Trade Lifecycle Manager II - Legal Entity Oversight & Control

Overview

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.

• 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.

• 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.

• 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)