Compliance - Quality Analyst, AML

The Quality Assurance (QA) team is an integral part of the Controls environment within Compliance and is responsible for conducting a continuous analysis against internal procedures and regulatory requirements to ensure quality, completeness and accuracy. The QA team supports the review of activities performed by several Compliance teams that support s the firm s Global AML prevention program with the primary focus on review and analysis of AML alerts reviewed by the AML Investigations teams.

The successful candidate has strong processing and analytical skills; the ability to work independently and is adaptable to change. In addition, the candidate needs to demonstrate banking and compliance knowledge, the ability to exercise sound judgment and to observe the highest degree of confidentiality in the handling of information received in the course of their responsibilities.

Job Responsibilities

Perform ongoing formal testing of completed Compliance cases (which includes Global Investment Management Transfer Agents/ Unconventional clients) to ensure Global standards are met and also make sure to Maintain the highest level of confidentiality throughout the QA process, disclosing only pertinent information to key stakeholders

Collect and document data, including alerting activity, account information, transactional data, KYC information, politically exposed person (PEP) status, adverse media as well as counterparty and any other required information to assist in the investigation

Review and analyze large amounts of data gathered opposite Anti-Money Laundering (AML), Terrorist Financing (TF), Human Trafficking and other red flags, decipher higher risk attributes (transactional, geographical, product, customer type etc) and appropriately disposition by utilizing analytical skills and research results

Review the quality of completed cases using pre-defined test scripts which are based on Compliance and Quality Assurance standards and question/investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made (where appropriate) and also to Build and develop strong knowledge base on multiple functions within the team using cross training methodology to create synergies

Identify key issues, risks, trends, observations and provide reporting of results to key stakeholders and also work with Global Partners to ensure consistency with the Global QA framework and governance approach

Perform root cause analysis and make recommendations for addressing identified deficiencies or improvements to business processes and present findings via formalized feedback loop process, track and monitor corrections to identified critical defects

Consider regulatory requirements and best practices to implement changes to process

Required qualifications, capabilities, and skills

We are looking for someone excited to join our organization. If you meet the minimum requirements below, you are encouraged to apply to be considered for this role.

6+ years of experience with Financial Services industry, AML/BSA, KYC, Sanctions, Compliance, Investigative or Quality Assurance background preferred with strong knowledge of JPMC Compliance standards, guidelines, policies and procedures and due diligence requirements

Strong research, analytical and comprehension skills, with ability to analyze large amounts of data and proven ability identifying issues/defects and recommending solutions

Exceptional research and analytical skills with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and develop well-reasoned recommendations

Demonstrated experience adhering to controls and compliance standards

Bachelor s degree in Finance, Economics, Forensic Accounting, Criminal Justice (focusing on financial crime) or equivalent work experience with strong Communication skills including written, verbal, and interpersonal

Results-oriented Team Player and ability to multi-task and meet deadlines against a high volume work schedule

Intermediate level skills working with the MS Office suite of tools, with an emphasis on Excel and PowerPoint and working knowledge of MS office MS SharePoint