Compliance Officer - Trade Surveillance

  • £Market Rate
  • London, England, United Kingdom
  • Contract, Full time
  • Non-disclosed
  • 08 Feb 18 2018-02-08

Compliance Officer J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a global financial services firm with assets of $2.6 trillion. 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.


We are seeking a strong Compliance Officer who will be responsible for the LOB Compliance Surveillance and will be reporting into the EMEA Head of Trade Surveillance and Employee Compliance.

Key responsibilities: -

  • Performing detailed reviews in accordance with the JPMorgan Investment Management surveillance programme to assess compliance with applicable rules and regulations, to include reviews of front office, segregated and pooled fund activities
  • Preparing clear and organised monitoring work papers to document and support work performed and conclusions reached
  • Highlighting findings from monitoring work performed to the Head of Compliance Trade Surveillance and Employee Compliance in a timely manner and, work with the business to bottom out the issue and agree appropriate actions to address these
  • Preparing detailed and clear reports of findings arising from surveillance reviews, including practical and relevant recommendations for the business to address these findings
  • Monitoring the status of implementation of corrective action and where issues are not implemented in line with agreed timelines escalate to the Head of Compliance Trade Surveillance and Employee Compliance

Preferable Requirements

  • Proven track record in a LOB Compliance Surveillance and Employee Compliance role
  • Thorough and up to date understanding and practical experience of Asset Management Fixed Income and Equity trading systems and processes, including programme trading, direct market access and algorithmic trading
  • Experience in designing and developing surveillance reviews around new or expanding business areas
  • Experience of conflicts related reviews
  • An awareness of the inducements rules, and experience in the pre-clearance of G&E and Anti-Corruption related hospitality