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Corporate – Compliance –Trade and Communications Surveillance – Associate

Req #: 180011826
Location: London, ENG, UK
Job Category: Compliance
Job Description:
Description
 
The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities conducted by the Corporate Investment Bank as well as undertaking the surveillance of electronic  communications (e.g. e-mail, Bloomberg etc.) and telephone communications.  Surveillance utilises and develops electronic tools and integrative techniques to detect potential and/or actual violations of firm policy and legal/regulatory requirements. Surveillance works in close partnership with various Compliance teams and groups across the Firm.
 
Surveillance team members are aligned to certain business lines. Specifically, this role will be part of the Fixed Income, FX, Commodities and Futures Surveillance team.
 
Responsibilities include but are not limited to:
 
  • Reviewing surveillance output, including conducting surveillance analysis of trading and market activity and working with business and compliance stakeholders to action exceptions
  • Conducting targeted reviews of trading activity, electronic communications and voice tapes
  • Working with global surveillance and technology stakeholders on new and enhanced surveillances to define requirements, conduct analysis, conduct UAT testing, and define and implement related processes and procedures
  • Engaging with front office trading and sales personnel, compliance personnel, and other stakeholders on surveillance requirements, new business initiatives, and other areas as required
Skills, attributes and experience required:
 
  • Strong desire to work in a Surveillance team with good investigative instincts and background.
  • A desire to learn and the ability to clearly communicate issues with Compliance and business colleagues. 
  • Non-English language skills would be desirable but not essential. 
  • Deeper knowledge of specific sectors – Rates, Credit, FX, Commodities
  • Broad knowledge of how these products are valued, the markets in which they are traded, typical trading and investor strategies.
  • Good working knowledge of the applicable regulatory principles and rules
  • The candidate must possess: (i.) initiative and judgement; (ii.) the ability to prioritise conflicting demands, organise one's agenda and work under pressure; (iii.) the relationship management skills to deal with management and build partnerships with other departments; (iv.) the ability to work in teams and the readiness to share knowledge; (v.) good oral and written communication skills; and (vi.) intermediate to advanced Microsoft Excel skills.
  • Experience in the development and implementation of system enhancements would be an advantage.
About J.P. Morgan Chase & Co:
 
 
J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion.  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. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its JPMorgan and Chase, and WaMu brands.
 
J.P. Morgan offers an exceptional benefits program and a highly competitive compensation package.
J.P. Morgan is an Equal Opportunity Employer
 
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