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Corporate and Investment Bank - Compliance — Compliance Transaction Surveillance Officer, Equities and Listed Futures & Options- Associate/VP - London

Job Description


The Compliance Surveillance unit (“Surveillance”) which will eventually comprises of Transaction Surveillance team and E-Communications & Investigations teams, has been established to monitor and analyse the sales, trading, and research activities conducted by the Corporate & Investment Bank (CIB) and Global Wealth Management (GWM) for clients, market making, issuance and proprietary trading.  The Surveillance team utilise and develop 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 the LOB Compliance teams, which covers the above businesses, in providing end to end coverage and advice to business management, in conducting investigations related to market incidents and, in responding to enquiries from regulators. Members of Surveillance must have strong investigative instincts and background, understanding of markets and trading, desire to learn and, ability to clearly communicate issues with Compliance and business colleagues.  Surveillance also works closely with the London Control Room to monitor the effectiveness of the firm's Information Barriers and trading restrictions. 

Surveillance team members are aligned to certain business lines depending on their market knowledge and experience.  Specifically, this role will be part of the Equity and Listed F&O Surveillance team undertaking surveillance in relation to Equity and F&O products. The responsibilities include:

• Executing the Surveillance programme by analysing the firm's sales and trading activities against all available external market intelligence and internal information sources, and investigating any issues arising;

• Supporting special investigations into market incidents working with the relevant LOB Markets Compliance team;

• Working with Compliance Management and the respective LOB Markets Compliance Officers to expand the scope and improve the effectiveness of the current MI monitoring programme for the business lines for which one is responsible;

• Keeping up to date with the latest developments in the global financial markets, including mergers & acquisitions and capital markets activities, and secondary market trading strategies;

• Anticipating changes to the firm's sales and trading activities in response to market events or trends and executing ad-hoc reviews, in addition to the agreed programme, to mitigate against any heightened regulatory risks which may arise;

• Recommending and assisting in the implementation of system and procedural changes that would enhance the effectiveness and efficiency of the Surveillance programme;

• Evaluate the impact of new financial regulation on the firm's sales and trading activities and implement appropriate changes to the Surveillance programme;

• Evaluate the impact of new business initiatives on the firm's sales and trading activities and implement appropriate changes to the Surveillance programme;

• Working in partnership with the respective LOB Markets Compliance Officers to build a network of key front and middle office contacts across one's business line coverage;

• Sharing knowledge across Surveillance and the LOB Markets Compliance team; and

• Providing assistance to Compliance management and LOB Compliance on ad hoc projects and/or internal investigations as necessary.






• Longstanding interest in the development of global financial markets.

• Good understanding of a wide range of financial instruments.

• Deeper knowledge of specific sectors – Equity and F&O products.

• Broad knowledge of how these products are valued, the markets in which they are traded, typical trading and investor strategies.

• Good working knowledge of the applicable regulatory principles and rules, such as market abuse, best execution and information barriers.

• An investigative instinct and an analytical mindset are absolutely essential.

• 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.) good oral and written communication skills; and (vi.) intermediate to advanced Microsoft Excel skills.

• Experience in the development and implementation of system enhancements would be an advantage.

The successful candidate is likely to have proven experience working as a regulatory/exchange enforcement officer or in a role in audit, risk management, compliance or similar function.

About J.P. Morgan’s Corporate & Investment Bank
J.P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With $18 trillion of assets under custody and $393 billion in deposits, the Corporate & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.  Further information about J.P. Morgan is available at
JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer.


Req #: 160033204
Location: London, ENG GB
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 3500 Pound Sterling (GBP)

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