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Compliance Manager - Institutional Equities Surveillance Analyst - VP - 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.

The Institutional Equities Surveillance group is part of the Compliance unit of the Investment Bank.  The group is responsible to perform surveillance of trading activities for the assigned business and/or set of products.



·         Review daily equity exception reports generated by the surveillance systems.  Determine items which require follow-up and bring them to resolution.

·         Work with the equity trading desk and compliance officers to resolve compliance issues.

·         Participate in regular business discussions and meetings as necessary to identify new/changed business activities which require surveillance.

·         Evaluate how new rules or regulations affect supervisory oversight and/or surveillance activities. 

·         Resolve/respond to inquiries that are elevated by the Compliance Services area.

·         Take on additional tasks as required. 

To be considered for the position you will need to have:
  Bachelors' degree or equivalent experience.

·         7+ years' Surveillance/Compliance experience within a financial services/securities environment and/or Sales/Trading experience.

·         Excellent analytical skills.

·         Excellent verbal and written communications skills.

·         Series 4, 7 and 24 preferred but not required

Req #: 160041834
Location: Jersey City, NJ US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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