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

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130098546

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.

Responsibilities:
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.

Qualifications

Requirements:
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

Job

Compliance

Primary Location

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

Organization

Office of the General Counsel

Schedule

Full-time

Job Type

Standard

Shift

Day Job

Employee Status

Regular

JPMorgan Chase - 7 months ago - save job - block
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