Surveillance Analyst – Asia Pacific Compliance Monitoring and Surveillance recruitment
Purpose of position: Performance of the daily compliance monitoring and surveillance function across JPMC's Asia Pacific businesses (incorporating JPMC's automated monitoring and surveillance systems).
Regional Surveillance and Monitoring covers the following countries and exchanges: Australia, New Zealand, Indonesia, Singapore, Philippines, Malaysia, Hong Kong, China, Japan, Korea, India, Taiwan, and Thailand.
Financial Product Coverage of the group includes: Equities, Futures and Options
Key responsibilities:
Automated Transaction Surveillance
- Daily analysis of system generated exception reports in order to detect any potential breaches of JPMC's policies or applicable laws and regulations or any unusual or suspicious activity. Supporting analysis conducted through Bloomberg and Internet research, and by maintaining awareness of regional markets and regulatory activity.
- Escalating to the Team Manager any detected potential breaches of JPMC's policies or applicable laws and regulations or any unusual or suspicious activity.
- In consultation with the Team Manager, refer any potential breaches or unusual or suspicious activity identified during the course of the above monitoring to relevant business line compliance officers, location compliance and/or middle and back office staff.
- Assisting business line compliance and location compliance with any internal investigation initiated as a consequence of any matter escalated as per the above.
- Preparation/consolidation of routine monitoring and surveillance reports to the Head of Core Compliance, Country Heads of Compliance and Business Line Compliance Officers.
- Developing and documenting procedures and policy as part of the team's general responsibilities.
Electronic Communication Surveillance
Surveillance analysis/data retrieval conducted on JPMC's various electronic messaging platforms as part of any of the three following categories:
- As a result of issues detected through AP MS automated transaction monitoring.
- When providing assistance to LOB, Location, or Ad Hoc requests
- When providing assistance to the Regulatory Investigations Team.
- As part of routine compliance monitoring - to be implemented at a later date
Surveillance Systems Analysis, Testing and Design
AP MS uses proprietary, third party vendor and ad hoc monitoring schemes as part of the broader function. These processes and systems require regular upgrades, modification, and UAT testing as a result of performance issues, business and market changes, and feeder system upgrades/ modifications. All members of the team can expect to contribute to systems analysis, testing and report design depending on the specific area of coverage.
General Admin, Reporting, and Process Document Maintenance
As part of the function there are general administrative, reporting and process document editing aspects included with the role. These are generally executed as aspects of the broader detailed tasks listed above.
Scope of potential contacts and stakeholders for function:
- Regional Core Functional Compliance Teams
- New York and EMEA Surveillance Teams
- Regional Business Line Compliance
- Various Country Compliance
- Senior Business Management
- Technology and Operations
- SONAR Support and Operations Staff
Development Potential within the role:
This is a professional position with significant potential for career development within JPMC's Asia Compliance team. This is an outstanding opportunity for a person wishing to develop a career as a compliance professional in any number of functional or business line streams. The role provides broad exposure to a wide range of financial products, regional exchanges and regulatory environments, and business unit groups within the JPMC's group of businesses in Asia.
Skills
Key Skills and Experience:
- Strong analytical ability
- Detail-oriented
- Structured, fact-based decision making style
- Good systems technology skills
- Good oral and written communication skills
- Previous experience in a financial services compliance monitoring role, Middle or Back Office environment or Broker Support would be an advantage.