Bulge Bracket Investment Banks

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**Compliance - Surveillance Senior Officer - Associate** - **Role:** Review trade surveillance alerts for Market Misconduct, Sales Practice, and Customer Suitability risks. - **Responsibilities:** Investigate alerts, collaborate with stakeholders, enhance surveillance programs, manage risks effectively. - **Skills & Experience:** 3+ years in risk management, financial services or compliance. Familiarity with wealth management investment strategies. Strong written/verbal communication, organizational, project management, and partnership skills. Investigative instincts, ability to work under pressure, and adapt to changing environments. - **Location:** Jersey City, NJ, USA

Compensation: Not specified
City: Jersey City
Country: United States

Full Job Description

Location: Jersey City, NJ, United States

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 expert judgment 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 Officer Senior Associate supporting the Compliance Conduct and Operational Risk (CCOR) organization, 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. You will need 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 your 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 firms culture and Diversity, Opportunity, and Inclusion program

Required qualifications, capabilities, and skills

3+ years of professional experience related to risk management, financial services, compliance or legal

Bachelors 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

Exciting role for a Surveillance Officer Senior Associate supporting the Compliance Conduct and Operational Risk (CCOR) organization.

Full Job Description

Location: Jersey City, NJ, United States

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

Contribute to the firms culture and Diversity, Opportunity, and Inclusion program

Required qualifications, capabilities, and skills

3+ years of professional experience related to risk management, financial services, compliance or legal

Bachelors 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

Exciting role for a Surveillance Officer Senior Associate supporting the Compliance Conduct and Operational Risk (CCOR) organization.

Compliance - Surveillance Senior Officer - Associate

Full Job Description

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Full Job Description

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