liaising with employees at all levels within JPMorgan Chase & Co
    • Compiling supporting documentation to validate if a policy breach has occurred
    • Complete fact finding by working with systems, stakeholders and employees
  • Issue notices to employees and track issuance for reporting purposes
  • Maintaining standard operating procedures and undertaking quality controls to evidence process error rates
  • Daily reporting, utilising new technologies across programs to identify breaches
  • Collation, analysis and distribution of Processing Metrics / Key Performance Indicators
  • Operational / Compliance remediation exercises.
  • Project / Change Management Support.
  • Documentation Management.
Requirements

The successful candidate will be a team member responsible for successfully monitoring the employees’ personal dealing activities, monitoring the issuances of breaches in relation to Personal Account Dealing, Cross Border and Market Conduct breaches with strong adherence to compliance policies and controls. They should be analytical and have the ability to identify activity that is not in line with policies.

Essential Skills
  • Excellent attention to detail
  • Clear and concise verbal and written communication
  • Excellent documentation skills to clearly and accurately articulate case disposition
  • Demonstrate skills in risk assessment and the ability to make sound decisions, including escalation when appropriate
  • Ability to prioritise, work under pressure and meet deadlines
  • Ability to prioritise multiple tasks and bring tasks to completion within established timeframes.
  • Able to work both independently and as part of a team
  • Ability to work effectively with key internal stakeholders to ensure all requirements are achieved
  • Self-starter, able to execute responsibilities with minimal supervision
  • Excellent research and analytical skills
  • Comfortable user of Microsoft Office (i.e. MS Excel; Word, Visio, PowerPoint )
J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.

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.
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最后期限: 21-06-2024

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