Description

Join a high-impact Compliance team safeguarding our firm's integrity. You'll lead investigations, issue violations, and elevate our control environment across lines of business. Partner with global stakeholders, shape strategic initiatives, and strengthen our regulatory posture. If you thrive in fast-paced, results-driven environments and uphold the highest standards of confidentiality, this role is for you.

As a Personal Account Dealing Investigations and Violations Compliance Officer in Personal Account Dealing Compliance, you will lead end-to-end investigations and enforce the firm's violation framework to ensure consistent, well-documented outcomes. You'll conduct quality reviews, resolve employee inquiries with precision, and collaborate across LOBs, Global/Regional Compliance, Internal Audit, Operational Risk, and other Control functions. This role offers the opportunity to drive strategic initiatives, enhance processes, and influence corrective actions that strengthen our global compliance mandate.

Job Responsibilities:

• Investigate potential personal account dealing breaches and issue violations per the firm's violation framework.
• Perform quality assurance reviews of closed cases to ensure complete, accurate documentation aligned to procedural guidelines.
• Respond to employee inquiries with professionalism, clarity, and a high degree of accuracy.
• Identify control gaps and emerging concerns, determine root causes, and ensure stakeholders implement timely corrective actions.
• Collaborate with colleagues across LOBs and control partners; actively contribute to working groups and forums.
• Execute key strategic Compliance initiatives supporting the firm's global compliance mandate.
• Provide business analysis and process improvement support to optimize case management and reporting.
• Maintain strict confidentiality and exercise sound judgment in handling sensitive information.
• Leverage computer-based systems and tools to manage cases, track metrics, and produce management reporting.
• Create and refine process maps and workflows to improve consistency and operational efficiency.
• Promote a culture of compliance, risk awareness, and continuous improvement.

Required Qualifications, Capabilities, and Skills:

• Bachelor's degree and/or 1+ years of equivalent work experience in financial services.
• Demonstrated ability to identify key issues, gather facts, and perform structured analysis to drive decisions.
• Strong oral and written communication skills with attention to detail and clarity.
• Intermediate proficiency in Microsoft Excel (pivot tables, macros, data analytics).
• Proficiency with PowerPoint, Visio (process mapping), and Outlook.
• Experience handling numerous confidential and sensitive reviews in a fast-paced, deadline-driven environment.
• Strong analytical and problem-solving skills with the ability to make sound, autonomous recommendations and decisions.
• Flexible, adaptable work style; able to collaborate effectively with stakeholders at all levels.
• Proven ability to manage changing priorities and perform well under pressure.
• Quick learner, team player, results-oriented, self-motivated, with flexibility in work hours.
• Proactive, logical thinker who appropriately challenges the status quo and drives continuous improvement.

Preferred Qualifications, Capabilities, and Skills:

• Strong securities background.
• Experience partnering with Global/Regional Compliance, Internal Audit, Operational Risk, and Control functions.
• Advanced Excel capabilities beyond intermediate (e.g., enhanced automation/macros, analytics).
• Demonstrated experience conducting quality assurance/quality control reviews of case files.
• Expertise in Visio process mapping and process optimization.
• Familiarity with personal account dealing policies, surveillance, and case management workflows.
• Experience contributing to or leading cross-functional working groups and strategic initiatives.

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 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

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