Associate - Employee Conduct

**JOB DESCRIPTION** The Role**

The L&R team is looking for a Associate who is prepared to work in a challenging yet rewarding environment. The individual will manage a local team responsible for 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 activities of the Team include:

- 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

**Responsibilities**:

- Oversight and management of the day-to-day operations of a team of 20+ Analysts
- Proactively manage operational risks by recognizing gaps in technology and processes, developing solutions, and escalating issues to senior management
- Play an active role in the build-out of the strategic platform that will be used to manage L&R data and workflows
- Quickly understand internal control policies and regulatory requirements as they relate to the business and function
- Build effective relationships with and influence senior stakeholders across the firm
- Lead, manage, and develop team members in order to adapt to changing priorities and maintain best-in-class quality

**Qualifications**:

- Ability to proactively identify key risks and issues, make sound decisions (including escalation when appropriate), and act and follow through on them; quality focused work ethic and strong controls mind-set
- Thrive in an evolving and fast paced environment, both independently and as part of a team
- Able to demonstrate strong verbal and written communication skills, including conflict resolution
- Ability to work effectively with key internal stakeholders to ensure all requirements are achieved
- Excellent research and analytical skills with experience in identifying trends/behaviours
- Ability to lead a team and foster a collaborative and objective-driven environment
- Proactively manage and drive own career, identifying personal training needs for development for self and others
- Proficiency with Microsoft Office (Excel, Word, PowerPoint)

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**Preferred Skills & Knowledge**:

- Licensing and Registrations background is preferred.
- Working knowledge of compliance policy matters and the monitoring of employees
- Understanding of investment products and the financial industry

**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.