JP Morgan Chase & Co.

Compliance - Control Room Senior Officer - Associate

JP Morgan Chase & Co.$110K — $130K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • 2+ years of Control Room or related experience
  • Proven success in fast-paced, high-pressure environments
  • Strong analytical and problem-solving skills
  • Effective communication and relationship-building abilities
  • Detail-oriented with strong organizational skills
  • Excellent multitasking and prioritization capabilities
  • Bachelor's degree required

Responsibilities

  • Partner with various business units to maintain Watch and Restricted lists
  • Review Research publications for compliance
  • Chaperone communications to ensure Research independence
  • Advise front-office teams on permissible interactions
  • Provide guidance on Control Room policy adherence
  • Deliver training on Control Room policies

Benefits

  • Comprehensive healthcare coverage
  • Retirement savings plan
  • Professional development opportunities
  • Generous paid time off
  • Flexible working arrangements
Full Job Description
JOB DESCRIPTION

As a Control Room Senior Associate working within the Compliance, Conduct and Operational Risk organization in the San Francisco office, you will join a global team responsible for maintaining the Firm’s information barriers by monitoring and controlling information flows between private- and public-side businesses.  You will track global banking projects throughout the transaction lifecycle to ensure appropriate monitoring, apply restrictions in a timely manner, and advise business units on the applicability of restrictions in line with internal policies and procedures.

 

Job Responsibilities

  • Partner with Banking, Sales & Trading, and Asset Management to maintain the Firm’s Watch and Restricted lists.
  • Review Research publications for compliance with legal and regulatory requirements.
  • Chaperone covered communications between Equity Research and Global Banking to support Research independence and adherence to internal policies.
  • Advise front-office teams on permissible interactions with research analysts, including pre-clearing and chaperoning communications as needed.
  • Provide guidance on the Firm’s restricted list policy, research restrictions during advisory mandates, and other Control Room policies.
  • Deliver training to business areas on Control Room policies and procedures.

 

Required qualifications, capabilities and skills

  • 2+ years of Control Room or related experience.
  • Thrives in a fast-paced, high-pressure, team-oriented environment.
  • Strong analytical and problem-solving skills, including gathering, synthesizing, and assessing information.
  • Ability to build credibility and partner effectively with senior leaders, control functions, and global stakeholders.
  • Flexible and collaborative working style across all levels.
  • Detail-oriented with strong multitasking, organization, and prioritization skills.
  • Excellent written and verbal communication skills.
  • Bachelor’s degree required

 

Preferred qualifications, capabilities and skills

  • MBA and/or professional certification preferred.

 

About JP Morgan Chase & Co.

JP Morgan Chase & Co. stands at the forefront of the global financial services industry. They offer an expansive array of products and services to a diverse clientele, including individuals, corporations, governments, and institutions. Ever since the merger of J.P. Morgan & Co. and Chase Manhattan Corporation in 2000, this industry-leading entity has become renowned for its comprehensive portfolio encompassing consumer and community banking, corporate and investment banking, commercial banking, as well as asset and wealth management. Headquartered in the vibrant city of New York, JP Morgan Chase & Co. boasts a formidable presence across over 100 countries worldwide.

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JP Morgan Chase & Co. is continuously on the lookout for talented individuals eager to contribute to its legacy of excellence. The company's recruitment efforts are geared towards identifying candidates with the right blend of skills and qualifications to drive forward its various business segments. Whether you are a seasoned professional or a recent graduate, JP Morgan Chase offers a plethora of job openings across multiple disciplines.

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Your job application, comprising your resume and cover letter, is your ticket to securing an interview at JP Morgan Chase. Highlight your qualifications, skills, and experiences that align with the job listing, ensuring you stand out in the competitive job market.

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Preparation is key to succeeding in your interview with JP Morgan Chase. Familiarize yourself with the company's business segments, values, and recent achievements. Demonstrating how your background and aspirations match the company's goals can significantly increase your chances of employment. A World of Job Opportunites in the Financial Services Industry JP Morgan Chase & Co. offers a world of job opportunities for those seeking to make their mark in the financial services industry. With competitive salaries, comprehensive benefits, and endless possibilities for growth, positions at JP Morgan Chase are highly coveted. By staying informed through job sites, tailoring your applications, and preparing thoroughly for interviews, you can enhance your prospects of joining the esteemed ranks of JP Morgan Chase employees. Explore the job board, seize the job opportunities, and embark on a rewarding career journey with one of the world's leading financial institutions.
Learn more about JP Morgan Chase & Co.
Size
661 employees
Market Cap
$384.5 billion
Industry
Net Income
$29.1 billion
Founded
1823
5 Year Trend
+0.7%
Revenue
$261.5 million
NASDAQ

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