Compliance, Conduct & Operational Risk – Communications Surveillance – Associate – London

JP Morgan

Location: Greater London

Job Type: Full time


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Organization Description

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.

Employer Description

J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.

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 EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications. Surveillance utilises and develops electronic tools and integrative techniques to detect potential and/or actual violations of the Firm’s policies and legal/regulatory requirements. Surveillance works in close partnership with various Compliance teams and groups across the Firm.

Surveillance team members are aligned to certain business lines. Specifically, this role will be part of the Communications Surveillance team.

Primary Responsibilities

  • Review communications surveillance alerts on a daily basis across different asset classes
  • Perform thorough review of communication content and research relevant information
  • Carry out regular non-alerting reviews as well as ad hoc searches
  • Engage with business aligned compliance teams, surveillance technology partners and other key stakeholders
  • Collaborating with regional colleagues in identifying program efficiencies and enhancements as well as contributing in different ad hoc projects

Experience /Qualifications

  • Good knowledge of financial markets and products
  • Strong analytical and risk assessment skills
  • Excellent investigative instincts and background/experience in reviewing communications
  • Ability to effectively partner with key stakeholders and technology partners
  • The candidate should possess:
    • initiative and judgement;
    • the ability to prioritise conflicting demands, be proactive, well-organised and work under pressure;
    • skills to work with management and forge strong partnerships with colleagues;
    • the ability to work independently and in teams and the readiness to share knowledge;
    • strong oral and written communication skills;
  • Degree or overseas equivalent would be desirable but not essential
  • German/French language skills would be highly desirable.
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