Employee Conduct Specialist

Job Title - Compliance - Licensing and Registration Processing L R - AssistantCompliance Mission StatementThe Compliance Processing 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 re 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 support 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 Co-ordinate the submission of firm related registration applications to various regulators and Insurance licensing agencies 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 The candidate must be a quick learner who is able to work in a fast-paced results-driven environment independently as part of a team In addition successful candidates should have the ability to use a wide range of computer-based systems to exercise sound judgment and observe the highest degree of confidentiality in the handling of information received in connection with their responsibilities 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 We also make reasonable accommodations for applicants and employees religious practices and beliefs as well as mental health or physical disability needs Visit our for more information about requesting an accommodation 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 product lines policies training operational processes risk mitigation and control