Corporate – Compliance – Trade Surveillance and Investigations – Vice President – London
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 Investigations conducts reviews related to potential market abuse and responds to enquiries from regulators. Surveillance works in close partnership with various Compliance teams and groups across the Firm.
Surveillance team members are aligned to certain business lines. This role will have a focus on Equities activity.
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
- Investigation and analysis of transactions that have been raised by the Surveillance or relevant business teams, including for potential STOR filing
- 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.
- Product and/or trading experience in financial instruments, particularly in equities
- A desire to learn and the ability to clearly communicate issues with Compliance and business colleagues.
- Good working knowledge of the applicable regulatory principles and rules, including Market Abuse Regulation (MAR)
- 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.
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