Join a high-visibility Regulatory and Business Conduct Programs team role that protects Commercial Banking by owning Financial Industry Regulatory Authority (FINRA) licensing/registration controls, control monitoring, and critical reporting. Partner across Operations, Risk, Compliance, and Technology to deliver data-driven insights and process enhancements that strengthen the control environment and elevate operational efficiency.
As a Business Operations Associate in the Regulatory and Business Conduct Programs team, you will ensure effective controls for FINRA licensing and registration of Commercial Banking Coverage employees, Control monitoring initiatives and critical reporting within a Commercial Bank. You will collaborate with diverse teams to enhance the monitoring control environment and improve operational efficiency. This role offers high visibility and the opportunity to influence enhancements that strengthen the control monitoring environment.
Job Responsibilities
- Analyze critical FINRA data, control metrics, perform detailed risk, and control monitoring assessments.
- Partner with groups outside of Business Control (i.e., Operations, Risk, Compliance, and Technology) to influence enhancements that strengthen the control environment and improve operational efficiency.
- Prepare analysis and slides for presentations to support Commercial Bank senior management’s FINRA milestones.
- Stay current with evolving industry and regulatory changes and analyze their impact on FINRA processes and compliance.
- Coordinate Audit deliverables with firmwide and cross-functional partners.
- Leverage tools such as Tableau and Alteryx to perform data analysis on FINRA.
- Update procedures frequently to ensure detailed documentation of the business changes and eliminate duplication of efforts.
- Serve along your manager to coordinate internal audit, facilitating communication and collaboration to ensure alignment and compliance with requirements.
Required Qualifications, Capabilities, and Skills
- Seasoned in Controls and/or FINRA Licensing.
- Comprehensive understanding of the CB business and its regulatory environment.
- Experienced and highly skilled in presenting to senior leaders.
- Advanced proficiency in Microsoft Office tools (Excel, Pivot Tables, VBA, PowerPoint).
- Proficient with data profiling and data analysis/visualization toolsets (e.g., Alteryx, databases, query languages) and Tableau dashboard creation.
- Knowledgeable in regulatory/FINRA concepts and reporting, including control monitoring.
Preferred Qualifications, Capabilities, and Skills
- Experience with Commercial Coverage Banking within the Commercial &Investment Bank; operational and/or control management experience in other areas may be considered, though the role focuses on Commercial Coverage Banking businesses.
- Demonstrated leadership to win initiatives and projects end-to-end, develop execution plans, and follow through to completion.
- Adaptable in respectfully challenging the status quo, raising issues timely, and working under pressure to meet changing requirements and strict deadlines.
- Capable of understanding the big picture while maintaining a detailed focus on requirements
- Effective at building relationships across functions teams with excellent verbal/written communication and the ability to present complex and sensitive issues concisely and persuasively to management.
- Proven in identifying and solving control issues that may impact FINRA licensing and controls.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans
Global Investment Banking supports a broad range of corporations, institutions and governments by providing strategic advice, capital raising and risk management expertise.
Skills Required
- Experience with controls and/or FINRA licensing
- Comprehensive understanding of the Commercial Banking business and its regulatory environment
- Experience presenting to senior leaders
- Advanced proficiency with Microsoft Office, including Excel, Pivot Tables, VBA, and PowerPoint
- Proficiency with data profiling, data analysis and visualization tools, databases, query languages, Alteryx, and Tableau dashboard creation
- Knowledge of regulatory and FINRA concepts, reporting, and control monitoring
- Experience with Commercial Coverage Banking within the Commercial and Investment Bank
- Operational and/or control management experience in other areas
- Leadership experience driving initiatives and projects from planning through completion
- Ability to challenge the status quo, raise issues, and work under pressure with changing requirements and strict deadlines
- Ability to understand the big picture while maintaining detailed focus on requirements
- Strong relationship-building, verbal and written communication, and presentation skills
- Experience identifying and resolving control issues affecting FINRA licensing and controls
JPMorganChase Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about JPMorganChase and has not been reviewed or approved by JPMorganChase.
-
Healthcare Strength — Medical, dental, vision, and mental-health coverage are broad, with wellness incentives, on-site or virtual care, and an EAP offering coaching and counseling. Plan materials emphasize accessible options, including multiple medical choices and tools to manage costs.
-
Parental & Family Support — Paid parental leave extends up to 16 weeks for all parents, supplemented by paid Critical Caregiver Leave. Family resources include backup childcare via Bright Horizons, lactation support and milk-shipping, family-building assistance, and even a free five-month SNOO rental for newborns.
-
Retirement Support — Retirement programs include a 401(k) with an annual company match and automatic pay credits for most employees, with a legacy pension available to earlier hires. An Employee Stock Purchase Plan at a 5% discount further supports long-term savings.
JPMorganChase Insights
What We Do
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $3.7 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small businesses, 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. Technology fuels every aspect of our company and is at the heart of everything we do. With over 50,000 technologists globally and an annual tech spend of $12 billion, we are dedicated to improving the design, analytics, development, coding, testing and application programming that goes into creating high quality software and new products. Learn more about technology at our firm, explore resources from our Distinguished Engineers, AI & ML researchers, and other experts; access the latest episode of our TechTrends podcast, and more at www.jpmorgan.com/technology. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com. ©2023 JPMorgan Chase & Co. All rights reserved. JPMorgan Chase is an Equal Opportunity Employer, including Disability/Veterans.
Why Work With Us
Our technologists work on a diverse range of solutions that include strategic technology initiatives, big data, mobile, electronic payments, machine learning, cybersecurity, enterprise cloud development, and other state-of-the-art technologies.
Gallery
