Job Description
Job summary:
At Compliance Conduct and Operational Risk division, as a trade surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the information barrier and restricted list policies. The trade surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements.
The Firm's Global Compliance Surveillance team is hiring experienced Trade Surveillance analysts. Key responsibilities and qualifications for available roles include:
Job responsibilities:
- Reviewing Trade surveillance alerts and conducting analysis of trading and market activity for asset class and programs such as Equities, Information barriers, Fixed income, Futures/ Options and Asset management
- Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately
- Working with business and compliance stakeholders to identify potential market misconduct and technical rule violations and disposition, accordingly, include through interaction with regional Surveillance teams
- Conducting alert-based reviews for potential violations of laws, rules, and regulations.
- Work along with peers, handle multiple reports, engage in result-oriented tasks in a fast-paced environment. Identifying areas for process improvement and contribute towards the same
- Additional duties as assigned & Identifying areas for process improvement and contribute towards the same
- Identify key issues, risks, trends, observations and have them highlighted to management/key stakeholders
The Team Lead will also be responsible for;
- Managing the daily volumes across queues, overseeing and implementing controls and governance framework
- Lead and manage a team of trade surveillance analysts, providing guidance, training, and support
- Developing subject matter expertise across the various reports of Surveillance across regions while having strong understanding of CIB, Asset management, Information barriers etc and ensuring the knowledge is well imparted across the teams
- Building and maintaining collaborative partnerships with Surveillance teams across regions
Required qualifications, capabilities, and skills:
- Qualified graduate with minimum 10 years of relevant experience
- Product experience with exchange traded products (including equities, futures and Fixed income) and/or information barriers / Asset management
- An understanding of markets and potential market manipulative behavior and a demonstrated ability to conduct reviews relating to regional rules and regulations
- Experience with reviewing trading activity for Compliance and familiarity with securities laws and regulations for identifying potential trading violations
Preferred Qualifications, Capabilities, and Skills:
- Experience with SMARTS, Actimize or similar Trade surveillance systems is a plus
- Experience with navigation and sourcing of information in Bloomberg/public sources
- Working Knowledge of securities markets preferred
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 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.
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.
