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 expert judgment 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 Officer Senior Associate supporting the Compliance Conduct and Operational Risk (CCOR) organization, you will play a crucial role in Risk Management by conducting reviews of trade surveillance alerts related to Market Manipulation and Misconduct, Sales Practice, and Customer Suitability risks. You will work closely with Line of Business Compliance and Line of Business Management, as well as global/regional Surveillance teams, to promote our global program and its responsibilities. You will need a strong attention to detail, excellent analytical skills, and the ability to handle multiple tasks in a fast-paced environment. The role emphasizes a culture of innovation and excellence, aiming to enhance your ability to manage risks effectively.
Job Responsibilities
Review Trade Surveillance alerts seeking to identify risks related to Market Misconduct, Sales Practice, and Customer Suitability
Perform thorough investigations and identify possible violations of rules, regulations, and procedures
Collaborate with stakeholders from other areas of the firm to enhance the Surveillance program
Interact with Line of Business Compliance and LOB Management to appropriately escalate potential issues
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
Contribute to the firm’s culture and Diversity, Opportunity, and Inclusion program
Required qualifications, capabilities, and skills
3 years of professional experience related to risk management, financial services, compliance or legal
Bachelor’s Degree or equivalent experience
Familiarity with Wealth Management investment strategies and products including Mutual Funds, Structured Products, Equities, Options and Investment Advisory Platforms
Strong written and verbal communication skills
Excellent organizational and project management skills; able to manage competing priorities under tight deadlines
Proven ability to collaborate and build strong partnerships
Intellectual curiosity with a proven ability to learn quickly
Investigative instincts and background in escalating risks
High degree of initiative, self-direction, and ability to work well under pressure
Flexible and able to handle multiple tasks and a changing environment
Independent decision-making skills
Preferred qualifications, capabilities and skills
Prior financial services experience in Trade Surveillance or other Compliance function
FINRA General Securities licenses such as Series 7, Series 24, Series 9 or 10 considered