Job Summary
As an Associate within China Compliance Surveillance team, you be responsible for reviewing alerts generated from various trade and communication Surveillance systems to detect instances of potential misuse of material non-public information, breaches of policies and / or where applicable relevant laws and regulations. You will also be part of the bigger Compliance Surveillance team with a chance to get involved in various projects to uplift the Surveillance program and learn about various other asset class.
Job Responsibilities
- Use trade / communication surveillance tools to analyze system generated alerts across various platforms within the firm and locate any potential breaches of policies and/or where applicable relevant laws and regulations
- Support analysis conducted through Bloomberg and Internet research, and by maintaining awareness of regional markets and regulatory activity
- Work closely with relevant teams and stakeholders to understand trading flows and relevant regulations to support analysis
- Partner with the team and the team lead in referring or escalating any unusual or suspicious cases during the course of alert reviews to the relevant compliance officers and/or other counterparties in accordance with the defined operational process
- Ensure escalated cases are followed up and documentations are updated in our case register in a timely manner
- Participate in market conduct related investigations and ensure responses to enquiries are managed in a timely manner
- Assist in the delivery of surveillance related projects or initiatives, including establishing internal control processes and developing/updating procedures, communication and trade surveillance system analysis, testing and design
Required Qualifications, Capabilities, And Skills
- 3 plus years' Surveillance / Control Room / Advisory experience in relevant industries
- Fulfilment of all necessary regulatory licenses and requirements i.e. China Securities Regulatory Commission (CSRC), Securities Association of China (“SAC”) and other securities regulators
- Proven expertise using third party trade surveillance tools and market data vendors
- Strong product knowledge of exchange traded securities
- Good knowledge of key Asian markets and key regulations
- Good understanding of market abuse, sales and trading compliance risks, information barriers and best practice scenarios
- Understanding of trading jargon and market commentary/color to complement e-communication surveillance
- Strong knowledge of investment bank operating model
- Strong analytical skills, attention to details and the ability to manage several simultaneous tasks
- A self-motivated fast learner with the ability to work independently as well as with a team
- Adaptability to work under time pressure and resiliency to provide stable and consistent performance
Preferred Qualifications, Capabilities, And Skills
- A good understanding of the China Equities and F&O markets is desirable but not mandatory.
- Excellent computer skills especially in standard Microsoft Office applications. Knowledge in analytics tools (e.g. Tableau, Alteryx) or programming language (e.g. VBA Macro, Python) will be an advantage.
Skills Required
- 3 or more years of surveillance, control room, or advisory experience in relevant industries
- All necessary China Securities Regulatory Commission, Securities Association of China, and other applicable securities regulatory licenses and requirements
- Expertise using third-party trade surveillance tools and market data vendors
- Strong product knowledge of exchange-traded securities
- Knowledge of key Asian markets and applicable regulations
- Understanding of market abuse, sales and trading compliance risks, information barriers, and related best practices
- Understanding of trading terminology and market commentary for electronic communications surveillance
- Strong knowledge of investment bank operating models
- Strong analytical skills, attention to detail, and ability to manage multiple simultaneous tasks
- Ability to work independently and collaboratively under time pressure
- Adaptability and resilience to provide stable, consistent performance
- Understanding of China equities and futures and options markets
- Excellent computer skills, particularly Microsoft Office applications
- Knowledge of Tableau, Alteryx, VBA, or Python
JPMorganChase Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about JPMorganChase and has not been reviewed or approved by JPMorganChase.
-
Healthcare Strength — Medical, dental, vision, and mental-health coverage are broad, with wellness incentives, on-site or virtual care, and an EAP offering coaching and counseling. Plan materials emphasize accessible options, including multiple medical choices and tools to manage costs.
-
Parental & Family Support — Paid parental leave extends up to 16 weeks for all parents, supplemented by paid Critical Caregiver Leave. Family resources include backup childcare via Bright Horizons, lactation support and milk-shipping, family-building assistance, and even a free five-month SNOO rental for newborns.
-
Retirement Support — Retirement programs include a 401(k) with an annual company match and automatic pay credits for most employees, with a legacy pension available to earlier hires. An Employee Stock Purchase Plan at a 5% discount further supports long-term savings.
JPMorganChase Insights
What We Do
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $3.7 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small businesses, 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. Technology fuels every aspect of our company and is at the heart of everything we do. With over 50,000 technologists globally and an annual tech spend of $12 billion, we are dedicated to improving the design, analytics, development, coding, testing and application programming that goes into creating high quality software and new products. Learn more about technology at our firm, explore resources from our Distinguished Engineers, AI & ML researchers, and other experts; access the latest episode of our TechTrends podcast, and more at www.jpmorgan.com/technology. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com. ©2023 JPMorgan Chase & Co. All rights reserved. JPMorgan Chase is an Equal Opportunity Employer, including Disability/Veterans.
Why Work With Us
Our technologists work on a diverse range of solutions that include strategic technology initiatives, big data, mobile, electronic payments, machine learning, cybersecurity, enterprise cloud development, and other state-of-the-art technologies.
Gallery
