Corporate Compliance - Global Anti-Corruption - Compliance Associate Corporate Compliance - Global Anti-Corruption -  …

in New York, NY, United States
Permanent, Full time
Last application, 14 Jul 19
in New York, NY, United States
Permanent, Full time
Last application, 14 Jul 19
Corporate Compliance - Global Anti-Corruption - Compliance Associate
JPMorganChase & Co. (NYSE: JPM) is a leading global financial services firm withassets of $2.5 trillion and operations worldwide. The firm is a leader ininvestment banking, financial services for consumers and small business,commercial banking, financial transaction processing, and asset management.Information about JPMorgan Chase & Co. is available at .

J.P.Morgan's Compliance Department is seeking a highly motivated individual toserve as a Compliance Officer for its Global Anti-Corruption team, reportingthrough the Firm's Employee Compliance hierarchy. The position will involve addressing the riskof the Firm's interactions with government officials, including (1) providing giftsand entertainment to domestic and foreign government officials, (2) lobbyingreporting obligations for domestic government officials, and (3) employeepolitical contributions to domestic elected officials.

In thisrole, you will manage the data system used to administer controls specific tothe Firm's population that is covered by policies affecting politicalcontributions. You will also workclosely with the Firm's lines of businesses and functional groups on mattersrelated to government engagement risk. Inaddition, you will partner with other Compliance and Legal teams on assessingand measuring political and related risks, and training and monitoring ofprocesses. The successful candidate willpossess knowledge of regulatory requirements relating to "pay-to-play rules",corporate political contribution restrictions and general anti-corruptionmatters. Additionally, an interest inU.S. and non-U.S. politics and a familiarity with municipal securities ishelpful.


  • Manage the controls affecting the Firm's political contributionscovered population via the Firm's Political Contributions database.
  • Review and perform diligence on political contributionpre-clearance requests made by members of the Firm's restricted population andon political contributions made by potential new hires.
  • Assess the Firm's Political Contributions database and newinitiatives to identify compliance risks and potential enhancements, and toidentify potential opportunities for Compliance monitoring and testing.
  • Assist with general anti-corruption issues relating to U.S.federal/state/local government officials across the Firm's lines of business,including (1) review of gifts and entertainment pre-clearances for governmentofficials and (2) advising the business with respect to U.S. federal/state/locallobbying reporting obligations.
  • Assist in preparing government engagement-related policies,bulletins, training and other materials.
  • Collaborate to gather information for regulatory examinations,audits, investigations, inquiries, and other information requests.
  • Identify and escalate issues through appropriate escalationchannels, if needed, to help facilitate timely and effective resolution.
  • Support other Anti-Corruption and Employee Compliance programinitiatives as needed.

  • College degree required (BA/BS).
  • 2 years relevant experience in investment bank or broker-dealCompliance; or with a banking or broker-dealer regulator.
  • Familiarity with MSRB-Rule G-37, CFTC Rule 23.451, FINRA Rule 2030and SEC Rule 206(4)(5) ("the "pay-to-play" rules).
  • Familiarity with U.S. federal/state/local government ethics andlobbying rules and their corresponding reporting obligations.
  • Awareness of U.S. and non-U.S. politics and political figures.
  • Proficient in Word, PowerPoint and Excel.

Otherqualifications required:

  • Strong interpersonal and influencing skills with the ability toestablish credibility and strong partnerships with business, Compliance andLegal partners.
  • Past experience building and maintaining key relationships acrossdepartments and functions, and encouraging a culture of engagement.
  • Proven ability to communicate effectively at all levels bothverbally and in writing.
  • Proven ability to enhance or influence a control environment.
  • Experience in drafting policies and procedures (specificexperience drafting supervisory procedures and compliance policies beneficial).
  • Capable of operating comfortably within a complex organizationalstructure.
  • Excellent presentation and problem solving skills.
  • Demonstrated ability to analyze work flows and processes.
  • Work effectively both in a team environment and independently.
  • Manage complex tasks simultaneously in a deadline-intensiveenvironment.
  • Highly organized, detail-oriented, and energetic individual.