JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com
The Quality Assurance (QA) Team is an integral part of Compliance and is responsible for conducting a continuous analysis against internal procedures and regulatory requirements to ensure quality, completeness, and accuracy. The Quality Assurance team supports the review of activities performed by functions that support the firm’s Compliance Program. The Employee compliance & Regulatory Reporting Quality Testing Team focuses on Disclosure of Interest, Personal Account Dealing, and Licensing & Registration Operations.
The Disclosure of Interest (DOI) compliance function monitors and discloses the firm’s interest in relevant securities to issuers, regulators and/or relevant markets, pursuant to the various laws and regulations across most global jurisdictions in which the Firm operates.
The Personal Account Dealing (PAD) group monitors employee compliance with the firm’s policies related to personal trading activity. The team’s goal is to identify improper trade activity in an effort to not only ensure employee compliance with the policy but also to safeguard the firm form any improprieties.
The Licensing & Registration (L&R) compliance functions is responsible for ensuring that employees requiring registration for the performance of their responsibilities comply with the firm’s internal policy as well as all external requirements for obtaining and maintaining a license.
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