Location: New York,NY, USA
Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.As a member of the Swap Dealer Compliance team, you will support the firm and the Chief Compliance Officer by, among other things, providing day-to-day guidance to all stakeholders, continuing to build out and enhance the Swap Dealer and Security-Based Swap Dealer Compliance programs, and monitoring, overseeing and independently challenging the firm's execution of its regulatory responsibilities. You will work closely with stakeholders across the firm and its functions, including global and regional compliance teams, line of business aligned compliance officers, senior management, Legal, Operational Risk, Sales, Trading, Business Control Managers, Research, Operations, Business Management, Finance, Audit, and Human Resources.Job Responsibilities Responsible for the diligence and drafting of the Annual Compliance Reports. Recommend and implement changes to the Swap Dealer and Security-Based Swap Dealer Compliance programs. Analyzing and providing guidance on complex regulatory compliance and risk scenarios within lines of business and/or functions including but not limited to matters related to Capital, Margin and Transaction Reporting. Keep up to date and assess the impact of new Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), and Securities & Exchange Commission (SEC) rules and regulations to the firm's practices, protocols, policies, and procedures. Providing formal and informal training and education to make employees aware of their regulatory responsibilities. Serve as an escalation point for non-compliance issues and assisting with managing and tracking non-compliance issues. Assist in preparing information and responding to regulatory examinations, audits, investigations, inquiries, and data requests. Preparing governance materials and presentations for internal management and governance committees/forums, and actively participating in these committees/forums. Partner with central compliance groups in developing monitoring and testing activities for the programs, investigations, conduct related matters and periodic reviews. Working across all levels of the firm to understand cross-functional linkages and interdependencies, as well as the implication of compliance risk at both a strategic level and at each line of business. Create and revise Compliance policies, procedures, bulletins, and manuals. Coordinate with the Chief Compliance Officer and stakeholders on compiling and preparing the firm's swap dealer and security-based swap dealer annual compliance reports. Represent the firm in industry working groups dedicated to advocacy, interpretation, and implementation of new and proposed regulations.Required Qualifications, Capabilities, and Skills Bachelor's degree required and 10+ years of compliance and/or regulatory experience or equivalent, with a focus on CFTC and NFA swap dealer regulations. Knowledge of SEC security-based swap dealer regulations and/or broker-dealer regulations. Understanding of swap markets, swaps execution facilities, depositories, trading and operational systems, and financial services processes and protocols. Executive presence and judgment in communicating and supporting effective discussions and decision making and ability to work independently with minimal direction and as part of a team. Strong work ethic and highly motivated individual with outstanding record of professional achievement with excellent interpersonal, organizational, communication, analytical, and project management skills. Experience implementing regulatory change and delivery of compliance program enhancements. Work collaboratively in a global organization and foster good relations with the business, Compliance teams and support functions.Preferred Qualifications, Capabilities, and Skills Law, master's degree or accounting / capital background preferred but not required