Employee Compliance
2 weeks ago
**JOB DESCRIPTION** Job Title - Employee Compliance - Licensing and Registration Processing (L&R)**:
- **Assistant**
**Compliance Mission Statement**
The Compliance Operations team acts to ensure that our customers, employees, and lines of business are in adherence with firm standards and required regulations.
Our mission is to provide compliance support across the firm’s global businesses and functions. We are driving a culture of quality and continuous improvement toward the best outcome for client experience, our colleagues and JPMorgan Chase.
If you are interested in working in an environment where leadership, excellence, integrity, and diversity are among our core principles, then explore the opportunities at JPMorgan Chase.
***Our Team
- Licensing and Registration Processing (L&R**)**
Licensing and Registration Processing (L&R) is a critical Employee Compliance function within JPMorgan Chase.
Our team supports JP Morgan business areas within APAC, EMEA, Americas region, which includes HKMA, MIFID, MAS and FINRA Regulators, NFA Regulated entities, SWAP registrations, as well as Insurance licensing.
**Role Requirements**
***We are looking for talented people to join our Employee Compliance **Licensing and Registration **team supporting the delivery of key Licensing and Registrations in line with relevant Standard operating Procedures.
- This includes liaising closely with key stakeholders and the business and other control functions. L&R team will be responsible for employees requiring registration or licensure for the performance of their responsibilities, to ensure they comply with the Firm’s internal policy as well as all external requirements.
- As a member of Licensing** and Registration Processing (L&R) **team your responsibilities will include the collection, collation, and tracking of paperwork required for onboarding, maintenance of confidential records, and updating of multiple Compliance information systems as well as special assignments and ad hoc requests, as needed.
**Key Responsibilities**:
***Sourcing appropriate background documents for FINRA registration and/or insurance licensing from employees and managers
- Maintaining and tracking documentation
- Coordination with Insurance and Securities Regulators to process onboarding and amendments on a timely basis.
- Monitoring operational processing controls
- Ensuring regulatory requirements are met by the employee.
- Identifying and escalating potential disclosures to stakeholders in timely and accurate manner.
**Preferred Skills & Knowledge**:
- 0-2 yrs of work 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.
- They should possess strong written and oral communication skills.
- 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.
**ABOUT US**
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.
**ABOUT THE TEAM**
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.
Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, p
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