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CIB - Broker Dealer - Legal Entity Control Regulatory Reporting Vice President

Req #: 180035108
Location: Brooklyn, NY, US
Job Category: Accounting/Finance/Audit/Risk
Job Description:

The Regulatory Reporting team, within CIB Controllers – North American Legal Entity Control Group, is responsible for the regulatory reporting and oversight of the firm’s key client-facing U.S. broker-dealer legal entities – J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Prime Inc. (JPMPM).

The team’s key ongoing deliverables include the ongoing monitoring and weekly/monthly calculation and reporting of regulatory capital and the customer protection requirements for JPMS and JPMPM.

The group interacts with many groups across the firm to accomplish these objectives- Product Controllers, Financial Controllers, Treasury, Risk management, Operations, Legal and Compliance, Internal Audit and the front office.   The Regulatory Reporting team also serves as the liaison for all regulatory examinations and inquires (FINRA, SEC, CME, NFA) and also is a primary contact for our external auditors, Price Waterhouse Coopers.

Position Description:

The candidate will have the responsibility prepare, review and manage various aspects of J.P. Morgan’s 15c3-3 calculation and become involved with the preparation of the 15c3-1 calculation along with any additional tasks that are necessary to complete the FOCUS filing. Also the candidate will at the same time will work on several projects, both internal to the firm and externally with regulators. Developing and maintaining extensive working relationships internally and with regulators will be essential. 


The candidate will need to demonstrate strong analytical and problem solving skills and be able to effectively leverage their network to deliver results.  The ideal candidate will be comfortable digging into the details and also be able to present them in the context of the ‘big picture’ to peers and senior management.  Early issue identification and appropriate escalation and response are important.

 7+ years of related experience

Ideally, the candidate would possess many of the following attributes:

  • Knowledge of SEC Rule 15c3-1 & 15c3-3
  • General understanding of US GAAP
  • General product knowledge
  • Excellent communication and relationship building skills
  • Well organized; ability to prioritize, multi-task and meet deadlines
  • Experience dealing with regulators (FINRA,SEC,CME,etc.)
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