Join a dynamic team dedicated to innovation and excellence in risk management. As a Surveillance Associate, you'll play a pivotal role in identifying and mitigating market misconduct risks, collaborating with global and regional teams, and contributing to our commitment to Diversity, Equity, and Inclusion.
As a Compliance, Conduct and Operational Risk (CCOR) - Surveillance Associate in Asset Management Trade Surveillance, you will be instrumental in conducting reviews of trade surveillance alerts related to market manipulation and misconduct. You will collaborate with Line of Business Compliance, Management, and global/regional Surveillance teams to promote and enhance our global program. This role demands strong attention to detail, analytical skills, and the ability to manage multiple tasks in a fast-paced environment.
Want more jobs like this?
Get jobs in Taipei, Taiwan delivered to your inbox every week.
Job Responsibilities:
- Review trade surveillance alerts and analyze trading and market activity to detect and deter potential market misconduct and other manipulative behaviors.
- Escalate possible violations of rules, regulations, and procedures to management.
- Assist in the design, testing, and implementation of new alerts and enhancements.
- Conduct ad hoc and non-alert-based reviews for potential violations of policies, laws, rules, and regulations.
- Manage multiple projects in a fast-paced environment.
- Interface with compliance officers, legal, and other stakeholders to review and resolve potential compliance issues.
- Assist in establishing internal control processes and developing/updating procedures.
- Perform general administration, reporting, and process document maintenance.
- Engage with regional LOB/Core Functional Compliance Teams, various country compliance in US and EMEA Surveillance Teams, senior business management, technology, and operations.
- Contribute to the firm's culture and Diversity, Equity, and Inclusion program.
Required Qualifications, Capabilities, and Skills:
- Bachelor's degree required.
- 5+ years of experience in a Control/Compliance role
- Familiarity with Asset and Wealth Management investment strategies and products, including mutual funds, structured products, stocks, fixed income, and derivatives.
- Teamwork skills; flexibility in work style and ability to collaborate with stakeholders and colleagues at all levels.
- Strong PC skills, including Microsoft Excel, SharePoint, Word, PowerPoint, and other reporting tools.
- Proven ability to communicate effectively in English at all levels, both orally and in writing.
- Qualified as a securities investment analyst in accordance with the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises
- Professional license: SITCA License or Senior Brokerage License
- Passed a senior securities specialist examination held by an institution engaged by a securities dealers association or has obtained certification of passage of such an examination issued by the former competent authority for securities
Preferred qualifications, capabilities, and skills
- Experience in in Wealth Management or Asset Management.
- Knowledge of trade and communications surveillance processes and systems such as SHARP / Reliance / Connected Archive is advantageous.
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. 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.
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.