Employee Compliance

**JOB DESCRIPTION** Job Title - Compliance - Personal Account Dealing Processing**-** Assistant**

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**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'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.

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**Our Team
- Personal Account Dealing**

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Responsible for overseeing employee’s personal trading activities are in adherence with regulations in the Firm’s respective regions of operation. Specifically, we are responsible for the on-boarding of employee Personal Trading Account(s) data, as well as monitoring their compliance to the firm’s Personal Trading Policies.

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**Opportunity**

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The PAD operational model spans across all lines of business, compliance and technology and is a cross product group. As a member of the team, you will be tasked with ensuring employees have correctly attested to the PAD policy, declared personal trading accounts, and performing the ongoing surveillance of those trading accounts.

**Key Responsibilities**:
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- They should possess strong written and oral communication skills.
- Ensure the timely reconciliation of employee’s personal trades (including reporting of breaches, reconciliation of statements and employee records)
- Managing more complex trading activity and employee escalation
- Dealing with employees across all regions as it relates to specific queries on the PAD Policy
- Ensuring key throughput and quality targets are met.
- Conducting analysis as required as it relates to the surveillance activity performed by PAD.
- Analysis of Operational Metrics / Key Performance Indicators

**Requirements**:
**Essential skills**:

- 0-3 years’ 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, product lines, policies, training, operational processes, risk mitigation and control.