What are the responsibilities and job description for the Compliance – Surveillance Lead (Wealth Management Trade Surveillance) – Vice President position at JPMorgan Chase?
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.
Job Summary:
As a Compliance, Conduct and Operational Risk (CCOR) - Surveillance Lead (Wealth Management Trade Surveillance) – Vice President, you will play a crucial role in Risk Management by conducting reviews of trade surveillance alerts related to Market Manipulation and Misconduct, Sales Practice, and Customer Suitability risks. You will work closely with Line of Business Compliance and Line of Business Management, as well as global/regional Surveillance teams, to promote our global program and its responsibilities. This role requires a strong attention to detail, excellent analytical skills, and the ability to handle multiple tasks in a fast-paced environment. The role emphasizes a culture of innovation and excellence, aiming to enhance the firm’s ability to manage risks effectively.
Job Responsibilities:
- Review Trade Surveillance alerts seeking to identify risks related to Market Misconduct, Sales Practice, and Customer Suitability
- Perform thorough investigations and identify possible violations of rules, regulations, and procedures
- Collaborate with stakeholders from other areas of the firm to enhance the Surveillance program
- Interact with Line of Business Compliance and LOB Management to appropriately escalate potential issues
- Work with global Surveillance and Technology stakeholders on new and enhanced surveillances including defining requirements, conducting analysis and UAT testing, and implementing related processes and procedures
- Contribute to the firm’s culture and Diversity, Equity, and Inclusion program
Required qualifications, capabilities, and skills:
- Minimum 3 years of professional experience related to risk management, financial services, compliance or legal
- Bachelor’s Degree or equivalent experience
- Familiarity with Wealth Management investment strategies and products including Mutual Funds, Structured Products, Equities, Options and Investment Advisory Platforms
- Strong written and verbal communication skills
- Excellent organizational and project management skills; able to manage competing priorities under tight deadlines
- Proven ability to collaborate and build strong partnerships
- Intellectual curiosity with a proven ability to learn quickly
- Investigative instincts and background in escalating risks
- High degree of initiative, self-direction, and ability to work well under pressure
- Flexible and able to handle multiple tasks and a changing environment
- Independent decision-making skills
Preferred qualifications, capabilities, and skills:
- Prior financial services experience in Trade Surveillance or other Compliance function
- FINRA General Securities licenses such as Series 7, Series 24, Series 9 or 10 considered
