Trade Lifecycle Manager II - Legal Entity Oversight & Control
JPMorganChase
Step into a critical role as a Senior Associate, Trade Lifecycle Manager II at JPMorgan Securities LLC, supporting the core operations of our U.S. Broker-Dealer. You will help oversee daily functions that support compliance, settlements, and regulatory reporting, ensuring adherence to SEC, FINRA, and other regulatory requirements. Your expertise will drive operational efficiency, support risk management, and contribute to strategic initiatives that strengthen our compliance culture. You’ll collaborate with cross-functional teams, assist with complex regulatory filings, and help ensure all reporting is accurate and timely—making you an essential part of our firm’s ongoing success.
As a Trade Lifecycle Manager II within Market Operations Securities, you will apply your understanding of regulatory rules to identify areas of risk and recommend solutions that keep us ahead of industry changes. You’ll support change management initiatives, contribute to key projects, and provide insights that influence decisions within your area of responsibility. This is your opportunity to make a meaningful impact, develop your expertise in broker-dealer operations, and grow your career with a global leader. If you thrive in a fast-paced, high-stakes environment and are passionate about operational excellence and compliance, we invite you to join us and help drive the next chapter of success at JPMorgan Securities LLC.
Job responsibilities
- Prepare and submit required regulatory reports, such as Extensions of Time, accurately and on schedule.
- Assist in developing, implementing, and maintaining the firm's Written Supervisory Procedures (WSPs) and Standard Operating Procedures (SOPs), ensuring alignment with daily processes.
- Collaborate with other lines of business, including legal, compliance, technology, and settlement operations to help ensure the firm remains in compliance with all regulations.
- Identify potential compliance and operational risks through analysis of existing reporting infrastructure, documenting processes to support audits and examinations.
- Participate in forums, presenting metrics and project updates to senior leadership to keep them informed of key initiatives and areas of concern.
Required qualifications, capabilities, and skills
- Bachelor’s degree in Finance, Accounting, Business, or a related field.
- 2+ years of experience in the securities industry.
- Exceptional attention to detail, with strong analytical and problem-solving abilities.
- Excellent verbal and written communication skills, with the ability to explain technical subject matter to various audiences.
- FINRA Securities Industry Essentials & Series 99 required, or commitment to obtain within 120 days of hire.
Preferred Qualifications, Skills, and Capabilities:
- Strong knowledge of U.S. securities laws, rules, and regulations, including SEC and FINRA requirements.
- Demonstrated project management skills, with experience supporting complex projects and change management initiatives.
- Ability to influence decisions and drive improvements in operational efficiency and risk mitigation.
- Experience with advanced data analysis tools (i.e., Alteryx, Tableau, UI Path)
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
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.
JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans
J.P. Morgan’s Commercial & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.
Drive operational excellence and regulatory compliance as a Trade Lifecycle Manager II in a fast-paced, high-impact role!