Compliance - Control Room Senior Officer - Associate
About this role
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 Control Room Senior Associate working within the Compliance, Conduct and Operational Risk organization in the San Francisco office, you will join a global team responsible for maintaining the Firm’s information barriers by monitoring and controlling information flows between private- and public-side businesses. You will track global banking projects throughout the transaction lifecycle to ensure appropriate monitoring, apply restrictions in a timely manner, and advise business units on the applicability of restrictions in line with internal policies and procedures.
Job Responsibilities
- Partner with Banking, Sales & Trading, and Asset Management to maintain the Firm’s Watch and Restricted lists.
- Review Research publications for compliance with legal and regulatory requirements.
- Chaperone covered communications between Equity Research and Global Banking to support Research independence and adherence to internal policies.
- Advise front-office teams on permissible interactions with research analysts, including pre-clearing and chaperoning communications as needed.
- Provide guidance on the Firm’s restricted list policy, research restrictions during advisory mandates, and other Control Room policies.
- Deliver training to business areas on Control Room policies and procedures.
Required qualifications, capabilities and skills
- 2+ years of Control Room or related experience.
- Thrives in a fast-paced, high-pressure, team-oriented environment.
- Strong analytical and problem-solving skills, including gathering, synthesizing, and assessing information.
- Ability to build credibility and partner effectively with senior leaders, control functions, and global stakeholders.
- Flexible and collaborative working style across all levels.
- Detail-oriented with strong multitasking, organization, and prioritization skills.
- Excellent written and verbal communication skills.
- Bachelor’s degree required
Preferred qualifications, capabilities and skills
- MBA and/or professional certification preferred.
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
Company at a glance
With a history tracing its roots to 1799 in New York City, JPMorganChase is one of the world's oldest, largest, and best-known financial institutions—carrying forth the innovative spirit of our heritage firms in global operations across 100 markets.
We serve millions of customers and many of the world’s most prominent corporate, institutional, and government clients daily, managing assets and investments, offering business advice and strategies, and providing innovative banking solutions and services.
Social Media Terms and Conditions: https://bit.ly/JPMCSocialTerms
JPMorgan Chase & Co. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Top Benefits
- Health care coverage
- On-site health and wellness centers
- Retirement savings plan
- Backup childcare
- Tuition reimbursement
- Mental health support
- Financial coaching
Tired of cold applications?
Sign up with Clera and we'll reach out the moment a role actually fits you — no more spraying applications into the void.
Know someone who'd be great for this?