Corporate – Compliance - E-communications Surveillance – Associate/Snr Associate – London
The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities conducted by the Corporate Investment Bank as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications. 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 various Compliance teams and groups across the Firm.
Responsibilities include but are not limited to:
· Daily reviews of surveillance e-Communication alerts and Information Barrier surveillance reports
· Targeted reviews of trading activity, electronic communications and voice tapes
· Involvement in various projects, initiatives and tasks.
· Undertake surveillance of employee, firm and client trading in companies listed on the firms Watch list and Restricted list
· Liaising with the Business and other Compliance teams to resolve complex compliance issues and respond to ad-hoc requests/inquiries.
· Assist in the creation and maintenance of policies and procedures for the Information Barriers Surveillance Team
Skills, attributes and experience required:
· Desire to work in a Surveillance team and a longstanding interest in the development of global financial markets
· Strong analytical skills, investigative instincts and background
· Good knowledge of Information Barriers/Handling of material non-public information; Anti-trust/Competition issues; Manipulation; Front running; Misuse of client confidential information; Spreading of false/misleading information etc.
· Experience in the development and implementation of system enhancements would be an advantage
· Cross-asset class knowledge desirable
· Knowledge of industry rules including, but not limited to UK FCA rules, is important.
· Excellent ability to clearly communicate issues with Compliance and business colleagues is essential.
· Non-English language skills would be useful.
· A desire to learn
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.
“JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer and a member of the UK Government’s Disability Confident Scheme.”