JPMorgan Compliance - Surveillance Lead Information Barrier 

United States, New Jersey, Jersey City 

856952285

As a Surveillance Lead Vice President within the North America Information Barrier Trade Surveillance team, you will be expected to conduct reviews of firm and employee trading activity to detect the potential misuse of material non-public information (MNPI) or other potential market conduct issues that may contravene any laws, regulations, and/or internal firm policies or procedures. You will work closely with both the Line of Business (LOB) management and Compliance stakeholders, as well as global/regional Surveillance teams. Additionally, you will be a key contributor to the advancement of our global program and its responsibilities. You will need to possess appropriate analytical skills, ability to independently manage a caseload, and observe the highest degree of confidentiality and accuracy in the handling of information received in the course of discharging responsibilities.

Job Responsibilities

• Review surveillance output and conducting surveillance analysis of trading and market activity for all types of securities (i.e., equities, options, fixed income products)
• Interact with Line of Business Compliance and other internal teams to appropriately escalate and resolve potential compliance issues
• Work with global surveillance and technology stakeholders on new and enhanced surveillances – including defining requirements, conducting analysis, conducting UAT testing, and defining and implementing related processes and procedures
• Conduct reviews and analysis to support regulatory exams and inquiries and other requests, as needed

Required qualifications, capabilities, and skills

• Bachelor’s Degree required
• Relevant knowledge of securities products and trading
• Knowledge of industry rules, regulations and market structure
• Strong written and verbal communications skills
• Strong organizational and analytical skills and attention to detail
• Demonstrated ability to handle multiple tasks in a fast-paced environment
• Strong interpersonal, leadership, and relationship skills
• Flexibility to adapt to changing priorities to meet business needs

Preferred qualifications, capabilities, and skills

• Relevant regulatory or broker-dealer experience such as a role in Compliance, Trade Surveillance, or securities regulation strongly preferred