Compliance Manager - Retail Trading Desk Surveillance
JPMorgan Chase 9,848 reviews - Jersey City, NJ

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Job Description

JPMorgan Chase & Co.

(NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.

Review transactional surveillance reports as they pertain to the trade desk for Global Wealth Management.

Perform thorough research of surveillance exceptions and investigate all potential violations.

Escalate appropriate concerns to advisory compliance team and senior management.

Enhance surveillance program by developing new exception reports for the trading desk and its products.

Foster a strong working relationship with trading desk personnel and coverage compliance officers.

Ability to multi task and work well under pressure in a fast paced environment.

Work and assist on special projects pursuant to requests from senior management.


Bachelors’ degree or equivalent experience.

5+ years’ experience in the securities industry, preferably on a trading desk or middle office trade support.

Bloomberg familiarity preferred.

Strong product knowledge in Fixed Income including Cash and Derivatives.

Knowledge of Foreign Exchange a plus.

  • Excellent analytical skills.
  • Excellent interpersonal skills and written and oral communications skills.
  • Series 7, 63, 24 preferred.
JPMorgan Chase Co. is an Equal Opportunity and Affirmative Action Employer, M/F/D/V



Primary Location

US-NJ-Jersey City-NOC 5 - 575 Washington / 02969


Office of the General Counsel



Job Type



Day Job

Employee Status


About this company
9,848 reviews
At JPMorgan Chase, the work we do matters. All of us are committed to putting our resources and our voices to work every day for our...