JPMorgan Finance & Business Management Senior Associate 

United States, Texas, Plano 

686474185

Job summary:

At Compliance Conduct and Operational Risk division, as a E-Communication surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the policies. The E-Communication surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements.

Job responsibilities

• Review applicable communications surveillance alerts and communications subject to first-level review and identify unusual activity and potential compliance issues
• Working with business and compliance stakeholders to identify potential market misconduct and escalate potential compliance issues
• Conducting alert-based reviews for potential violations of laws, rules, and regulations.
• Work along with peers, handle multiple reports, engage in result-oriented tasks in a fast-paced environment
• Identifying areas for process improvement and contribute towards the same
• Additional duties as assigned & Identifying areas for process improvement and contribute towards the same
• Identify key issues, risks, trends, observations and have them highlighted to management/key stakeholders
• Proactive, possessing a sense of ownership and accountability in following through on existing issues and cases

Required qualifications, capabilities, and skills:

• Bachelor's Degree or equivalent experience
• Prior E-Communication/trade surveillance experience with minimum 5 years of overall experience
• Product experience with financial products (including equities, futures and Fixed income) and/or information barriers / Asset management
• An understanding of markets and potential market manipulative behavior and a demonstrated ability to conduct reviews relating to regional rules and regulations
• Strong written and verbal communication skills
• Strong organizational and analytical abilities and attention to detail
• Demonstrated ability to handle multiple tasks in a fast-paced environment
• Ability to be flexible and adaptable to dynamically changing work processes and environment.
• High level attention to detail and capable of executing a range of relatively complex task and analysis.
• Experience with Smarsh Connected Archive, NICE VOISS or similar surveillance systems is a plus