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JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.7 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com .
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About J.P. Morgan?s Corporate & Investment Bank
J.P. Morgan?s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world?s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With $26 trillion of assets under custody and $485 billion in deposits, the Corporate & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world. Further information about J.P. Morgan is available at www.jpmorgan.com.
The Asia Pacific Regional Compliance Department is seeking a high calibre individual to join our Compliance Surveillance team. Reporting to the Surveillance Manager in Hong Kong, the candidate, utilizing the surveillance tools, will be responsible for conducting trade surveillance across various Lines of Business (LOB). The candidate will be empowered (within the boundaries of a case officer) to exercise sound business judgments and take ownership to ensure his/her cases are adequately managed in accordance with the operational level of agreement. The role also offers the candidate excellent opportunities to forge professional relationships with various stakeholders and further develop their knowledge on various products such as Equities, Fixed Income, Commodities, FX, Futures & Options offered by JPMorgan Chase. The surveillance service footprint in Asia Pacific includes, but not limited to Australia, Hong Kong, India, Japan, Singapore and South Korea.
The key roles and responsibilities would include but not limited to:
Use Fixed Income and Commodities surveillance tools to analyze system generated alerts across various platforms within the firm and locate any potential breaches of policies and/or where applicable relevant laws and regulations.
Support analysis conducted through Bloomberg and Internet research, and by maintaining awareness of regional markets and regulatory activity.
In consultation with the Team and Team Manager, refer or escalate any unusual or suspicious cases during the course of alert reviews to the relevant LOB / Country Compliance officers and/or other counterparties in accordance with the defined operational process.
Ensure escalated cases are followed up and documentations are updated in our case register in a timely manner.
Participate in market conduct related investigations
Attend meetings and present escalated cases as required.
Assist in MIS reports preparation as required.
Assist in establishing internal control processes and developing/updating procedures.
Trade Surveillance System Analysis, Testing and Design
AP Compliance Surveillance team uses proprietary, third party vendor and ad hoc targeted review schemes as part of the broader function. These processes and systems require regular maintenance that might involve system upgrades, modifications, and occasionally UAT testing as a result of technical issues, prevailing business or market conditions. All members of the team are expected to render either individual or joint effort with other team members? contribution to systems analysis, testing and report design depending on the specific area of coverage. In addition, the candidate is expected to exercise own discipline to attend regular or ad-hoc audio conferences where required.
General Admin, Reporting, and Process Document Maintenance
In addition to owning the normal BAU (business as usual) activities, there are other tasks that are administrative in nature to be assigned to the candidate such as document & report administration for the team. These are generally executed as part of the extended tasks or areas of responsibilities.
Scope of potential contacts and stakeholders
Regional LOB/Core Functional Compliance Teams
Various Country Compliance
US and EMEA Surveillance Teams
Senior Business Management
Technology and Operations
You will have 4 to 5 years experience, ideally gained within a financial services Fixed Income and Commodities Middle/Back Office environment or Broker Support as well as a minimum 2 years in Trade and Communications Surveillance or compliance monitoring role
Strong processing knowledge of how Fixed Income and Commodities trades are lifecycled and managed
A good working level knowledge of Bloomberg and Reuters ? specifically around Fixed Income and Commodities based enquiries
Appreciation of risk and escalation and the need for timely and accurate investigations/alert closure.
Good understanding of market abuse and best practice scenarios, these should include (but not limited to); spoofing, price deviation, wash and Benchmark manipulation.
Understanding of trading jargon and market commentary/colour to complement Ecom surveillance.
Strong knowledge of trade and communications surveillance processes and systems such as SMARTS Broker and Actimize
Strong knowledge of investment bank operating model.
Strong analytical skills and the ability to manage several simultaneous tasks.
A self-motivated fast learner with the ability to work independently
A strong team player and able to engage people across all corporate hierarchies.
Flexible and adaptable to dynamically changing work processes and environment
Adaptability to work under time pressure and resiliency to provide stable and consistent performance
Excellent computer skills especially in standard Microsoft Office applications and Sharepoint.
Proven ability to communicate effectively in English at all levels both orally and in writing,
Competent in non English languages is an advantage
Knowledge of Fixed Income an advantage
Related professional qualification helpful
Programming/VBA/Python abilities also an advantage
We recognize that our people are our strength and the diverse talents they bring to our global workforce is 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, or disability, or any other basis protected under applicable local law. In accordance with applicable local law, we make reasonable accommodations for applicants? and employees? religious practices and beliefs, as well as any mental health or physical disability needs.