Legal & Compliance Compliance Surveillance Manager – VP – Based in London recruitment
Position Profile
The position requires a person who is enthusiastic, confident and has practical experience in performing asset management surveillance activities.
The person's background could be a compliance officer, Chartered Accountant, internal auditor, or regulatory examiner.
Specific Responsibilities
Thorough and up to date understanding and practical experience of either buy-side or sell-side Fixed Income and Equity trading systems and processes, including programme trading, direct market access and algorithmic trading.Work with the Compliance Advisory teams for the Institutional and Retail businesses
to ensure up to date and comprehensive understanding of these areas.
Use this knowledge to execute the surveillance programme and work with the Head of Surveillance to make improvements and additions to the surveillance programme.Work with the Head of Surveillance to develop and update the institutional and retail surveillance programme and ensure that this remains fluid, risk-based / focused and up to date with both regulatory and business changes.Plan and undertake surveillance themed and periodic reviews of JPMAM's institutional and retail businesses in a thorough and timely manner.Perform detailed reviews in accordance with JPMAM's retail and institutional surveillance programme to assess compliance with applicable rules and regulations.
These include surveillance reviews of Front Office, Segregated and Pooled Fund activities.Prepare clear and organised surveillance workpapers to document and support work performed and conclusions reached.Highlight findings from surveillance work performed to the Head of Surveillance in a timely manner and, together work with the business to bottom out the issue and agree appropriate actions to address these.Prepare detailed and clear write ups of findings arising from surveillance reviews, including practical and relevant recommendations for the business to address these findings.Make suggestions to enhance surveillance procedures to the Head of Surveillance.Monitor the status of implementation of corrective action and where issues are not implemented in line with agreed timelines, escalate to the Head of Surveillance.Oversee and independently review surveillance work conducted by junior members of the team and provide on the job training where applicable.Assist with the design and implementation of surveillance electronic exception reports for JPMAM's institutional and retail businesses in London.Interact with all levels of business management and staff.
Meet regularly with key business staff to stay abreast of changes within the business and issues arising.Undertake ad-hoc projects at the request of the Head of Surveillance.Liaise with Regulators and Auditors during their onsite visits.
Qualifications
Required Skills
Pro-active, motivated and enthusiastic.Detail orientatedAble to work independently with good time management skills.Practical experience of conducting retail and institutional surveillance in an asset management company.Knowledge and understanding of FSA and UCITS regulations.Good team player with strong interpersonal skills.Pro-active attitude towards accomplishing tasks.Questioning and analytical mind.Working knowledge of Bloomberg and Microsoft Word, Excel and PowerPoint.Good written skills with attention to detail and verbal communication skills.About JPMorgan Chase Co.J.P.
Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P.
Morgan is part of
JPMorgan Chase Co. (NYSE: JPM), a leading global financial services firm with assets of $2.2 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. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its J.P.
Morgan and Chase, and WaMu brands.
J.P.
Morgan offers an exceptional benefits program and a highly competitive compensation package.J.P.
Morgan is an Equal Opportunity Employer.