Join our Broker‑Dealer Servicing team and help deliver best‑in‑class operational controls and regulatory reporting. Be at the heart of capital markets operations, partnering with stakeholders across the business while driving accuracy, efficiency, and continuous improvement in a fast‑paced environment.

As a Broker‑Dealer Servicing Operations Associate in our Broker‑Dealer Servicing team, you will support day‑to‑day operations for possession or control, books and records reconciliation, and regulatory reporting (e.g., FED, FINRA, SEC). You will own end‑to‑end process execution, ensure adherence to SOPs and control standards, and publish performance metrics. You will collaborate with internal and external stakeholders, escalate issues promptly, and contribute to change management and process improvements to enhance quality and efficiency.

Job responsibilities

• Execute daily broker‑dealer processes for possession or control, books and records reconciliation, and regulatory reporting in line with SOPs.
• Publish periodic metrics, track variances to targets, and follow up on aging items to closure.
• Own end‑of‑day, cut‑off, and critical intraday reports; ensure accuracy and timeliness.
• Identify and escalate errors and exceptions upon detection; drive timely resolution.
• Respond to routine queries and complaints, ensuring completeness and high‑quality outcomes.
• Maintain audit focus across BAU; evidence compliance with firm policies and procedures.
• Navigate core systems proficiently; document and keep desk procedures and checkpoints current.
• Identify, implement, and control‑test process efficiency opportunities.
• Communicate effectively with key stakeholders, including agents, clients, client service, managers, and senior leadership.
• Support QA tests, MIS, and audit activities in partnership with the local OCM/controls team.
• Contribute to team leadership by reinforcing objectives, morale, and a culture of confidentiality and sound judgment.

Required qualifications, capabilities, and skills

• 5+ years of experience in capital markets or market securities operations.
• Working knowledge of books and records reconciliation for securities operations.
• Ability to work under pressure and make accurate decisions in time‑sensitive situations.
• Proficiency with Microsoft Office (Excel, Word, PowerPoint); strong Excel skills for analysis and reporting.
• Strong analytical, detail‑oriented, and problem‑solving skills; quick learner of concepts and procedures.
• Effective oral and written communication; strong stakeholder management.
• Demonstrated risk and control mindset with strict adherence to SOPs and quality standards.
• Ability to work independently and in a team within a fast‑paced production environment.
• Flexibility in operating hours, including overtime and holidays as required.
• Familiarity with intelligent automation and analytics tools (e.g., Tableau, Alteryx, UiPath).
• Positive, proactive approach with proven follow‑through and ownership.

Preferred qualifications, capabilities, and skills

• Knowledge of FINRA and SEC regulatory requirements relevant to broker‑dealer operations (e.g., possession and control).
• Experience supporting FED/FINRA/SEC reporting controls.
• Hands‑on experience advancing process improvements using IA/analytics tools.

• Exposure to QA, MIS, and audit coordination with control partners.

• S99 FINRA certification.
• Bachelor’s degree in Finance, Accounting, or related field.

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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.

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Enhance broker-dealer operations with robust controls in possession, records reconciliation, and regulatory reporting.