JPMorgan Chase Compliance Operations - Broker Dealer Alerts Analyst (Back Office) in Brooklyn, New York

Compliance Operations - Broker Dealer Alerts Analyst (Back Office)


JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with 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 .

The Chief Administrative Office Operations team supports compliance, and manages and maintains reference data to ensure that our customers, employees, and lines of business are in adherence with firm standards and required regulations.

Our mission is to improve the quality of reference data used across the organization and provide compliance operational support across the firm’s global businesses and functions. We are driving a culture of quality and continuous improvement toward the best outcome for client experience, our colleagues and JPMorgan Chase. We do the right thing, even when it’s not the easy thing.

If you're interested in working in an environment where leadership, excellence, integrity, and diversity are among our core principles, then explore the opportunities at J.P. Morgan Chase.

The Global Compliance Operations (GCO) team is responsible for supporting and leading aspects of the firm's Anti-Money Laundering (AML) program. The team works closely with the AML Program Management Office, Global Financial Crimes Compliance and the enterprise-wide control program teams to identify, remediate and track issues, and develop controls to sustain improvements as they are made.

The company's responsibilities related to Anti-Money Laundering span every business, function and region - and apply to every customer and client of the firm. The AML/Sanctions Consent Order requires that JPMorgan Chase make specific process and system improvements - on top of more immediate procedural changes - and drive greater consistency in its approach to AML across the company.

The Alert Analysis team provides the AML Investigations unit with an initial formal assessment of potential Money Laundering, Terrorist Financing and other nefarious activity based on system and manually sourced alerts, consistent with global standards.

Successful Alert Analyst candidates possess strong processing and analytical skills; the ability to work independently, take initiative and are adaptable to change. In addition, successful candidates are quick learners that will be able to readily understand banking and AML concepts and issues, exercise sound judgment and observe the highest degree of confidentiality in the handling information received in connection with their responsibilities.


  • Perform intake controls to ensure all alerts are logged and assigned in a timely manner;

  • Collect and document data, including alert, investigation, or Suspicious Activity Report history; Know Your Customer (KYC) information; relevant account and transaction data; plus any other required information to assist the investigation;

  • Review and analyze underlying data gathered to assess reasonable cause to escalate an alert to Investigations or to clear the alert;

  • Disposition and fully document all alerts, including supporting data, analysis and rationale for disposition, within the case management system in a timely manner;

  • Build relationships with AML Investigations units, effectively communicating and transferring information for case investigations;

  • Conduct periodic internal account / customer reviews to identify potentially suspicious activity;

  • Function as a key contributor and demonstrate knowledge of AML issues as well as broader functional knowledge; and

  • Participate in individual and department goal development and execute on tactical strategies for goal attainment.


  • 1 years experience in back-office broker dealer required with the ability to read and interpret statements and account activity

  • AML, KYC or related experience preferred

  • Ability to consistently meet service level agreement quotas and deadlines is required

  • Adept at multi-tasking and meeting deadlines in a high-pressure environment

  • Strong problem solving abilities

  • 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 disposition appropriately

  • Strong interpersonal and verbal/written communication skills

  • Proficiency in MS Word and Excel. Experience with Pivot tables and VLOOKUPs preferred.

  • Strong documentation skills to clearly articulate alert disposition

  • Self-starter, capable of working under minimum supervision

  • Results oriented team player

  • Strong problem solving ability

This position is anticipated to require the use of one or more High Security Access (HSA) systems. Users of these systems are subject to enhanced screening which includes both criminal and credit background checks, and/or other enhanced screening at the time of accepting the position and on an annual basis thereafter. The enhanced screening will need to be successfully completed prior to commencing employment or assignment.

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.

Job Other

Primary Location US-NY-Brooklyn-1 Metrotech / 41035


Schedule Full-time

Job Type Standard

Shift Day Job

Travel No

Req ID: 170024386