Compliance-Surveillance-Senior-Officer - Associate

Job Description

Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using expert judgment 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 Officer Senior Associate supporting the Compliance Conduct and Operational Risk (CCOR) organization, you will play a crucial role in Risk Management by conducting reviews of trade surveillance alerts related to Market Manipulation and Misconduct, Sales Practice, and Customer Suitability risks. You will work closely with Line of Business Compliance and Line of Business Management, as well as global/regional Surveillance teams, to promote our global program and its responsibilities. You will need a strong attention to detail, excellent analytical skills, and the ability to handle multiple tasks in a fast-paced environment.   The role emphasizes a culture of innovation and excellence, aiming to enhance your ability to manage risks effectively.

Job Responsibilities

• Review Trade Surveillance alerts seeking to identify risks related to Market Misconduct, Sales Practice, and Customer Suitability
• Perform thorough investigations and identify possible violations of rules, regulations, and procedures
• Collaborate with stakeholders from other areas of the firm to enhance the Surveillance program
• Interact with Line of Business Compliance and LOB Management to appropriately escalate potential issues
• Work with global Surveillance and Technology stakeholders on new and enhanced surveillances including defining requirements, conducting analysis and UAT testing, and implementing related processes and procedures
• Contribute to the firm’s culture and Diversity, Opportunity, and Inclusion program

Required qualifications, capabilities, and skills

• 3+ years of professional experience related to risk management, financial services, compliance or legal
• Bachelor’s Degree or equivalent experience
• Familiarity with Wealth Management investment strategies and products including Mutual Funds, Structured Products, Equities, Options and Investment Advisory Platforms
• Strong written and verbal communication skills
• Excellent organizational and project management skills; able to manage competing priorities under tight deadlines
• Proven ability to collaborate and build strong partnerships
• Intellectual curiosity with a proven ability to learn quickly
• Investigative instincts and background in escalating risks
• High degree of initiative, self-direction, and ability to work well under pressure
• Flexible and able to handle multiple tasks and a changing environment
• Independent decision-making skills

Preferred qualifications, capabilities and skills

• Prior financial services experience in Trade Surveillance or other Compliance function
• FINRA General Securities licenses such as Series 7, Series 24, Series 9 or 10 considered

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.