Compliance - Surveillance Lead (Surveillance Investigative Unit) - Vice President

Job Description

Bring your Expertise to JPMorganChase. As part of Risk Management and Compliance, you are at the center of keeping JPMorganChase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Surveillance Lead Vice President in the Compliance, Conduct and Operational Risk (CCOR) team, you are part of the investigations team within the surveillance group responsible for investigating potential violations of securities regulations and laws. You focus on securities fraud, insider trading, market manipulation, and other impermissible trading activities, and you help determine whether to file suspicious activity reports. You draft case memoranda and SAR narratives, prepare required forms, and partner across the firm to drive sound outcomes. You help us protect the firm by applying rigorous analysis, sound judgment, and the highest standards of confidentiality and accuracy.

Job responsibilities:

• Conduct thorough analysis and investigations of potentially suspicious activity related to money laundering and terrorist financing, focusing on insider trading, market manipulation, and low-priced securities and penny stock fraud
• Apply analytical skills to determine whether certain activities warrant filing a suspicious activity report
• Draft comprehensive case memoranda and SAR narratives that clearly articulate findings and rationale
• Prepare SAR forms in accordance with regulatory requirements and internal procedures
• Interact with other business groups across the firm to support investigations
• Independently manage a diverse caseload with strong organization and the ability to drive positive outcomes
• Maintain the highest standards of confidentiality, accuracy, and attention to detail when handling sensitive information
• Collaborate with team members and participate in ad-hoc projects or initiatives to support departmental objectives

Required qualifications, capabilities, and skills:

• Bachelor’s degree or equivalent experience
• Relevant regulatory or broker-dealer experience, such as a role in compliance, trade surveillance, or securities regulation
• Working knowledge of U.S. securities laws, particularly the Securities Act of 1933, the Securities Exchange Act of 1934, and applicable FINRA and self-regulatory organization rules
• Familiarity with the U.S.A. PATRIOT Act, Bank Secrecy Act, OFAC, and other anti-money laundering regulatory policies
• Experience monitoring, investigating, and reporting suspicious activity related to money laundering and terrorist financing, with a focus on insider trading, market manipulation, and low-priced securities and penny stock fraud
• Ability to collaborate with individuals across business and functional lines
• Strong interpersonal, leadership, and relationship skills
• Strong written and verbal communication skills
• Ability to participate in or manage special projects, with flexibility to adapt to changing priorities

Preferred qualifications, capabilities, and skills:

• Juris Doctor strongly preferred
• Proficiency in learning new computer systems

About Us

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process. 

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our  FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans

About the Team

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.