Compliance – Surveillance Lead (Surveillance Investigative Unit) – Vice President

JPMorganChase • Jersey City, NJ

12d

About The Position

As a Surveillance Lead Vice President within JPMorgan Chase’s Compliance, Conduct and Operational Risk (CCOR) organization, you will join the investigations team in the Compliance surveillance group. The team investigates potential violations of securities regulations and laws, particularly securities fraud, insider trading, and manipulative trading activities. The role also contributes to decisions about whether to file suspicious activity reports (SARs), and to preparing SAR narratives and forms.

You will investigate potentially suspicious activity related to money laundering and terrorist financing, analyze cases, and document findings and rationale. The position requires managing a diverse caseload independently, collaborating with internal business groups and colleagues, and supporting departmental projects while maintaining confidentiality, accuracy, and attention to detail.

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, with a focus on insider trading, market manipulation, and low-priced securities/penny stock fraud.
• Ability to collaborate with individuals across business and/or functional lines.
• Strong interpersonal, leadership, and relationship skills, along with strong written and verbal communication skills.
• Flexibility to adapt to changing priorities to meet business needs.
• Bachelor’s degree or equivalent experience.

Nice To Haves

• Juris Doctor (JD) strongly preferred.
• Proficiency in learning new computer systems.

Responsibilities

• Analyze and investigate potentially suspicious activity related to money laundering and terrorist financing, focusing primarily on insider trading, market manipulation, low-priced securities and penny stock fraud, and other securities-law violations.
• Assess whether activities 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 Chase.
• Independently manage a diverse caseload and drive 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior