Chase · 1 day ago
Trade Lifecycle Lead - Legal Entity Oversight & Control
575 Washington Blvd, Jersey City, NJ, 07310, US
Full-time
Onsite
Mid, Senior Level
$107K/yr - $171K/yr
5+ years expChase is a leading financial institution that offers innovative financial solutions. The Trade Lifecycle Lead will oversee compliance and operational functions in broker-dealer operations, managing risks and ensuring regulatory adherence.
BankingFinancial Services
Responsibilities
Ensure accurate and timely preparation and submission of all required regulatory reports, such as Extensions of Time
Develop, implement, and maintain the firm's Written Supervisory Procedures (WSPs) and Standard Operating Procedures (SOPs), ensuring they align with the day to day processes
Collaborate with other lines of business, including legal, compliance, technology, and settlements operations to ensure the firm is in compliance with all regulations
Identify potential compliance and operational risks through a deep-dive analysis of existing report infrastructure, documenting the end to end process to be ready for audits and examinations
Lead various forums, presenting metrics and other project initiatives to senior leadership within the firm to keep them abreast of any areas of concern
Qualification
Required
Bachelor's degree in Finance, Accounting, Business or related field is required
Minimum of 5+ years of experience in broker-dealers operations or compliance; with evidence of extensive knowledge of U.S. securities laws, rules, and regulations, including SEC and FINRA requirements
Advanced skills in project management, with a track record of leading complex projects and driving change management initiatives
Exceptional time management skills and attention to detail, with strong analytical and problem solving abilities
Excellent verbal and written communication skills, with the ability to translate technical subject matter to various audiences
Strong ability to influence strategic decisions, with a focus on improving operational efficiency and mitigating risks
FINRA Securities Industry Essentials & Series 99 required or commitment to be obtained within 120 days of hire
Benefits
Comprehensive health care coverage
On-site health and wellness centers
A retirement savings plan
Backup childcare
Tuition reimbursement
Mental health support
Financial coaching
Company
Chase
Chase provides broad range of financial services. It is a sub-organization of JP Morgan Chase.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Mike McDonnell
Managing Director, Head of Chase Travel Platform Product
Nicole Sanchez
Managing Director, Consumer Bank, GM and Product Executive, Growth Financial Products
Recent News
2026-01-24
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