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Corporate - EMEA Compliance - Compliance Information Barriers Surveillance Analyst - Vice President

Req #: 180014061
Location: London, ENG, UK
Job Category: Compliance
Potential Referral Amount: 0 Pound Sterling (GBP)
JPMorgan is a leading global financial services firm with operations in more than 50 countries. The firm is an established leader in investment banking, financial services for consumers and businesses, financial transaction processing, asset and wealth management, and private equity.
 The EMEA Corporate & Investment Bank (“CIB”) Compliance Department supports the group's investment banking and TSS operations in the EMEA region.  The department is responsible for: (i) interpreting and advising on financial regulations and/or internal Compliance policies; (ii) development of appropriate Compliance policies and procedures; (iii) providing staff training; (iv) monitoring and analysing business activities; and (v) interfacing with regulators.
The EMEA CIB Compliance Surveillance unit (“Surveillance”) has been created to monitor and analyse the sales and trading activities conducted by the investment bank for clients, market making, issuance and proprietary trading as well as to undertake surveillance of electronic  communications (e.g.  e-mail, Bloomberg communications, etc) and telephone communication monitoring.  Surveillance utilises and develops electronic tools and integrative techniques to detect potential and/or actual violations of firm policy and legal/regulatory requirements. Surveillance works in close partnership with the LOB Markets Compliance team, which covers the above businesses, in providing end to end coverage and advice to business management, in conducting investigations related to market incidents and, in responding to enquiries from regulators. Members of Surveillance must have strong investigative instincts and background, understanding of markets and trading, desire to learn and, ability to clearly communicate issues with Compliance and business colleagues.  Surveillance also works closely with the London Control Room to monitor the effectiveness of the firm's Information Barriers and trading restrictions.  
Within the Surveillance team the Information Barriers surveillance team undertake surveillance of employee, firm and client trading in companies listed on the firms Watch list and Restricted list.  Specifically the role includes (but is not limited to):
  • Identification, management, and resolution of issues regarding potential Restricted List violations;
  • Review of daily Information Barriers surveillance reports generated by the Surveillance System to determine items which require further investigation and conducting the investigation to bring to resolution;
  • Assist in the creation and maintenance of policies and procedures for the Information Barriers Surveillance Team;
  • Respond to ad-hoc requests from the Control Room and Compliance Coverage;
  • Interface with the Line of Business Compliance as well as various areas within compliance.
  • Participate in regular business discussions and meetings as necessary to identify new/changed business activities which require surveillance.
  • Determine how new rules or regulations affect supervisory oversight and/or surveillance activities. 
  • Provide proactive education on compliance/ surveillance activities.  Develop new filters for the Surveillance System as required.
  • Research and resolve business data quality problems identified utilizing the Surveillance System output.
  • Perform steps necessary to implement the Surveillance System initially as well as for all subsequent system upgrades.  Includes business issue resolution, user acceptance testing, parallel testing, etc.
  • Work with business and Compliance Officers to resolve complex compliance issues.
  • Resolve/respond to inquiries that are elevated by the Compliance Operations, in particular related to PAD, DOI and/or Takeover Panel issues.
This position requires a knowledge and understanding of compliance and surveillance functions.  Knowledge of industry rules including, but not limited to UK FCA rules, is extremely important.  Strong analytical skills are essential. 
  • Longstanding interest in  the development of global financial markets. 
  • Good understanding of a wide range of financial instruments.
  • Good working knowledge of the applicable regulatory principles and rules, such as market abuse regulations and information barriers.
  • An investigative instinct and an analytical mindset are absolutely essential.
  • The candidate must possess: (i) initiative and judgement; (ii) the ability to prioritise conflicting demands, organise one's agenda and work under pressure; (iii) the relationship management skills to deal with management and build partnerships with other departments; (iv) the ability to work in teams and the readiness to share knowledge; (v) good oral and written communication skills; and (vi.) intermediate to advanced Microsoft Excel skills.
  • Experience in the development and implementation of system enhancements would be an advantage.
The successful candidate is likely to have proven experience working as a regulatory/exchange enforcement officer or in a role in audit, risk management, compliance or similar function. 
About JPMorgan Chase & Co.
J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.2 trillion.  The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its J.P. Morgan and Chase, and WaMu brands.
J.P. Morgan offers an exceptional benefits program and a highly competitive compensation package.
J.P. Morgan is an Equal Opportunity Employer.
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