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Corporate Compliance - Associate, Retail Compliance Surveillance - Jersey City

Job Description

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. 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.
 
This role is for a surveillance analyst on the North America Surveillance team within Retail Surveillance. The Retail Surveillance group is part of the Compliance unit of the Investment Bank. Key functions of this role include:
 
  • Reviewing and analyzing daily surveillance output to identify potential compliance issues
  • Interfacing with the local Supervisory Managers and compliance officers to review and resolve potential compliance issues
  • Identifying potential enhancements to surveillance logic, reports, and workflow through data analysis,
  • Reviewing client accounts for suitability requirements
  • Working with global surveillance colleagues, surveillance technology, and project managers to define requirements and conduct UAT testing
  • Defining new and enhanced workflow processes and procedures
  • Determining how new rules, regulations, and policies impact surveillance
Qualifications
 
  • Bachelor's Degree or equivalent experience
  • 3+ years of compliance, regulatory or other financial industry experience
  • Knowledge of industry rules and  regulations, including Fed, SEC, FINRA, and MSRB
  • Strong analytical and technical skills
  • Strong organizational skills and attention to detail
  • Strong written and verbal communication skills
  • Surveillance expertise is a plus
 
 
 
Req #: 160000224
Location: Jersey City, NJ US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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