Regulatory Strategy supervises the end-to-end relationships between the firm and its global regulators. The group is the primary point of contact for U.S. supervisor agencies; oversees management of all Compliance examinations, such as continuous monitoring; and has responsibility for overseeing compliance-related matters for JPMC Bank NA (JPMCB) and Chase USA, NA (CUSA) legal entities, including the periodic compliance risk appetite analysis. Other key priorities include:
· Establish and maintain a well-understood and consistent framework for firmwide regulatory engagement;
· Oversee the execution model for regulatory engagements in order to manage relationships with the firm’s regulators globally;
· Provide the board of directors and senior management with timely reports and analysis on regulatory engagements, outstanding issues, and emerging trends;
· Manage the examinations of the firm’s Compliance function, including regulatory reviews of Global Financial Crimes Compliance (GFCC), and other cross line of business and functional areas;
· Effectively work with the line of businesses and corporate functions globally to achieve timely and sustainable resolution of regulatory issues;
· Support the lines of business and corporate functions on all regulatory matters and communications;
· Prepare the Compliance Risk Assessments and annual compliance plans for JPMC and CUSA; and
· Conduct the quarterly compliance risk appetite analysis and report on the results.
RS is seeking to add an Associate/Analyst to its core team to assist the department with a variety of regulatory deliverables. This dynamic position provides opportunities for working across the firm, including but not limited to working with LOBs/Functions, Oversight & Control, Compliance, Risk, Technology, Finance and Audit. Candidate will develop expertise on the firm’s regulatory agenda as well as a big picture understanding of how governance is rolled out and managed at a firmwide level.
· Serve as a data subject matter expert within the team
· Assist and drive innovation projects to enhance reporting capabilities. This includes automating and streamlining existing reporting which draws from multiple source systems (FORCE, ROSE) and manual trackers
· Build out and maintain a new regulatory management metrics dashboard (exploring platforms such as Qlikview)
· Assist with projects to transition off manual trackers and platform data into source systems through data migration and proposing enhanced functionality
· Support end-to-end reporting needs with a wide variety of internal reporting on regulatory engagement
· Identify trends/themes and significant matters for highlighting/escalation
· Assist with maintenance of various trackers regarding the team’s end-to-end work flow
· Identify and articulate control risks and work to optimize end-to-end processes
· Assist with other team deliverables
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