JPMorgan Compliance Surveillance Associate Hong Kong 

China, Hong Kong, Hong Kong Island 

560492675

As an associate in Communication Surveillance team, you will be utilizing the surveillance tools to conduct communication review. You will be empowered (within the boundaries of a case officer) to exercise sound business judgments and take ownership to ensure escalation cases are adequately managed in accordance with the operational level of agreement. This is an opportunity to forge professional relationships with various stakeholders and further develop knowledge on various products such as Equities, Futures & Options, Fixed Income, Commodities, FX offered by JPMorgan Chase. The surveillance service footprint in Asia Pacific includes, but not limited to Australia, Hong Kong, India, Japan and Singapore.

Job responsibilities:

• Conducting lexicon-based reviews, targeted reviews and ad hoc reviews of employee e-communications
• Reviewing and analyzing e-communications and voice recordings to identify potential issues relating to market conduct risks, reputational risks, or other compliance risks
• Interfacing with compliance officers, legal, and other stakeholders to review and resolve potential compliance issues
• Developing and enhancing surveillance review processes and procedures
• Referring or escalating any unusual or suspicious cases (in consultation with the Team and Team Manager) during the course of alert reviews to the relevant LOB / Country Compliance officers and/or other counterparties in accordance with the defined operational process
• Ensuring escalated cases are followed up and documentations are updated in our case register in a timely manner
• Participating in market conduct related investigations
• Attending meetings and presenting escalated cases as required
• Assisting in establishing internal control processes and developing/updating procedures
• Reporting, General Admin and Process Document Maintenance

Required qualifications, capabilities, and skills:

• Bachelor's Degree in finance or a related field is required
• A minimum of 3 years of Compliance, Surveillance, Legal or Risk related experience in a financial services environment
• Strong written communication and verbal communication skills
• Excellent analytical skills and strong attention to detail
• Demonstrated ability to handle multiple tasks in a fast-paced environment
• Proficiency in the MS Office suite of applications
• Appreciation of risk and escalation and the need for timely and accurate investigations/alert closure
• Good understanding of market abuse and best practice scenarios
• Proven knowledge of investment bank operating model
• Effective analytical skills and the ability to manage several simultaneous tasks
• A self-motivated fast learner with the ability to work independently
• An effective team player and able to engage people across all corporate hierarchies
• Flexible and adaptable to dynamically changing work processes and environment
• Adaptability to work under time pressure and resiliency to provide stable and consistent performance

Preferred qualifications, capabilities, and skills:

• Experience with e-discovery or e-communications surveillance tools (SMARSH Connected Archive, NICE Actimize VOISS)
• Competent in non-English languages is an advantage e.g. Korean, Mandarin due to working with clients across Asia Pacific
• Understanding of trading jargon and market commentary/color to complement Ecom surveillance