Corporate - Compliance - Asset & Wealth Management and Information Barriers Trade Surveillance - Associate

Location:Greater London
Job Type:Full Time


The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities, as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications. Surveillance utilises and develops electronic tools and integrative techniques to detect potential and/or actual violations of firm policy and legal/regulatory requirements. Surveillance works in close partnership with various Compliance teams and groups across the Firm.

Surveillance team members are aligned to certain business lines. Specifically, this role will be part of the Asset & Wealth Management and Information Barriers Surveillance team.

Responsibilities include but are not limited to:

  • Daily trade surveillance alert reviews.
  • Detailed analysis of trading activity and related e-communications where required, as part of alert reviews and ad hoc reviews
  • Involvement in various projects, including the development and testing of new and enhanced surveillance models;
  • Engagement with business and business aligned compliance teams;

Skills, attributes and experience required:
  • Strong desire to work in a Surveillance team with good investigative instincts and background;
  • An understanding of markets and trading (including investor strategies; electronic and algorithmic trading)
  • Broad knowledge of how products are valued and the markets in which they are traded
  • Experience in review of alert scenario effectiveness and threshold calibration;
  • Ability to effectively partner with technology and experience in Agile software development;
  • A desire to learn and the ability to clearly communicate issues with Compliance and business colleagues;
  • Deeper knowledge of specific sectors – Information Barriers and/or Asset & Wealth Management
  • Good working knowledge of the applicable UK/EU and other EMEA jurisdiction regulatory principles and rules;
  • The candidate must possess: (i.) initiative and judgement; (ii.) the ability to prioritise conflicting demands, organise one's agenda and work under pressure; (iii.) the relationship management skills to deal with management and build partnerships with other departments; (iv.) the ability to work in teams and the readiness to share knowledge; (v.) strong oral and written communication skills; and (vi.) intermediate to advanced Microsoft Excel skills;
  • Non-English language skills would be desirable but not essential.

About J.P. Morgan Chase & Co:

J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its JPMorgan and Chase, and WaMu brands.

“JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer and a member of the UK Government’s Disability Confident Scheme.”

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