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Job Title - Compliance - Surveillance/DOI Quality Assurance Associate
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. Global Financial Crimes Compliance (GFCC) team is part of JPMorgan's Global Risk and Compliance organization.
The GFCC organization has over 1,900 professionals across the world. The team is responsible for developing the requirements and standards for the Firm's Enterprise-Wide Programs. GFCC is comprised of eight core functions, aligned with the businesses and regional teams. One of the core functions is Personal Account Dealing
GFCC personnel work cooperatively with the other global functions and businesses to identify, assess and quantify the level of risk associated with the firm's products, services, customers, transactions and geographic locations to develop appropriate policies, procedures, and processes to monitor, control and mitigate the associated risks
Surveillance/DOI - QA Team
The Quality Assurance (QA) team is an integral part of the Controls environment within Compliance and is responsible for conducting a continuous analysis against internal procedures and regulatory requirements to ensure quality, completeness and accuracy.
The QA team supports the review of activities performed by the Compliance teams that are responsible for overseeing Communications surveillance and monitor trading activities in adherence with regulations in the Firm's respective regions of operation. Specifically, responsible for monitoring of trade surveillance across all asset classes, information barriers surveillance and communications surveillance data, ensuring that the agreed monitoring and surveillance plan and agreed processes are being followed and are in adherence to the firm's Policies. The QA Team supports review of DOI filing and reporting , that specifically monitors and discloses its interests in relevant securities to issuers, regulators and/or relevant markets, pursuant to the various laws and regulations across most global jurisdictions in which the Firm operates. The regulatory/legal reporting obligations relevant to DOI span multiple regimes, such as, Large Shareholder Reporting, Sensitive Industry/Foreign Ownership Threshold Limit Monitoring, Short Interest Reporting, Take-Over Reporting, Issuer Requests & Company Monitoring.
The successful candidate has strong processing and analytical skills; the ability to work independently, and is adaptable to change. In addition, the candidate needs to demonstrate banking and compliance knowledge, the ability to exercise sound judgment and to observe the highest degree of confidentiality in the handling of information received in the course of their responsibilities.
Key Responsibilities:
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