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Global Compliance Practices - Monitoring & Testing Compliance - Associate

Req #: 170089292
Location: New York, NY, US
Job Category: Compliance
Job Description:
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with 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
The Compliance function plays a critical role in the successful execution of the Firm’s Second Line of Defense responsibilities.  The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining a Compliance Program that identifies, measures and monitors compliance with applicable laws, rules and regulations that govern the Firm globally.  Compliance teams work closely with the 1st Line of Defense, Legal, Risk, and Audit functions to provide expertise on regulatory compliance matters, assess and measure compliance  risks, and monitor and test the adequacy of the firm's compliance control environment.
Global Compliance Practices is a Compliance function responsible for the design and governance of common standards and practices to be used across the global Compliance organization.  Such practices are the key components of the firm’s Global Compliance Program, and include Governance & Oversight, Regulatory Management, Policies, Training & Awareness, Monitoring and Testing, Issue Management, and Risk Assessment and Reporting.  This team, in partnership with Chief Compliance Officers, drives the design and continuous enhancement of the Global Compliance Program and related practices and framework. 
Key Responsibilities:
  • Assist with the administration of Monitoring and Testing system, as well as the design and testing of system enhancements and strategic tool design
  • Work with appropriate parties to understand business requirements and priorities, and liaise with Technology.
  • Develop test scripts corresponding to business expectations for UAT testing
  • Lead UAT testing and ensure that the proper test scripts have been completed.
  • Review functional specification documents created by Technology
  • Manage access for the Monitoring & Testing system
  • Participate in Monitoring and Testing Program strategic initiatives, as directed
  • Participate as directed in the Annual Monitoring & Testing Plan development and administration
  • B.A. required
  • Minimum 3-7 years experience in Compliance Testing, Audit, Operational Risk or equivalent experience within financial services industry
  • Attention to detail, strong analytical and communication skills (verbal, written and PowerPoint). 
  • Experience developing detailed, technical documentation (e.g., business requirements, process flows and test scripts)
  • Experience in leading UAT testing to ensure business requirements are operating as expected
  • Ability to be flexible, follow tight deadlines, organize and prioritize work.
  • Proficiency in using Microsoft PowerPoint and Advanced Excel skillset required
  • Interpersonal skills – ability to interact with colleagues at all levels in a peer-like way
  • A team player with an ability to help the team on tasks as needed
  • Past experience building and maintaining key relationships across departments and functions, and establishing a culture of engagement
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