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Corporate Compliance - Private Bank Surveillance - Senior Compliance Officer, Associate

Req #: 180018611
Location: Jersey City, NJ, US
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. 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.
 
Compliance Surveillance Analyst to join the Wealth Management Trade Surveillance team. The Compliance Surveillance group is part of the Compliance unit of the Investment Bank.
 
Primary responsibilities include:  
  • Reviewing trading reports and seeking exceptions related to Market Misconduct, Sales Practice, and Customer Suitability related Compliance Issues.
  • Performing thorough investigations and escalating possible violations of rules, regulations and procedures to the attention of management.
  • Assisting in the design, testing and implementation of new exception reports.
  • Managing multiple projects in a fast paced environment
  • Working on special projects pursuant to requests from senior management or necessitated by current events 
Requirements:
 
  • Four year college degree or equivalent experience.
  • Three to five years experience in a compliance role, preferably in a Wealth Management Brokerage capacity.
  • Familiarity with Wealth Management investment strategies and products including Mutual Funds, Structured Products, Stocks, and Options.
  • Excellent analytical skills.
  • Excellent interpersonal, written and oral communications skills.
  • Series 7, 63, 24 and 4 preferred.

 

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