Branch Compliance Administrator/JPMorgan Chase Escalation Compliance Officer
JPMorgan Chase Investment Services Corp
- Monitored sales and daily trade blotters to ensure compliance with appropriate rules, regulations and Firm policies. Conducted customer due diligence to ensure compliance with Firm policies regarding authority, documentation and suitability.
- Reviewed all incoming & outgoing communications, E-mail and Mutual Fund surveillance, New Accounts, AML & KYC Compliance literature as well as the continuing education program.
- Approved advertising and marketing materials, annuity and mutual fund sales literature.
- Investigated and resolved complex, time-sensitive, high-impact problems for the broker/dealer and the insurance agency in order to maintain and heighten the client relationship.
- Served as liaison by remunerating clients and/or helping maintain the integrity of the firm. Write detailed correspondence in response to Executive Office complaints.
- Responded directly to NASD, SEC, and FRB inquiries for the Compliance Department.