What are the responsibilities and job description for the Compliance - Surveillance Lead - Vice President position at JPMorganChase?
Bring your expertise to 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.
As a Surveillance Lead supporting the Compliance, Conduct and Operational Risk (CCOR) organization, you will work on daily reviews of alerted communications to identify potential issues and escalate such issues as applicable. You will leverage your knowledge of financial services and/or legal/regulatory background to find potential market conduct risks, reputational risks, or other compliances risks. You will need to be intellectually curious and have a passion for connecting the dots to possess the preferred skillset for this role. JP Morgan’s global surveillance program monitors electronic written and voice communications to detect various forms of market misconduct or other potential conduct issues.
Job responsibilities
- Conduct lexicon-based reviews, certain targeted reviews, and ad hoc reviews of employee electronic communications (e.g. emails, Bloomberg chats, etc.) and voice communications
- Review and analyze communications and related information to identify potential compliance issues relating to market conduct risks, reputational risks, or other compliance risks
- Interact with Line of Business Compliance and other internal teams to appropriately escalate potential compliance issues
- Develop and enhance surveillance review processes and procedures
Required qualifications, capabilities, and skills
- Bachelor's Degree
- Minimum 3 years of Compliance, Surveillance or Risk related experience in a financial services environment or similar legal/regulatory experience
- Strong written communication, verbal communication, and presentation skills
- Excellent analytical skills and strong attention to detail
- Investigative instincts and background/experience in reviewing communications
- Strong knowledge of financial markets and products including terminology
- Demonstrated ability to handle multiple tasks in a fast-paced environment
- Ability to effectively partner with key stakeholders and technology partners
- Fluency in Spanish and Portuguese
Preferred qualifications, capabilities, and skills
- Juris Doctor (JD) degree
- Experience with communications surveillance tools (Connected Archive), Actimize Case Manager, Excel, and SharePoint a plus
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans
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