Consumer & Community Banking Retail Brokerage Wealth Management Compliance Associate.
Req #: 190014874
Location: Tampa, FL, US
Job Category: Compliance
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. JPMorgan Chase & Co. is committed to providing a comprehensive set of benefits choices to meet different employee needs and lifestyles, which include choices such as fully paid parental leave time, health care insurance and retirement benefits.
Chase Wealth Management (CWM) is a division of Consumer Banking (CB), which offers comprehensive financial planning and investment management advice and solutions across 5,200 branches nationwide.
The CB & CWM (CBCWM) Compliance Advice team is looking for an individual to fill an exciting and challenging position as a Regional Compliance Officer supporting Chase Bank and Wealth Management. The position provides an opportunity to be part of an innovative and talented group of compliance professionals, and requires strong knowledge of the legal and regulatory requirements for broker dealers doing business in the USA. The Regional Compliance Officer is dedicated to a specific region of the CBCWM footprint and is responsible for providing pro-active advice, guidance and monitoring with regard to both securities, investment advisory and monitoring of activities in the branches.
This position requires a retail broker/dealer background, strong knowledge of mutual funds, annuities, equities, fixed income, and investment advisory products.
Strong knowledge of FINRA and SEC rules and regulations.
Conduct on-site branch office and OSJ visits as necessary.
Conduct internal investigations as needed.
Provide regulatory advice, communicate firm policy and provide appropriate training to registered representatives regarding the firm's sales practices, policies and procedures for the suite of Investment Solutions offered by CWM.
Provide compliance advice and support to Regional Supervisory Management, and Market Directors, in the Consumer Bank and Chase Wealth Management line of business.
Stay abreast of new rules and regulations, evaluating impact to the business and CBCWM Compliance Program which may result in new policies and procedures, Compliance Bulletins and training.
Coordinate efforts with the Regional Compliance Officers nationally on matters that impact CBCWM and its Compliance Program, escalating issues and updating management accordingly.
Take the lead on specific projects to enhance the Compliance Program and execute on those projects to completion.
Work with Supervisory Principals and registered representatives on regulatory issues and adherence to firm policies and procedures that may arise, and provide guidance for Supervisory Management to resolve those matters accordingly.
Coordinate with the internal branch examination team after the examination process and follow up with Supervisory Management on outstanding issue or deficiencies.
Excellent verbal and written communication, as well as client management, reporting/metrics, interpersonal, organizational, and presentation skills.
Perform other functions as requested.
3-5 years' previous experience of general retail brokerage compliance.
A bachelor's degree required.
Excellent writing and oral communication skills.
Proficient in Excel, SharePoint, PowerPoint, Word, and other reporting tools.
Excellent interpersonal and communications skills.
Strong analytical and presentation skills.
Ability to travel within assigned territory when necessary.
Series 7, 24, 63, 65 or/66 required.
Series 8 or 9/10 a plus.
Jpmorgan Chase & Co.