What are the responsibilities and job description for the Compliance - Surveillance Senior Officer - Associate position at JPMorgan Chase?
Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.
As a Surveillance Senior Associate within the Compliance, Conduct and Operational Risk (CCOR) organization, you will be part of the investigations team within the surveillance group in JPMorgan's compliance department that is primarily responsible for investigating matters pertaining to violations of securities regulations and laws, specifically those relating to securities fraud, insider trading, and other manipulative trading activities. To be successful in this role, you will also need to be able to think outside the box, challenging the status quo, and always strive to be best-in-class.
Job Responsibilities
- Review surveillance output and analyze trading and market activity, with a focus on Asset Management to identify potential market manipulation or other impermissible trading behavior
- Work with Line of Business management and LOB Compliance stakeholders to review and resolve activity that requires further review
- Partner with global/regional Surveillance teams in promoting our global program and its responsibilities
- Work with global Surveillance and Technology stakeholders on new and enhanced surveillances including defining requirements, conducting analysis and UAT testing, and implementing related processes and procedures
Required Qualifications, Capabilities and Skills
- Bachelor's Degree
- 3 years of Trade Surveillance or other compliance regulatory, or related financial industry experience
- Relevant knowledge of Equities and Fixed Income products
- Knowledge of industry rules and regulations and market structure
- Strong written communication, verbal communication, and presentation skills
- Excellent analytical skills and strong attention to detail
- Demonstrated ability to handle multiple tasks in a fast-paced environment
- Ability to effectively partner with key stakeholders and technology partners
- Experience with surveillance tools and related applications such as Actimize, Bloomberg, as well as with Excel, PowerPoint, and SharePoint