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JPMorgan Chase CCOR - Surveillance Lead - Vice President in Jersey City, New Jersey

Job Description:

Corporate - Compliance, Conduct & Operational Risk - Surveillance Investigative Unit - Vice President - Jersey City, NJ.

This position will be part of the investigations team within the surveillance group in JPMorgan's compliance department. The group 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. The group also has involvement on determinations regarding whether to file a suspicious activity report (SAR) as well as preparing SAR narratives and forms.

The candidate will be expected to interact with other business groups within JPM. This position requires analytic skills, the ability to independently manage a caseload, and drive positive change. The role calls for a candidate who can exercise sound judgment, exhibit an attention to detail, and observe the highest degree of confidentiality and accuracy in the handling of information received in the course of discharging responsibilities. The candidate must be willing to take on additional responsibilities, including participating on projects in a team environment.


  • Relevant regulatory or broker-dealer experience such as a role in compliance, trade surveillance, or securities regulation strongly preferred;

  • Familiarity with U.S.A. PATRIOT Act, Bank Secrecy Act, OFAC, and other AML regulatory policies;

  • Working knowledge of U.S. securities laws, particularly, the Securities Act of 1933, the Securities Exchange Act of 1934, and applicable FINRA/SRO rules;

  • 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, and relationship skills;

  • Strong written and verbal communication skills;

  • Participate on and/or manage special projects;

  • Proficiency in learning new computer systems;

  • Flexibility to adapt to changing priorities to meet business needs;

  • Bachelor's degree or equivalent experience a must; and

  • JD strongly preferred.

JPMorgan Chase & Co., 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 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.

The health and safety of our colleagues, candidates, clients and communities has been a top priority in light of the COVID-19 pandemic. JPMorgan Chase was awarded the "WELL Health-Safety Rating" for all of our 6,200 locations globally based on our operational policies, maintenance protocols, stakeholder engagement and emergency plans to address a post-COVID-19 environment.

As a part of our commitment to health and safety, we have implemented various COVID-related health and safety requirements for our workforce. Employees are expected to follow the Firm's current COVID-19 or other infectious disease health and safety requirements, including local requirements. Requirements include sharing information including your vaccine card in the firm's vaccine record tool, and may include mask wearing. Requirements may change in the future with the evolving public health landscape. JPMorgan Chase will consider accommodation requests as required by applicable law.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, discretionary incentive compensation which may be 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.

Equal Opportunity Employer/Disability/Veterans

Base Pay/Salary

Jersey City,NJ $114,000.00 - $185,000.00 / year