J.P. Morgan Wealth Management- Business Analyst, Regulatory and Policy Management

Regulatory and Policy Management Business Analyst I is part of the JPM Wealth Management Regulatory and Policy Management team in Columbus, OH, and is aligned to the JPM Wealth Management Business Administration & Operational Excellence organization. 

As part of the Consumer Bank, J.P. Morgan Wealth Management is committed to serving clients across all of their financial needs, with offerings ranging from self-directed and automated investing to full-service advisor relationships. The combined business has ~$400 billion in assets under management and ~4,000 advisors who work out of 3,500 branches and 21 offices. 

We're fostering and promoting diverse talent at every level to ensure you feel represented here, no matter who you are or where you come from.  As a business, we believe that fostering growth and mobility internally empowers us to deliver the exceptional service, custom solutions, and out-of-the-box thinking we're known for as a global leader.

As the Business Analyst Regulatory and Policy Management, you will be responsible for executing deliverables with an exceptional degree of accuracy and presenting to/facilitating conversations with partners at all levels. Your responsibilities will include, but are not limited to:

Job Responsibilities:

• Partner closely with Legal to review Court Order and Levy (COAL) restrictions 
• Serve as a Subject Matter Expert “SME” resource for peers, managers & internal business partners for COAL related matters 
• Act as an owner of the end-to-end COAL restriction process, owning research and other tasks from start to finish
• Identify, escalate, and drive solutions for issues, risks, and decisions with business partners
• Understand applicable legal obligations and documentation use to comply
• Facilitate cross functional working groups to drive decisions needed to confirm appropriate steps are taken 
• Participate in regulatory exams, audits, and Controls tests
• Demonstrate superior judgement to identify and mitigate risk impacts
• Foster and maintain strong working relationships
• Guide and influence partners of all levels toward strategic decision making
• Process development, enhancement, and implementation

 

Required qualifications, capabilities, and skills:

• FINRA Series 7 and 63 (or equivalent) required, in addition to meeting FINRA continuing education requirements
• Strong compliance record prior to position(s) and ability to hold a registration in all 50 states
• Strong business and investment acumen; knowledge of Investment Products, Individual Retirement Accounts (IRAs) etc.
• Ability to understand, investigate, and solve complex problems
• Strong organization, time management, priority management and multi-tasking skills
• Ability to understand internal policies and regulatory requirements
• Comfortable working independently as well as part of a team to meet deadlines
• Ability to maintain strong documentation for internal and external reporting purposes
• Outstanding written and verbal communication and presentation skills
• Ability to forge relationships and build a network throughout the firm
• Extremely organized and detail oriented, demonstrating working knowledge of Windows, Microsoft Office software (Word, Excel, PowerPoint, Outlook, etc.)

Preferred qualifications, capabilities, and skills

• Series 24 preferred
• At least five to ten years of financial services or brokerage experience (regulatory and/or wealth management preferred)
• Bachelor’s degree preferred

 

Chase is a leading financial services firm, helping nearly half of America’s households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, discretionary incentive compensation which may be 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-