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Compliance - Global Quality Assurance – Surveillance Tester - Associate

Req #: 170114207
Location: Singapore, 01, SG
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 & Corporate Banking; Financial Services for consumers, small business and commercial banking; financial transaction processing; asset management and private equity.
 
The Quality Assurance (“QA”) Team is an integral part of the controls environment within Chief Administrative Office (“CAO”) and is responsible for conducting a continuous testing program against internal procedures and regulatory requirements to ensure quality, completeness, and accuracy.
 
In particular, the Quality Assurance Tester (QA) will perform targeted reviews; summarize results, and present to stakeholders.  The QA will be expected to determine gaps in process and procedure; question integrity of data and adherence to processing and servicing standards, policies and procedures. The QA will be accountable for analyzing issues, improving business processes and providing recommendations for improvements.  In addition the QA team reviews, on a sampling basis, cross-team testing across corporate and transaction streams.
 
 
Responsibilities
 
  • Perform analysis on closed E-Communications and Trade Surveillance alerts to verify controls/standards are met.
  • Question and investigate the reliability and integrity of data, the validity of conclusions, and the appropriateness of assumptions made.
  • Review quality and compliance of completed alerts, based on quality testing standards, the E-Communications and Trade Surveillance process, and the nature of the breach.
  • Identify key issues, cause and effect relationships, and gaps in the process that impact quality, accuracy, and/or compliance.  Report results to management.
  • Make decisions based on audit principles, risk management practices, verifiable data, professional standards, internal policy and governmental guidelines.
  • Consider regulatory requirements, departmental resources, and E-Communications and Trade Surveillance goals and objectives to identify alternatives that are practical and appropriate, in addition to effective.
  • Cross training across the Quality Assurance team is expected
  • Pave the way for continuous improvement in the E-Communications and Trade Surveillance process, and serves as a change agent
  • Escalate control issues to management
  • Interface with internal Audit as appropriate
Qualifications
  • Bachelor’s degree required
  • Experience with Financial Services industry.  AML/BSA, compliance or investigative background preferred.
  • Knowledge of public data research including internal surveillance systems & applications preferred.
  • Understand E-Communications and Trade Surveillance practices as it relates to escalations and actions taken
  • Ability to translate technical data and information into business reports and presentations
  • Exceptional research and analytical skills with the ability to analyze large amounts of data and disposition appropriately.
  • Excellent organization, written and oral communication skills.
  • Strong documentation skills to clearly articulate results of testing.
  • Strong analytical and problem solving skills
  • Proficiency in MS Office, documentation and metrics
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