Compliance Quality Assurance

**JOB DESCRIPTION**
Be a part of the Compliance Quality Assurance team and contribute to building a robust controls environment

**Job Summary**:
The Quality Assurance (“QA”) Team is an integral part of the controls environment within Compliance and is responsible for conducting a continuous testing program against internal procedures and regulatory requirements to ensure quality, completeness, and accuracy. As a Quality Assurance Tester (QA), you will perform targeted reviews; present findings and recommendations to key stakeholders. You will be expected to determine gaps in process and procedure; question integrity of data and adherence to processing and servicing standards, policies and procedures. You will also be accountable for analyzing issues, improving business processes and providing recommendations that value adds to the organization.

**Job responsibilities**:

- Perform independent analysis on decisions made by Compliance Teams covering specializations including AML Transaction Monitoring, Sanctions, Surveillance, Regulatory Reporting
- Review quality and compliance of completed work items and make decisions based on standards, policies and procedures
- Identify key issues, cause and effect relationships, and gaps in the process that impact quality, accuracy, and/or compliance. Present results to management.
- Consider regulatory requirements and departmental resources to identify alternatives that are practical and appropriate, in addition to effectiveness
- Identify opportunities for improvement and drive the implementation of initiatives and process changes with a focus on innovation
- Collaborate effectively with regional and global Quality assurance teams to complete ad hoc projects and initiatives
- Escalate control issues to management and provide recommendations
- Interface with internal Audit as appropriate

**Required qualifications, capabilities, and skills**:

- Bachelor’s degree in Finance, Economics or other related disciplines
- 3 years of relevant experience in the Banking industry within quality assurance, or experience across AML Transaction Monitoring, Sanctions, Surveillance, Regulatory Reporting
- Ability to make independent and objective assessment on testing reviews performed, and clearly articulate findings and/or recommendations to stakeholders
- Ability to multi-task and meet deadlines in high-pressure environment while maintaining quality work
- Exceptional research and analytical skills with the ability to analyze and summarize large amounts of data
- Excellent organization, written and oral communication skills
- Intermediate Excel skills required for data analysis (e.g. Use of pivot tables and v-lookups) for metrics reporting
- Experience in defining/documenting new processes ensuring appropriate Controls framework
- Proactive/self-starter with the ability to deliver value-added support to business partners in a dependable, timely and accurate manner
- Excellent analytical and problem-solving skills
- Excellent interpersonal skills & team player

**ABOUT US**

J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.

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 accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

**ABOUT THE TEAM**

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.