Trade Surveillance

3 weeks ago

Sydney, Australia JPMorgan Chase & Co Full time

**JOB DESCRIPTION**
As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. Compliance Conduct & Operational Risk (CCOR) Data Management is responsible for performing the CCOR Chief Data Office (CDO) responsibilities, including the implementation, and oversight and governance of the Firmwide Data Management Standards and Policies

**Job Summary**:
**Responsibilities**:
The key roles and responsibilities would include but not limited to:

- Use trade / communication 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.
- Communication and Trade Surveillance system analysis, system testing and design
- Interact with stakeholders across regional lines of businesses/ core functional teams such as Country Compliance, US and EMEA Surveillance Teams, Senior Business Management and Technology and Operations

**Qualifications**
- You will have 3 to 7 years’ Surveillance / Advisory experience in Equities, FnO at a Tier 1 bank, broker or regulator; a good understanding of the FICC products is desirable but not essential.
- Proven expertise using SMARTs and / or other Communication Surveillance tools as well as a good working level knowledge of IRESS, Bloomberg or Reuters;
- Strong product knowledge especially around market abuse and best practices scenarios in the Australian market over exchange traded securities
- Understanding of trading jargon and market commentary/color to complement Ecom surveillance;
- Flexible and adaptable to dynamically changing work processes and environment;
- Competent in non-English languages is an advantage.

**ABOUT US**

J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.

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. In accordance with applicable law, we make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as any mental health or physical disability needs.

**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.

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