About the job

Welcome to J.P. Morgan Chase. If you are looking to make an impact in a fast-paced and dynamic environment, you've found the right role. 

The role has global coverage and supports the front office Markets Sales, Trading and Research franchises in the measurement, management and reporting of Compliance Risk. This involves the identification of risks and controls which are relevant to statutes, laws, rules and regulations which govern the activities of the Markets businesses, and the subsequent assessment of residual risk.  

To facilitate this, you will leverage and expand your own expertise and also engage the with first line colleagues, including the front office, Risk and Compliance in the second line of defense, and key functional partners including Legal, Finance and Operations. The Markets Sales, Trading & Research desks you will support cover a broad range of products including Equities, Commodities and Currencies, Fixed Income, Credit Trading, Munis and Structured Products. 

The role is within the Markets Business Controls Management (BCM) department, which manages the non-financial / operational risk of the front office businesses.  The broader Markets Legal and Regulatory Change Management team also maintains an inventory of applicable statutes, laws, rules and regulations, and proactively manages the pipeline of regulatory change. 

If you have experience in non-financial risk management, controls management, compliance or operational risk for Markets businesses, this could be the role for you.

 

Job Responsibilities

Execute the identification of Controls which are relevant to specific statutes / laws / rules / regulations (‘legal obligations’) Participate in associated quality reviews and ongoing data hygiene activities. Support the preparation, interpretation and review of the Compliance Risk Assessments  Keep the control tagging evergreen as the underlying control framework and population of associated legal obligations evolve. Develop and deploy subject matter expertise of local business activities, applicability of rules and regulations, and the local legal and regulatory framework. Represent Markets in working groups and other meetings for specific Compliance Risk framework requirements. 

 

Required Qualifications, Capabilities, And Skills

5+ year career focused on the capital markets regulatory rules issued by the major agencies that cover equities, currencies, commodities, credit, municipal bonds and structured products. Practical knowledge of trading room operational risk, supervisory preventative and detective controls and end-to-end deal flow from pitching to settlement Experience in supporting risk and control identification and implementation. Analytical thinker who can interpret regulatory rules, form fact-based conclusions and identify new risks to sales and trading activities. Must have the ability to synthesize large volumes of information and draft key messages for senior leaders. Demonstrate sound judgment, maturity, and poise to influence and collaborate with capital markets personnel. Energetic, self-motivated, and thrives in the challenge of simultaneous work-streams.

 

Preferred Qualifications, Capabilities, And Skills

Adept at interpreting legal text as a layperson (note: formal legal qualifications are not required) Knowledge of Markets products and businesses