Compliance – Surveillance Lead (Surveillance Investigative Unit) – Vice President
About The Position
As a Surveillance Lead Vice President within JPMorgan Chase’s Compliance, Conduct and Operational Risk organization, you will join the investigations team within the surveillance group. The team investigates potential violations of securities regulations and laws, including securities fraud, insider trading, and manipulative trading activities. The role also contributes to decisions about whether to file suspicious activity reports (SARs) and prepares SAR narratives and forms. The position involves analyzing potentially suspicious activity related to money laundering and terrorist financing, managing an independent caseload, and working with other JPMorgan business groups and colleagues. You will help the firm anticipate and manage emerging risks while maintaining confidentiality, accuracy, and high standards of judgment.
Requirements
- Relevant regulatory or broker-dealer experience, such as 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/SRO rules.
- Familiarity with the U.S.A. PATRIOT Act, Bank Secrecy Act, OFAC, and other AML regulatory policies.
- Experience monitoring, investigating, and reporting suspicious activity related to money laundering and terrorist financing, particularly insider trading, market manipulation, and low-priced securities/penny-stock fraud.
- Ability to collaborate across business and functional lines.
- Strong interpersonal, leadership, and relationship skills, and strong written and verbal communication skills.
- Bachelor’s degree or equivalent experience.
Nice To Haves
- Juris Doctor (JD) strongly preferred.
- Proficiency in learning new computer systems.
Responsibilities
- Investigate potentially suspicious activity related to money laundering and terrorist financing, focusing on insider trading, market manipulation, low-priced securities and penny-stock fraud, and other securities-law violations.
- Analyze activities and determine whether they warrant filing a suspicious activity report (SAR).
- Draft comprehensive case memoranda and SAR narratives that explain findings and rationale.
- Prepare SAR forms in accordance with regulatory requirements and internal procedures.
- Interact with other business groups within JPMorgan.
- Independently manage a diverse caseload, applying strong organizational skills and driving positive outcomes.
- Maintain confidentiality, accuracy, and attention to detail when handling sensitive information.
- Collaborate with team members and participate in ad hoc projects or initiatives supporting departmental objectives.
- Participate in and/or manage special projects and adapt to changing priorities to meet business needs.
Benefits
- Competitive total rewards package, with base salary determined by role, experience, skill set, and location.
- Eligible roles may receive commission-based pay and/or discretionary incentive compensation in cash and/or forfeitable equity.
- Comprehensive health care coverage.
- On-site health and wellness centers.
- Retirement savings plan.
- Backup childcare.
- Tuition reimbursement.
- Mental health support.
- Financial coaching.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
