Corporate Compliance - Control Room Officer - VP


: $157,815.00 - $157,815.00 /year *

Employment Type

: Full-Time


: Executive Management

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JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at

A core member of the America's Control Room, for the Jersey City Control Room forms part of the Global Control Room and has prime responsibility for maintaining and oversight of the firm's Information Barriers and Global Watch and Restricted Lists.

Key Duties & Responsibilities:
Maintaining and monitoring the firm's information barriers by updating the firm's Watch and Restricted List.
  • Making determinations on the imposition of restrictions on the firm's Research and Trading activities. Interfacing with the first, second and third lines as applicable.
  • Review of research products produced by the Global Research Team against the Watch and Restricted List for potential issues with applicable laws and firm policies regarding the publication and dissemination of Research.
  • Providing advice and guidance to front office businesses (sales, trading, banking, capital markets) in respect of permissible interaction with research analysts and on implications of firm's Restricted List Policy and other Control Room related activities.
  • Applying the Research Settlement rules to monitor, pre-approve and facilitate communications between Equity Research and Investment Banking personnel. Chaperoning communications (e-mail, telephone and in-person meetings) as necessary to ensure compliance with the requirements of the Global Research Settlement and firm policies.
  • Drafting and updating firm policies and procedures.
  • Proactively working with the regional Control Room teams to create a cohesive global Control Room team operating and applying consistent policies and procedures and IT infrastructure.

      • Minimum of 5 years Control Room experience or related experience in an investment bank.
      • Bachelor's Degree preferred.
      • JD/MBA a plus.
      • Securities licenses (e.g., Series 7) a plus.
      • Extensive experience / knowledge of securities laws and regulation and internal control requirements.
      • Strong understanding of equity and fixed income products.
      • Ability to identify real issues and know when to escalate them.
      • Ability to work under very short deadlines and make quick and reasoned decisions.
      • Excellent interpersonal skills, solution driven, confident, highly motivated and organized and detail orientated.
      • Excellent writing skills.
      • Team player but able to operate independently.

    Associated topics: bank, banking, budget, cfa, cpa, financial, financial controller, financial services, invest, kpmg * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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