Corporate - Compliance - Equities Trade Surveillance - Vice President/Associate - London

Location:Greater London
Job Type:Full Time
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Corporate – Compliance – Equities Trade Surveillance – VP/Associate – London


The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities conducted by the Corporate Investment Bank 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 Equities Trade Surveillance team.

Responsibilities include but are not limited to:

  • Daily

trade surveillance alert reviews covering equities and equity derivatives


  • Detailed

analysis of trading activity (including, orders, RFQs, and trades) and related

e-communications where required, as part of alert reviews and ad hoc


  • Involvement

in projects as required, including the development and testing of new and

enhanced surveillances


Skills, attributes and experience required:

  • Strong

understanding of equities products (equities and equity derivatives), markets and trading (including investor

strategies; electronic and algorithmic trading)

  • Demonstrated

experience in collaboration and coordination with surveillance, line of

business compliance officers and country compliance officers, front

office, and other colleagues

  • Knowledge

of applicable UK/EU and other EMEA jurisdiction regulatory principles and


  • Strong

analytical and Excel skills, investigative and learning mindset, and

attention to detail

  • Strong

verbal and written communication skills

  • Demonstrated

ability to prioritise conflicting demands and proactively manage time and

work effort

  • Experience

with SMARTS and Bloomberg preferred

  • Experience

in the development and implementation of system enhancements would be an


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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