Trade Lifecycle Lead Legal Entity Oversight & Control
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Job Location:
Jersey, NJ - USA
Monthly Salary:
$ 107350 - 171000
Posted on:
18 hours ago
Vacancies:
1 Vacancy
Department:
Job Summary
Step into a high-impact leadership role as a Trade Lifecycle Lead at JPMorgan Securities LLC where youll be at the forefront of our U.S. Broker-Dealer this pivotal position youll oversee the daily functions that support compliance settlements and regulatory reporting ensuring strict adherence to SEC FINRA and other regulatory requirements. Your expertise will be essential in driving operational efficiency managing risk and leading strategic initiatives that strengthen our compliance culture. Youll collaborate with cross-functional teams manage complex regulatory filings and ensure all reporting is accurate and timelymaking you a key player in our firms continued success.
As the Trade Lifecycle Lead within JPMorgan Securities LLC youll leverage your deep understanding of regulatory rules to identify areas of risk and develop innovative solutions that keep us ahead of industry changes. Youll lead change management initiatives manage critical projects and influence strategic decisions within your area of responsibility. This is your opportunity to make a significant impact shape the future of broker-dealer operations and grow your career with a global leader. If you thrive in a fast-paced high-stakes environment and are passionate about operational excellence and compliance we invite you to join us and drive the next chapter of success at JPMorgan Securities LLC.
Job responsibilities
- Ensure accurate and timely preparation and submission of all required regulatory reports such as Extensions of Time.
- Develop implement and maintain the firms Written Supervisory Procedures (WSPs) and Standard Operating Procedures (SOPs) ensuring they align with the day to day processes.
- Collaborate with other lines of business including legal compliance technology and settlements operations to ensure the firm is in compliance with all regulations.
- Identify potential compliance and operational risks through a deep-dive analysis of existing report infrastructure documenting the end to end process to be ready for audits and examinations.
- Lead various forums presenting metrics and other project initiatives to senior leadership within the firm to keep them abreast of any areas of concern.
- Bachelors degree in Finance Accounting Business or related field is required.
- Minimum of 5 years of experience in broker-dealers operations or compliance; with evidence of extensive knowledge of U.S. securities laws rules and regulations including SEC and FINRA requirements.
- Advanced skills in project management with a track record of leading complex projects and driving change management initiatives.
- Exceptional time management skills and attention to detail with strong analytical and problem solving abilities.
- Excellent verbal and written communication skills with the ability to translate technical subject matter to various audiences.
- Strong ability to influence strategic decisions with a focus on improving operational efficiency and mitigating risks.
- FINRA Securities Industry Essentials & Series 99 required or commitment to be obtained within 120 days of hire.
Key Skills
- Administrative Skills
- Facilities Management
- Biotechnology
- Creative Production
- Design And Estimation
- Architecture
About Company
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 ov ... View more
