JP Morgan Chase & Co.

Compliance - Surveillance Senior Officer - Associate

JP Morgan Chase & Co. • $90K — $130K *
Jersey City, NJ 07305In-Person
Finance & Insurance
Less than 5 years of experience
1 week ago
Job Overview by Ladders

Qualifications

  • 3+ years in risk management, compliance or legal in financial services
  • Bachelor's Degree or equivalent experience
  • Understanding of Wealth Management investment strategies and products
  • Strong written and verbal communication skills
  • Excellent organizational and project management abilities
  • Proven collaboration skills and ability to build partnerships
  • High level of initiative and self-direction

Responsibilities

  • Review trade surveillance alerts for market manipulation and misconduct risks
  • Conduct thorough investigations on potential regulatory violations
  • Collaborate with various stakeholders to improve the surveillance program
  • Engage with Line of Business Compliance to escalate issues
  • Work with technology teams on enhancing surveillance capabilities
  • Contribute to the firm's culture of diversity, opportunity, and inclusion

Benefits

  • Opportunity for professional development within a global compliance program
  • Ability to work in a fast-paced, innovative environment
  • Engagement with a diverse team across multiple business lines
  • Participation in a culture that prioritizes risk management and compliance
  • Access to resources for continuous learning and growth
Full Job Description
Job Description

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 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.

About JP Morgan Chase & Co.

JP Morgan Chase & Co. stands at the forefront of the global financial services industry. They offer an expansive array of products and services to a diverse clientele, including individuals, corporations, governments, and institutions. Ever since the merger of J.P. Morgan & Co. and Chase Manhattan Corporation in 2000, this industry-leading entity has become renowned for its comprehensive portfolio encompassing consumer and community banking, corporate and investment banking, commercial banking, as well as asset and wealth management. Headquartered in the vibrant city of New York, JP Morgan Chase & Co. boasts a formidable presence across over 100 countries worldwide.

Unveiling Employment Opportunities at JP Morgan Chase & Co.

Vacancies and Hiring Initiatives

JP Morgan Chase & Co. is continuously on the lookout for talented individuals eager to contribute to its legacy of excellence. The company's recruitment efforts are geared towards identifying candidates with the right blend of skills and qualifications to drive forward its various business segments. Whether you are a seasoned professional or a recent graduate, JP Morgan Chase offers a plethora of job openings across multiple disciplines.

High-Demand Positions

Among the myriad of roles, certain positions stand out for their attractive compensation packages and career advancement prospects. Notably, high-paying jobs at JP Morgan Chase & Co. include Relationship Manager, Branch Manager, and Software Engineer. These roles are critical to the firm's operations and offer lucrative opportunities for those with the requisite expertise.

Navigating the Job Market at JP Morgan Chase & Co.

Leveraging Job Portals and Job Alerts

For job seekers aiming to tap into the opportunities at JP Morgan Chase, staying updated through job portals and subscribing to job alerts is crucial. These tools can provide timely information about job openings, job fairs, and recruitment events, enabling candidates to apply promptly and prepare adequately for interviews.

Preparing Your Job Application

Your job application, comprising your resume and cover letter, is your ticket to securing an interview at JP Morgan Chase. Highlight your qualifications, skills, and experiences that align with the job listing, ensuring you stand out in the competitive job market.

Acing the Interview

Preparation is key to succeeding in your interview with JP Morgan Chase. Familiarize yourself with the company's business segments, values, and recent achievements. Demonstrating how your background and aspirations match the company's goals can significantly increase your chances of employment. A World of Job Opportunites in the Financial Services Industry JP Morgan Chase & Co. offers a world of job opportunities for those seeking to make their mark in the financial services industry. With competitive salaries, comprehensive benefits, and endless possibilities for growth, positions at JP Morgan Chase are highly coveted. By staying informed through job sites, tailoring your applications, and preparing thoroughly for interviews, you can enhance your prospects of joining the esteemed ranks of JP Morgan Chase employees. Explore the job board, seize the job opportunities, and embark on a rewarding career journey with one of the world's leading financial institutions.
Learn more about JP Morgan Chase & Co.
Size
661 employees
Market Cap
$384.5 billion
Industry
Finance & Insurance
Net Income
$29.1 billion
Founded
1823
5 Year Trend
+0.7%
Revenue
$261.5 million
NASDAQ
CCF
* Ladders Estimates

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