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Corporate - Compliance - E-communications Surveillance Officer, Equities and F&O - Associate - London

Job Description



JPMorgan is a leading global financial services firm with operations in more than 50 countries. The firm is an established leader in investment banking; financial services for consumers and businesses, financial transaction processing, asset and wealth management, and private equity.
 The EMEA Corporate & Investment Bank ("CIB") Compliance Department supports the group's investment banking and TSS operations in the EMEA region.  The department is responsible for: (i) interpreting and advising on financial regulations and/or internal Compliance policies; (ii) development of appropriate Compliance policies and procedures; (iii) providing staff training; (iv) monitoring and analysing business activities; and (v) interfacing with regulators.
The EMEA CIB Compliance Surveillance unit (“Surveillance”) monitors and analyses the sales and trading activities conducted by the investment bank for clients, market making, issuance and proprietary trading as well as to undertake surveillance of electronic  communications (e.g. e-mail, Bloomberg communications, etc.) and telephone communication monitoring.  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 the LOB Markets Compliance team, 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. 
Within the EMEA Compliance Surveillance team, E-Surveillance is dedicated to the review of electronic communications (e.g. e-mail, Bloomberg communications, etc.) and telephone communication.  
Surveillance team members are aligned to certain business lines depending on their market knowledge and experience.  Specifically, this role will be part of the Equities and F&O Surveillance team. The responsibilities include (but are not limited to):
Targeted reviews of employee:
• Voice tapes
• E-mails
• Bloomberg
• Other electronic communications
  • Longstanding interest in the development of global financial markets.
  • Good understanding of a wide range of financial instruments.
  • Deeper knowledge of specific sectors – Equities and F&O.
  • 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 mind set 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.
JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer.
Req #: 160023561
Location: London, ENG GB
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 3500 Pound Sterling (GBP)

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