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Asset Management Monitoring - Compliance Manager - Vice President

Req #: 170111738_1
Location: Columbus, OH, US
Job Category: Compliance
Job Description:

JP Morgan Chase

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at


Our Compliance Function

With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face.  The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.


J.P. Morgan Asset Management is a leading asset manager for institutions, individuals and financial intermediaries, worldwide.  Our investment professionals are located around the world providing strategies that span the full spectrum of asset classes including equity, fixed income, cash liquidity, currency, real estate, infrastructure, hedge funds and private equity.

This role will be part of the Global Investment Management (GIM) Monitoring Team in New York, New Jersey or Columbus and will report to a Compliance Manager. 
Responsibilities will include:
  • Conduct daily trade surveillances related to potential violations of the Securities Exchange Act of 1934 (insider trading and market manipulation) and conflicts of interests related to fiduciary responsibilities for equity and/or fixed income products.
  • Coordinate with the Technology Surveillance team to enhance current surveillances and create new surveillances, as needed
  • Conduct research and obtain supporting data for the preparation of regulatory reports and filings. Assist in the compilation of periodic regulatory reports, such as 10f-3 transaction reports, 23b reports, updates to the affiliates list, etc.
  • Coordinate with global compliance colleagues in the development and enhancement of surveillances and the preparation of related documentation
  • Assist in the new deal pre-clearance process.
  • Field inquiries via the Compliance Hotline as well as advisory questions from the business.
  • Chaperone Expert Network calls and other calls/meetings between the business and other entities, as needed.
  • Assist with preparation of materials for internal Audit and Risk and Control, as appropriate.
  • Assist senior team leaders with updates to procedures and policies, as appropriate.
  • Assist senior team leaders with corporate metrics preparation and reporting.
  • Bachelors Degree required
  • Basic understanding of equity and fixed income products and trading
  • Basic understanding of financial instruments and investment products including equity, debt and derivative securities
  • Self motivated individual who is eager to learn more about the financial markets and securities regulation
  • An understanding of when issues require escalation
  • Strong technology skills and computer literacy (Word, Powerpoint, Proficiency in Excel is a must)
  • Strong written and verbal communication skills
  • Must be diligent, detail-oriented, possess follow-through skills, ability to multi-task and work well within the team environment
  • Positive and professional attitude
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