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.
· 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
Please note that J.P. Morgan will not accept unsolicited approaches or speculative CVs, nor will J.P. Morgan be responsible for any related fees, from Third Party Firms who are not preferred suppliers.
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