Corporate - EMEA Compliance - Compliance Data Management – Trade Surveillance - Associate - J.P. Morgan - Bournemouth - Wizbii

Corporate - EMEA Compliance - Compliance Data Management – Trade Surveillance - Associate

  • By J.P. Morgan
  • Bournemouth (United Kingdom)
  • Information systems
2018-07-03T09:29:53+0000

Job description

JP Morgan Chase
 
JPMorgan Chase & Co. is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at http://www.jpmorganchase.com/ .
 
Our Compliance Function
With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face.  The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.

Overview:
 
The Compliance Data Management (CDM) team is responsible for ensuring the highest quality of data for use in Corporate Compliance Reporting, Surveillance and Monitoring. This is achieved through the monitoring and validation of data received into Compliance to identify data quality issues, complete impact assessment and remediate through the Defect Governance framework.

The team supports its Compliance and Advisory partners across multiple functions: Trade Surveillance & Employee Personal Account Dealing focusing on the prevention of manipulative or illegal trading practices, Client List Screening focusing on Office of Foreign Assets Control (OFAC) Sanctions & Know Your Customer (KYC) programs and AML Transaction Monitoring (TM&I, focusing on the detection, investigation and reporting of suspected money laundering and terrorist financing.

CDMalso manages the ComplianceChief Data Office (CDO) responsibilities, ensuring data issues are reported and tracked in accordance with the Firmwide Data Office Policy,partnering to help influence Firmwide policy and/or best practice and drive consumer data standards across all Lines of Business. CDM is responsible for program managing projects/initiatives that focus on improving operational efficiencies and controls across CDM organization and stakeholder groups.

The CDM team partner globally with the following groups in support of these functions:
·  Back Office & Middle Office Lines of Business Operations teams.
·  Lines of Business & Compliance Technology groups (Operate and AD).
·  Global Compliance teams & Project Management Office.
·  Reference Data Teams (Security, Client and Pricing data etc.)
·  Firmwide Data Management

Key Responsibilities:
·  Monitor delivery and completeness of feed/files into and through the Compliance system architecture and escalate delays to the appropriate stakeholders
·  Perform data analysis to identify data issues and their impact to Compliance.
·  Participate in weekly Working Groups to triage new data quality issues, assign & manage the severity,  and review closures of issues, with input from Compliance, Compliance PMO, Compliance Technology and Data Management Technology.
·  Manage data issues throughout the Firm-wide Data life cycle, partnering by effectively collaborating with functional leads from Lines of Business, Technology, Operations and Compliance to document data issues, root cause and communicate remediation plans.
·  Collaborate effectively with regional and global CDM colleagues to complete ad hoc projects and initiatives.
·  Compile and socialize weekly metrics.
·  Update and maintain procedure documentation and process flows.

Support UAT testing, review test scripts, and create business requirement documentation (BRDs).

Qualifications  
·  Experience in an Operations, Middle Office, or Compliance environment (preferably with a focus on ensuring data quality).
·  Previous  experience in financial services industry
·  Experience in defining/documenting new processes ensuring appropriate Controls framework
·  Experience in an end to end exception management process; preferably in resolving data quality issues
·  Experience leading a team/working groups and managing stakeholders
·  Effective analytical, problem solving and decision-making skills.
·  Excellent verbal and written communication, influencing and relationship building skills.
·  Able to multi-task and meet deadlines while maintaining quality output
·  Highly disciplined individual, self-motivated, and delivery focused
·  Knowledge of trade surveillance programs and practices advantageous
·  Knowledge of the markets business and product booking models/lifecycles –  Fixed Income, Swaps, Equities, Futures & Options and Commodities advantageous    

Tools
·  Strong Microsoft Office skills with proficiency in Excel, Word, PowerPoint & Visio
·  Business Objects / SQL experience. Qlikview reporting
·  Data Quality Management (Firm-Wide Data Tool)
·  Application Lifecycle Management (ALM)
·  Risk Management Systems/Booking systems Athena FX, Athena Commodities, Athena Credit, Kapital, Pyramid & DCPP)
About J.P. Morgan Chase & Co:  

J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion.  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. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its JPMorgan and Chase, and WaMu brands.
 
J.P. Morgan offers an exceptional benefits program and a highly competitive compensation package. J.P. Morgan is an Equal Opportunity Employer
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