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Compliance Operations - Data Management Trade Surveillance Associate

Req #: 170062667
Location: Brooklyn, NY, US
Job Category: Operations
Potential Referral Amount: 3000 US Dollar (USD)

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at


Global Compliance Operations is responsible for supporting and leading aspects of the firm's Anti-Money Laundering (AML) program. The team works closely with the AML Program Management Office, Global Financial Crimes Compliance and the enterprise-wide control program teams to identify, remediate and track issues, and develop controls to sustain improvements as they are made. The company's responsibilities related to Anti-Money Laundering span every business, function and region - and apply to every customer and client of the firm.


Data Management Operations (DMO) team supports the Trade Surveillance (TS) team which focuses on the prevention and investigation of abusive, manipulative or illegal trading practices in the securities markets. DMO is responsible for ensuring the highest quality of data flowing to trade surveillance systems for Corporate Compliance Reporting, Surveillance and Monitoring. The DMO team partners globally with the following groups in support of this function: 

  • Back Office & Middle Office Operations teams across the Corporate  Investment  Bank and Asset Management

  • LOB & Compliance Technology groups (Operate and AD)

  • Global Compliance Operations          

  • Compliance & Project Management Office

Responsibilities include:

  • Partner with various functions (Tech, Ops & Compliance) to document data issues, perform analysis and determine remediation plans

  • Engage Data Management projects team to support the monthly testing cycle

  • Participate in UAT testing, reviewing test scripts, and creating business required documents (BRDs).

  • Lead and participate in weekly Working Group calls to manage the priority and closures of data quality issues

  • Monitor the data quality and completeness of feed/files into and throughout the Compliance environment

  • Managing the creation of standard operation procedure documents

  • Understand how the data is utilized in Trade Surveillance and the impact to the downstream Compliance monitoring

  • Oversight of the Defect Management process ensuring adherence to the Defect Governance Model

  • Build out processes and adequate controls ensuring consistency across regions and other Data Pillars within the Compliance Operations group

  • Track all data quality issues and provide metrics reporting on progress to both regional and global stakeholders

  • Responsible for data validations & reconciliations across inbound data feeds to identify data quality issues, complete impact assessment and remediate through the Defect Governance framework.

  • The Data Management Associate is required to work in the NA team responsible for the Trade Surveillance pillar.

  • Experience in an Operations environment (preferably with a focus on ensuring data quality)

  • Knowledge of investment products including mutual funds, fixed income, credit, rates, equities

  • Experience in defining/documenting new processes ensuring appropriate controls framework

  • Experience in tracking/ interpreting data flows a plus

  • Experience in an end to end exception management process; preferably in resolving data quality issues

  • Effective analytical, problem solving and decision-making skills

  • Excellent communication, influencing and relationship building skills

  • Highly disciplined individual, self-motivated, and delivery focused

  • Strong excel skills required for data analysis (e.g. use of pivot tables, v-lookups and macros)

  • Accuracy and attention to detail

  • Knowledge of industry rules and regulations, including Fed, SEC, FINRA, and MSRB 


  • Strong Microsoft Office skills with proficiency in Excel, Word, PowerPoint & Visio, and SQL experience

  • Knowledge of ALM (Application Lifecycle Management) and Actimize an advantage

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