Description

Job summary:

As part of the Compliance team, you will be responsible for the end-to-end management of the Personal Account Dealing process across all lines of business and regions. This includes leading a team of professionals, setting strategic direction, optimizing processes, and ensuring robust controls. The role requires strong people management skills, the ability to influence stakeholders, and a focus on delivering high-quality outcomes. You will collaborate with global partners, support regulatory and audit reviews, and champion a culture of Compliance, integrity, and inclusion.

Job responsibilities:

• Lead and manage the Personal Account Dealing team, ensuring effective execution of personal account dealing reviews, surveillance, and compliance monitoring in line with firm and regulatory standards.
• Develop and execute the annual Personal Account Dealing testing and surveillance plan, identifying control gaps, escalating issues, and driving timely resolution.
• Assess and communicate emerging risks, trends, and issues to leadership, providing clear recommendations and supporting root cause analysis.
• Collaborate with cross-functional partners-including Legal, Audit, and Compliance-to align on priorities, share insights, and support regulatory and audit reviews.
• Analyze data from multiple sources to identify patterns, support findings, and enhance the effectiveness of Personal Account Dealing controls and processes.
• Drive process improvements and automation initiatives, seeking opportunities to simplify, standardize, and strengthen Personal Account Dealing activities.
• Provide regular updates and actionable insights to senior management and stakeholders, ensuring transparency and accountability.
• Foster a culture of Compliance, operational excellence, and continuous improvement within the team.

Required qualifications, capabilities, and skills:

• Bachelor's degree or higher with a minimum of 8-10 years' experience in Compliance, Risk, Operations, Audit, or related areas within the financial services industry, including at least 2 years in a people management or team leadership role.
• Demonstrated experience in managing, coaching, and developing teams, with a focus on performance, engagement, and fostering an inclusive culture.
• Strong knowledge of financial markets, products, and compliance requirements related to employee personal trading and operational risk.
• Ability to prioritize work, meet deadlines, and achieve goals under pressure in a dynamic and complex environment.
• Excellent analytical, problem-solving, and decision-making skills, with the ability to identify and address risks, control gaps, and process inefficiencies.
• Strong relationship-building skills to influence, negotiate, and collaborate with colleagues, senior management, and stakeholders across functions and geographies.
• Excellent interpersonal and verbal/written communication skills, with the ability to present complex information clearly and effectively.
• Ability to perform end-to-end reviews of processes, assess risks, understand applicability of regulations and policies, and identify gaps in the operating environment.
• Strong organizational skills, attention to detail, and ability to manage multiple priorities simultaneously in a fast-paced setting.
• Ability to innovate, challenge the status quo, and identify opportunities for automation and process re-engineering.

Preferred qualifications, capabilities, and skills:

• Proven experience in leading process automation, robotics, or digital transformation projects within compliance or risk management, resulting in measurable improvements to operational efficiency and control.
• Prior involvement in regulatory examinations, internal audits, or remediation initiatives, with a demonstrated ability to support documentation, respond to findings, and implement corrective actions.
• Successful track record of managing geographically dispersed teams or cross-regional compliance programs, including coordination across multiple time zones and cultures.
• Familiarity with emerging technologies, industry trends, and best practices relevant to compliance surveillance, operational risk, and personal account dealing, with the ability to assess and adopt innovative solutions.

About Us

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

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.

About the Team

\n Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we're setting our businesses, clients, customers and employees up for success.\n
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\n Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm's needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.\n