Job type full-time regular / permanent
Full job description
Our team- personal account dealing & licensing and registration
Responsible for overseeing employee personal trading activities in adherence with regulations in the firm`s respective regions of operationSpecifically, 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 and licensing and registration.
The pad operational model spans across all lines of business, compliance and technology and is a cross product groupAs 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.
Ensuring key throughput and quality targets are met
Dealing with employees across all regions as it relates to specific queries on the pad policy
Ensure the timely reconciliation of employees personal trades (including reporting of breaches, reconciliation of statements and employee records)
Reviewing account disclosures and following up with employees 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
The successful candidate will be a team member responsible for successfully monitoring the employees` personal dealing activities with strong adherence to compliance policies and controlsThey should be analytical and have the ability to identify trading activity that is not in line with jpmorgan chases personal account dealing policyFrequently communicate with regional and lob compliance to maintain and track the employees` personal account dealing data and activities.
0-2 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 work both independently and as part of a team
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.pMorgan and chase brandsOur 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 successWe are an equal opportunity employer and place a high value on diversity and inclusion at our companyWe 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 lawIn 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.
Posted 2 days ago