Join a dynamic team dedicated to innovation and excellence in risk management. As a Surveillance Associate, you'll play a pivotal role in identifying and mitigating market misconduct risks, collaborating with global and regional teams, and contributing to our commitment to Diversity, Opportunity, and Inclusion.
As a Compliance, Conduct and Operational Risk (CCOR) - Surveillance Associate within Wealth management Trade Surveillance, you will be instrumental in conducting reviews of trade surveillance alerts related to market manipulation and misconduct. You will collaborate with Line of Business Compliance, Management, and global/regional Surveillance teams to promote and enhance our global program. This role demands strong attention to detail, analytical skills, and the ability to manage multiple tasks in a fast-paced environment.
Job Responsibilities:
- Review trade surveillance alerts and analyze trading and market activity to detect and deter potential market misconduct and other manipulative behaviors.
- Escalate possible violations of rules, regulations, and procedures to management.
- Assist in the design, testing, and implementation of new alerts and enhancements.
- Conduct ad hoc and non-alert-based reviews for potential violations of policies, laws, rules, and regulations.
- Manage multiple projects in a fast-paced environment.
- Interface with compliance officers, legal, and other stakeholders to review and resolve potential compliance issues.
- Assist in establishing internal control processes and developing/updating procedures.
- General administration, reporting, and process document maintenance.
- Engage with regional LOB/Core Functional Compliance Teams, various country compliance in US and EMEA Surveillance Teams, senior business management, technology, and operations.
- Contribute to the firm’s culture and Diversity, Opportunity and Inclusion program.
Required Qualifications, Capabilities, and Skills:
- Bachelor's degree required.
- 5+ years of experience in a Control/Compliance role, in Wealth Management or Asset management.
- Knowledge of trade and communications surveillance processes and systems such as SHARP / Reliance / Connected Archive.
- Familiarity with Asset and Wealth Management investment strategies and products, including mutual funds, structured products, stocks, fixed income, and derivatives.
- Experience in reviewing alert scenario effectiveness and threshold calibration.
- Excellent analytical skills and strong attention to detail.
- Strong interpersonal, written, and oral communication skills.
- Teamwork skills; flexibility in work style and ability to collaborate with stakeholders and colleagues at all levels.
- Strong PC skills, including Microsoft Excel, SharePoint, Word, PowerPoint, and other reporting tools.
- Ability to establish credibility and strong partnerships with senior business leaders, control functions, and corporate partners globally.
- Proven ability to communicate effectively in English at all levels, both orally and in writing.
Skills Required
- Bachelor's degree
- 5+ years of experience in a Control/Compliance role in Wealth Management or Asset Management
- Knowledge of trade and communications surveillance processes and systems such as SHARP, Reliance, Connected Archive
- Familiarity with asset and wealth management investment strategies and products (mutual funds, structured products, stocks, fixed income, derivatives)
- Experience reviewing alert scenario effectiveness and threshold calibration
- Excellent analytical skills and strong attention to detail
- Strong interpersonal, written, and oral communication skills
- Teamwork skills and flexibility to collaborate with stakeholders at all levels
- Strong PC skills, including Microsoft Excel, SharePoint, Word, PowerPoint, and other reporting tools
- Ability to establish credibility and strong partnerships with senior business leaders and control functions globally
- Proven ability to communicate effectively in English, orally and in writing
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.
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Healthcare Strength — Medical, dental, vision, and mental health coverage are comprehensive, with on-site clinics, preventive care, and specialized supports such as maternity nurse guidance and fertility treatments. Wellness activities can help offset copays and out-of-pocket costs, reinforcing the perceived strength of health benefits.
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Retirement Support — A 401(k) with dollar-for-dollar matching and additional automatic pay credits reflect strong employer-backed retirement savings. An employee stock purchase plan and related financial programs further bolster long-term financial support.
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Leave & Time Off Breadth — Paid time off, sick time, holidays, and generous parental leave are provided alongside family medical leave and adoption/fertility assistance. Additional programs like caregiver support and volunteer time off expand the breadth of time-away options.
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.
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