Compliance - Surveillance Lead - Vice President

Job Description

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 Vice President within the the Compliance, Conduct and Operational Risk (CCOR) organization, you will be part of the investigations team within the surveillance group in JPMorgan's compliance department that is primarily responsible for investigating matters pertaining to violations of securities regulations and laws, specifically those relating to securities fraud, insider trading, and other manipulative trading activities.  In this group, you will also have involvement on determinations regarding whether to file a suspicious activity report (SAR) as well as preparing SAR narratives and forms. 

Working in the Risk Management and Compliance team will involve you being at the center of keeping JPMorgan Chase strong and resilient. You will 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.  To be successful in this role, you will also need to be able to think outside the box, challenging the status quo, and always strive to be best-in-class.

Job Responsibilities

• Conduct thorough analysis and investigations of potentially suspicious activities related to money laundering and terrorist financing, with a primary focus on insider trading, market manipulation, low-priced securities/penny stock fraud, and other violations of securities regulations and laws;
• Apply analytical skills to determine whether certain activities warrant the filing of a SAR;
• Draft comprehensive case memoranda and SAR narratives that clearly articulate findings and rationale;
• Prepare SAR forms in accordance with regulatory requirements and internal procedures;
• Interact with other business groups within JPM;
• Manage independently a diverse caseload, demonstrating strong organizational skills and the ability to drive positive outcomes;
• Maintain the highest standards of confidentiality, accuracy, and attention to detail when handling sensitive information;
• Collaborate with team members and participate in ad-hoc projects or initiatives as needed to support departmental objectives.

Required Qualifications, Capabilities, and Skills

• Relevant regulatory or broker-dealer experience such as a role in compliance, trade surveillance, or securities regulation;
• Working knowledge of U.S. securities laws, particularly, the Securities Act of 1933, the Securities Exchange Act of 1934, and applicable FINRA/SRO rules; Familiarity with U.S.A. PATRIOT Act, Bank Secrecy Act, OFAC, and other AML regulatory policies;
• Experience with monitoring, investigating, and reporting suspicious activity related to money laundering and terrorist financing with a focus on insider trading, market manipulation, and low priced securities/penny stock fraud;
• Ability to collaborate with individuals across business and/or functional lines;
• Strong interpersonal, leadership, relationship skills; strong written and verbal communication skills;
• Participate on and/or manage special projects; flexibility to adapt to changing priorities to meet business needs;
• Bachelor’s degree or equivalent experience a must.

Preferred Qualifications, Capabilities, and Skills 

• JD strongly preferred.
• Proficiency in learning new computer systems.

About Us

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

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

About the Team

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.