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Corporate Compliance - Information Barriers Surveillance Analyst - Vice President

Req #: 180021701
Location: Jersey City, NJ, US
Job Category: Compliance
Job Description:

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. 


Conduct surveillance of employee, firm and client trading in companies listed on the firm's Watch and Restricted Lists.  This includes but is not limited to:


  • Identify, manage, and resolve issues regarding potential Restricted and Watch List violations.
  • Review daily Information Barriers surveillance reports generated by the surveillance system.  Determine items which require follow-up and bring them to resolution. 
  • Assist in the creation and maintenance of policies and procedures for the Information Barriers Surveillance Team.
  • Respond to ad-hoc requests from the Control Room and Compliance Coverage.
  • Interface with the Line of Business Compliance as well as various areas within compliance.
  • Participate in regular business discussions and meetings as necessary to identify new/changed business activities which require surveillance.
  • Determine how new rules or regulations affect supervisory oversight and/or surveillance activities. 
  • Provide proactive education on compliance / surveillance activities.  Develop new filters for the surveillance system as required.
  • Research and resolve business data quality problems identified utilizing the surveillance system output.
  • Work with business and Compliance Officers to resolve complex compliance issues.
  • Resolve / respond to inquiries that are elevated by the Compliance Services area.

  • Bachelor's Degree required.
  • Minimum of 3 years experience within financial services
  • Knowledge of securities industry and understanding of compliance and surveillance functions, required.
  • Knowledge of industry rules and regulations. 
  • Strong analytical skills are essential 
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