AML Markets & IS Investigations Officer

JP Morgan

Location: Greater London

Job Type: Full time

Last updated

Perfection not required
Excited about this role, but not sure if you meet 100% of the criteria? Employers would still love to hear from you.

Duties and Responsibilities

The Markets & IS AML Investigations Officer will primarily be responsible for undertaking escalated activity review, client research and analysis using internal databases, market trading data and publicly available information in order to identify whether the observed activity is unusual and ultimately support the decision-making process regarding reporting to law enforcement. Although this role is aligned to Markets and IS activities, investigations are carried out from an AML (POCA) rather than market abuse perspective.

  • Research and understand Markets AML related typologies such as Insider trading and Market manipulation and apply the characteristics to interrogate transaction data to identify potentially unusual activity.
  • Escalate unusual activity and present findings to the EMEA Financial Crime Monitoring Committee meeting with the in-country MLRO.
  • Draft Suspicious Activity Reports for submission to law enforcement.
  • Provide feedback and escalate issues identified from AML investigations to line of business management, clients’ KYC documentation and risk categorisation.
  • Participate in ad hoc projects and enhanced reviews at the request of the MLRO, LOB Compliance, AML manager or external enquiries / investigations.
  • Participate in proactive investigative projects in support of national, regional, or global priorities and initiatives, including engagement with external partners.
  • Develop subject matter expertise through knowledge, research and training, leading to new investigative approaches to uncover unusual activity.
  • Share knowledge and experience through briefings, presentations, and written products

Education and Experience

The following would be desirable:

  • AML or Trade Surveillance experience background
  • Good understanding of the applicable Market Abuse Regulation and typologies associated with insider dealing and market manipulation
  • Demonstrated Capital Markets and products knowledge (investigations generally related to equities and fixed income products)
  • Experience working with transaction monitoring systems to address typologies identified
  • Investigative instinct and analytical mindset, including problem-management skills and the ability to work independently
  • Demonstrated skills in risk assessment. The ability to make sound decisions, including escalation when appropriate, regarding AML risk

The candidate must possess:

  • Initiative and judgement
  • The ability to prioritise conflicting demands, organise one's agenda and work within agreed deadlines
  • The relationship management skills to deal with management and build partnerships with other departments
  • The ability to work in teams and the readiness to share knowledge
  • Good oral and written communication skills
  • Intermediate to advanced proficiency in Excel and other data platforms, particularly experience in handling large and complex volumes of quantitative data.
You’ve got this!