Program/Project Manager- Regulatory Reporting

Join us in discovering solutions hidden in large data sets and collaborating with stakeholders to enhance compliance and business outcomes. If you are passionate about leveraging data to drive regulatory reporting excellence, we encourage you to apply.

Job summary

As a Program/Project Manager- Regulatory Reporting in Consolidated Audit Trail team, you will oversee the daily supervision of the Consolidated Audit Trail for order lifecycle and allocation reporting, as well as the Customer Account Information System. You will utilize large data sets to review exceptions, identify potential risks, and evaluate existing compliance risks across all business functions and systems that contribute data to regulatory reporting data warehouses. You will be working with both structured and unstructured data.

Job responsibilities

• Supervise daily production reporting under rules (FINRA and SEC), utilizing data mining and various data tools.
• Respond to regulatory and legal inquiries with data-driven insights.
• Collaborate with a wide range of stakeholders and functional teams to reduce compliance risks and improve business outcomes.
• Develop and deliver sustainable regulatory reporting supervision, tools, and processes.
• Manage multiple tasks concurrently with minimal supervision.

Required qualifications, skills and capabilities

• Bachelor’s degree, or equivalent experience, in operations, computer science, or other quantitative discipline.
• 10+ years of related experience and license (Series 24 or Series 99).
• Experience with Consolidated Audit Trail or Customer Account Information System reporting and translating it into value-adding business projects leveraging technology with the latest regulatory requirements.
• Professional experience in equities trade support, compliance, or operations, supervision of regulatory reporting, building and leading teams.
• Proven track record of working with large complex data sets, drawing conclusions, and reporting findings.
• Thorough understanding of United States Equity and United States Over-the-Counter market structure, compliance, and regulatory reporting.

Preferred qualifications, skills and capabilities

• Experience with United States Broker-Dealer regulation, exams, and inquiries; equities compliance, or trade reporting.

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 acco