CCOR-Compliance Manager at JPMorgan Chase Bank, N.A. in Tampa, Florida

Job Description:

JPMorgan Chase & Co.'s Compliance Department is seeking a Compliance professional to join the North America Corporate & Investment Bank (CIB) Compliance Conduct and Operational Risk (CCOR) Testing team, which functions within the firm's second line of defense and provides compliance, conduct, and operational risk testing coverage for the following U.S. CIB businesses:

• Financial Markets:

Global Equities, Securitized Products, Rates/Credit/FX/Public Finance, Research, Commodities, Prime Brokerage & Finance, Futures & Options Execution

• Investment Banking:

Client Coverage, Mergers & Acquisitions, Equity Capital Markets, Debt Capital Markets, Corporate Banking, and Treasury Services

• Custody and Funds Services:

Agent Lending, Collateral Management, Custody, Depository Receipts, Global Fund Services, Global Clearing, and Liquidity

• Corporate Functions:

Global Treasury and the Chief Investment Office

The team is responsible for supporting these businesses by implementing a risk-based program designed to evaluate and test the effectiveness of internal controls, policies, procedures, and processes, which facilitate compliance with regulatory and internal business requirements.

Responsibilities:

• Communicate with relevant businesses, Line of Business Compliance, Operational Risk, Business Control Managers, and Technology partners while conducting detailed evaluations of i) internal controls, ii) policies, iii) procedures, and iv) processes that mitigate risks and reasonably ensure adherence to applicable regulations, legal obligations, and business requirements.
• Identify potential or actual weaknesses in controls, processes, and procedures.
• Interpret risk assessment results and develop appropriate methodologies and approaches to evaluate business related activities.
• Communicate with relevant stakeholders to understand workflows, controls, processes, and procedures employed to mitigate compliance, conduct, and operational risks.
• Write test reports that effectively communicate testing objectives, processes, methodologies, and results to senior management, business control managers, and other relevant functions.
• Follow-up on statuses of identified issues until effectively remediated.
• Communicate with CIB Regional Compliance Testing teams in EMEA, APAC and LATAM to ensure global testing consistency and promote adherence to testing standards.
• Participate in special projects to enhance CCOR testing processes and practices.

Qualifications:

• Three or more years of relevant compliance testing, regulatory, examination, or internal audit experience.
• Experience within a top tier U.S. financial services firm.
• A working knowledge of Investment Banking, Sales, and Trading-related activities is a plus.
• Understanding of control frameworks and risk assessment analyses.
• Experienced business writer with proven ability to review and edit testers' written test related documents and ensure clear and concise descriptions of reviews and conclusions.
• Strong analytical and investigative skills.
• Ability to work independently and collaboratively within a team environment.
• Ability to manage multiple test activities simultaneously with minimal supervision in a deadline driven environment.
• Proven project and time management skills.
• Strong interpersonal, communication, and organizational skills.
• Ability to interact with all levels of personnel within the corporate framework.
• Knowledge of Dodd Frank and Volcker regulations a plus.

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.

Equal Opportunity Employer/Disability/Veterans

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