Compliance-Surveillance-Senior-Officer - Associate

JPMorgan Chase & Co.•Jersey City, NJ

1d•$91,200 - $141,000

About The Position

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 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.

Requirements

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

Nice To Haves

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

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