Job summary:
At Compliance Conduct and Operational Risk division, as a E-Communication surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the policies. The E-Communication surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements.
The Firm's Global Compliance Surveillance team is hiring experienced E-Communication and Voice Surveillance analysts. Key responsibilities and qualifications for available roles include:
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Job Responsibilities
- Review applicable communications surveillance alerts and communications subject to first-level review and identify unusual activity and potential compliance issues
- Working with business and compliance stakeholders to identify potential market misconduct and escalate potential compliance issues
- Conducting alert-based reviews for potential violations of laws, rules, and regulations.
- Work along with peers, handle multiple reports, engage in result-oriented tasks in a fast-paced environment
- Identifying areas for process improvement and contribute towards the same
- Additional duties as assigned & Identifying areas for process improvement and contribute towards the same
- Identify key issues, risks, trends, observations and have them highlighted to management/key stakeholders
- Proactive, possessing a sense of ownership and accountability in following through on existing issues and cases
Required qualifications, capabilities, and skills:
- Bachelor's Degree or equivalent experience
- Prior E-Communication/trade surveillance experience with minimum 6 years of overall experience
- Product experience with financial products (including equities, futures and Fixed income) and/or information barriers / Asset management
- An understanding of markets and potential market manipulative behavior and a demonstrated ability to conduct reviews relating to regional rules, regulations and policies
- Strong organizational and analytical abilities and attention to detail
- Demonstrated ability to handle multiple tasks in a fast-paced environment
- Experience with Smarsh Connected Archive, NICE VOISS or similar surveillance systems is a plus
ABOUT US
JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
ABOUT THE TEAM
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we're setting our businesses, clients, customers and employees up for success.
Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm's needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.