This position sits within the Employee Compliance group within JPMC’s Global Compliance department, supporting all four lines of business (CCB, AM, CIB and CB) as well as the Corporate Functions in North America.
The Compliance Officer will be responsible for advisory securities registration functions of the registered broker-dealer and investment advisor. This individual will provide primary registration and compliance advisory support for various LOBs as assigned. Additionally the position will be responsible for reviewing onboarding and pre-clearance registration documentation, submitting deadline driven individual related regulatory form filings, reporting as well as updating policies and procedures and projects, as assigned.
Primary responsibilities include:
· Provide registration advisory support to Registration Operations, LOB Management and Registered Representatives on registration related issues and filings
· Review, interpretation and communication of FINRA regulatory rules and regulation as well as firm policies
· Identify and update registration procedures
· Timely preparation and maintenance of compliance, registration and risk reports, databases, memos and management reporting metrics
· Review, investigate and respond to regulatory requests
· Ensure that required regulatory filings are prepared and filed with FINRA and other regulators in a timely manner
· Assist the firm's Legal Department, as required, with the preparation of discovery documents
· Participate in registration related projects and programs
· Must have 1-3 years previous experience and/or knowledge of broker dealer or investment adviser registration, compliance or legal functions or other equivalent regulatory background
· Knowledge of WebCRD, and other registration filings including, Form U4, Form U5, Form, Form 8-R and 8-T, preferred
· Must be highly organized; highly detail oriented person who is comfortable working both independently and within a team environment
· Must be self-motivated, driven, proactive, personable and able to communicate effectively (written and oral) with senior management
· Must be able to manage multiple tasks and prioritize workflow with minimal supervision
· Advanced knowledge in Microsoft Word and Excel required
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