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Corporate Oversight & Control - Supervisory Regulatory Strategy - Compliance Associate

Req #: 180018856
Location: New York, NY, US
Job Category: Accounting/Finance/Audit/Risk
Job Description:

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

  • Bachelor's degree
  • Proficient with programming languages such as Excel Macros, VBA and SQL. QlikView experience a plus
  • Proficiency in Microsoft Word, Excel and PowerPoint
  • Proficiency managing and analyzing data sets
  • Excellent interpersonal skills
  • Detail oriented
  • Able to work well under pressure and within tight deadlines
  • Proactive, can-do approach
  • Accountable with a strong sense of urgency and work ethic
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