Compliance – Surveillance Lead (Equities Trade Surveillance) – Vice President

Job Summary

As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

This position will be part of the Equities Trade Surveillance team within JPMorgan's Compliance department. In this role, you will provide compliance surveillance coverage for North America and Latin America equities markets. You will be responsible for identifying and escalating instances of potential market and employee misconduct through monitoring of trading activity.

In this position you will need to possess analytic skills, ability to independently manage a caseload, and drive positive change. You need to be able to exercise sound judgment, exhibit an attention to detail, and observe the highest degree of confidentiality and accuracy in the handling of information received in the course of discharging responsibilities. The ability to take on additional responsibilities, including participating on projects in a team environment is very important as well.

Job Responsibilities

• Participating in and/or managing special projects; flexibility to adapt to changing priorities to meet business needs;
• Working with business and compliance stakeholders to review, resolve and escalate potential exceptions;
• Conducting reviews and analysis to support regulatory exams and inquiries and other requests, as needed;
• Reviewing surveillance output and conducting surveillance analysis of trading and market activity, with a focus on equities and equity derivatives;
• Working with technology stakeholders on new and enhanced surveillances – including defining requirements, conducting analysis, conducting UAT testing, and defining and implementing related processes and procedures;

Required Qualifications, Capabilities, and Skills

• Strong interpersonal, leadership, relationship skills; strong written and verbal communication skills;
• Knowledge of industry rules, regulations, and market structure;
• Relevant regulatory or broker-dealer experience such as a role in compliance, trade surveillance, or securities regulation;
• Ability to collaborate with individuals across businesses and/or functional lines;
• Bachelor’s degree or equivalent experience;
• Relevant knowledge of securities products and trading, particularly equities and equity derivative products;
• Demonstrated ability to handle multiple tasks in a fast-paced environment;

Preferred Qualifications, Capabilities, and Skills

• Proficiency in learning new computer systems;
• Experience reviewing penny stocks / low priced securities.
• Experience with surveillance tools and related platforms such as SMARTS and Bloomberg;