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Consumer Bank Sales Management & Distribution Compliance Monitoring / Data Analytics - VP

Columbus, OH, USA | J.P. Morgan

  • Industry:
    Financial Services
  • Position Type:
    Full-Time
  • Functions:
    Financial Services Professional
    Legal / Compliance
  • Experience:
    5-7 years
Job Description:
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 Responsible for assisting with the development and execution of the Consumer Bank Sales Management & Distribution Compliance Monitoring Program;

· Track and assist line of business management with issue resolution resulting from Compliance Monitoring;

· Evaluate effectiveness of available metrics and enhance or design new metrics to identify trends and potential areas of concern;

· Monitor and analyze regulatory initiatives affecting the business;

· As part of the monitoring process, identify Compliance risk and control gaps, and communicate findings to management. Propose updates to guidelines and procedures as necessary;

· Attend meetings with line of business management and representatives, as appropriate; and,

· From time to time engage in projects as required.

5 years of consumer banking and/or wealth management compliance experience

3-5 years SQL programming experience, including experience identifying patterns in large (1m rows+) sets of data

Advanced Excel knowledge, including use of complex formulas (Ifs, INDEX, MATCH, Pivot Tables, COUNTIF, SUMIF, VLOOKUP, nested functions)

Familiarity with statistical process control, regression analysis, probability and statistical sampling (Minitab/R experience a plus)

Experience with Enterprise Data Warehouse production environment preferred

Visual Basic experience preferred

Enthusiastic, self-motivated, effective under pressure and willing to take personal responsibility/accountability  

Proven ability to oversee several tasks concurrently in an efficient and effective manner with a track record in creative and successful problem-solving

Flexible and adaptable to dynamically changing work processes and environment

Detail/quality oriented

Ability to communicate effectively, both orally and in writing, with all levels within the organization


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