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Corporate Compliance - Trade Surveillance - Vice President

Req #: 170107465
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.
 
This role is for a surveillance analyst on the J.P. Morgan Wealth Management Surveillance team within the Compliance department of the Investment Bank.
 
Key functions of this role include:
  • Reviewing and analyzing daily surveillance output to identify potential compliance issues
  • Interfacing with the local Supervisory Managers and compliance officers to review and resolve potential compliance issues
  • Identifying potential enhancements to surveillance logic, reports, and workflow through data analysis
  • Working with global surveillance colleagues, surveillance technology teams, and project managers to define requirements and conduct UAT testing
  • Defining new and enhanced workflow processes and procedures
  • Determining how new rules, regulations, and policies impact surveillance
 
Qualifications
  • Bachelor's Degree or equivalent experience
  • 5+ years of compliance, regulatory or other financial industry experience
  • Knowledge of investment products including mutual funds, fixed income, and options  
  • Knowledge of industry rules and regulations, including Fed, SEC, FINRA, and MSRB
  • Strong analytical and technical skills
  • Strong organizational skills and attention to detail
  • Strong written and verbal communication skills
  • Surveillance expertise is a plus
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