Investigations Analyst – PAD EMEA Compliance - Personal Account Dealing Processing
Our team - Personal Account Dealing
The Personal Account Dealing Group is a global function within Employee Compliance. The team monitors employees personal trading to safeguard the firm and to prevent employees from trading on, or the appearance of trading on, material non-public information. The PAD Processing team are responsible for the on boarding of employees and conducting investigative research, with the potential for issuing violations to non-compliant activity conducted against both regulation and the firms PAD policy across all lines of business.
The PAD team is looking for an Investigations Analyst who will be responsible for the investigation of potential PAD policy violations, working closely with employees across all lines of business and local Compliance to ensure consistent application of the policy. In addition the successful applicant will be responsible for the potential issuance of violation notices for employees working in the EMEA region, as well as coordinating the effort in sync with counterparts in the other regions i.e. Americas and Asia.
· Management of individual investigation cases liaising with employees at all levels within J.P. Morgan
· Investigating potential violations and compiling case files to validate if a policy breach has occurred.
· Responsible for the issuance/tracking of violation notices to employees.
· Manage the collation, analysis and distribution of Processing Metrics / Key Performance Indicators.
· Maintaining standard operating procedures and undertaking quality controls to evidence process error rates.
· Support the creation of line of business reports, based off the PAD strategic platform
· Participate in global project initiatives, demonstrating leadership qualities and ability to work productively in a team
· Operational/Compliance remediation exercises.
· Project/Change Management Support.
· Quality focused work ethic and strong controls mind-set
· Adaptable to work in an evolving and changeable environment both independently and as part of a team.
· Able to demonstrate strong verbal and written communication skills with experience of conflict resolution
· Proactively manage and drive forward own career, identifying personal training needs for development
· Excellent documentation skills to clearly and accurately articulate case disposition
· Demonstrate skills in risk assessment and the ability to make sound decisions, including escalation when appropriate
· Ability to work effectively with key internal stakeholders to ensure all requirements are achieved
· Excellent research and analytical skills with experience in identifying trends/behaviours.
· Working knowledge of compliance policy matters and the monitoring of employees
· Understanding of investment products and the financial industry.
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