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Associate, Compliance Surveillance, Asset and Wealth Management

Req #: 180005080
Location: Singapore, 01, SG
Job Category: Compliance
Job Description:
Description
 
JPMorgan Chase is a global leader in the financial services industry, offering intelligent solutions across comprehensive and cutting edge global product platforms.  You will be surrounded by talented and self driven individuals like yourself, who in line with the highest standards of integrity, combine innovation and analysis to achieve industry leading results and recognition in accordance with the business principles fundamental to our success.
 
The Asia Pacific Regional Compliance Department is seeking a high calibre individual to join our AWM Compliance Surveillance team.  Reporting to the Surveillance Manager in Singapore, the candidate, utilizing the surveillance tools, will be responsible for conducting trade and communications surveillance.  The candidate will be empowered (within the boundaries of a case officer) to exercise sound business judgments and take ownership to ensure his/her cases are adequately managed in accordance with the operational level of agreement.  The surveillance service footprint in Asia Pacific includes, but not limited to Australia, Hong Kong, India, and Singapore.
 
This is a professional position with significant potential for career development within the Asian franchise of JPMorgan Chase and it is only offered to the chosen few who possess the highest level of standards & integrity, relevant skill sets, aspire to succeed as a compliance professional and are determined to contribute in making a positive difference in the Regional Compliance Surveillance team.
 
Responsibilities
The key roles and responsibilities would include but not limited to:
  • Use surveillance tools to analyze system generated alerts across various platforms within the firm and locate any potential breaches of policies and/or where applicable relevant laws and regulations.  Support analysis conducted through Bloomberg and Internet research, and by maintaining awareness of regional markets and regulatory activity.
  • Participate in system analysis, testing and design. The team uses proprietary, third party vendor and ad hoc targeted review schemes as part of the broader function. These processes and systems require regular maintenance that might involve system upgrades, modifications, and occasionally UAT testing as a result of technical issues, prevailing business or market conditions.
  • In consultation with the Team and Team Manager, refer or escalate any unusual or suspicious cases during the course of alert reviews to the relevant LOB / Country Compliance officers and/or other counterparties in accordance with the defined operational process.
  • Maintain high standard of documentation and audit trail for alert disposition and ensure that escalated cases are followed up and documentations are updated in our case register in a timely manner.
  • Attend meetings and present escalated cases as required.
  • Assist in other administrative duties such as MIS reports preparation, developing/updating procedures as required.
Key Skills & Experience
 
  • You will have 4 to 5 years experience, ideally gained within a financial services Middle/Back Office environment or Broker Support and preferably 1-2 years in Communications Surveillance or compliance monitoring role
  • A good working level knowledge of Bloomberg and Reuters
  • Appreciation of risk and escalation and the need for timely and accurate investigations/alert closure.
  • Good understanding of market abuse and best practice scenarios
  • Understanding of banking jargon and market commentary/color to complement Ecom surveillance.
  • Good knowledge of communications surveillance processes and systems such as Actimize and HP Supervisor.
  • Strong knowledge of investment bank and wealth management operating models.
  • Strong analytical skills and the ability to manage several simultaneous tasks.
  • A self-motivated fast learner with the ability to work independently
  • A strong team player and able to engage people across all corporate hierarchies.
  • Flexible and adaptable to dynamically changing work processes and environment
  • Adaptability to work under time pressure and resiliency to provide stable and consistent performance
  • Excellent computer skills especially in standard Microsoft Office applications and Sharepoint.
  • Proven ability to communicate effectively in English at all levels both orally and in writing
  • Competent in non English languages is an advantage
  • Related professional qualification helpful
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