Job ref no.: CT3128817-01#5504

Compliance Conduct and Operational Risk - Communication Surveillance - Associate

JPMorgan Chase Bank, N.A.

Our Team

The Asia Pacific Regional Compliance Department is seeking a high calibre individual to join our Compliance Surveillance team. Reporting to the Surveillance Manager in Hong Kong, the candidate, utilizing the surveillance tools, will be responsible for conducting communications and trade surveillance across various Lines of Business (LOB). The candidate will be empowered (within the boundaries of a case officer) to exercise sound business judgments and take ownership to ensure his/her cases are adequately managed in accordance with the operational level of agreement. The role also offers the candidate excellent opportunities to forge professional relationships with various stakeholders and further develop their knowledge on various products such as Equities, Futures & Options, Fixed Income, Commodities, FX offered by JPMorgan Chase. The surveillance service footprint in Asia Pacific includes, but not limited to Australia, Hong Kong, India, Japan and Singapore.

This is a professional position with significant potential for career development for the right individual who can demonstrate the highest level of standards & integrity, relevant skill sets, aspiration to succeed as a compliance professional and who is determined to contribute in making a positive difference in the Regional Compliance Surveillance team.


The key roles and responsibilities would include but not limited to:

  • Conducting lexicon-based reviews, targeted reviews and ad hoc reviews of employee e-communications
  • Reviewing and analyzing e-communications and voice recordings to identify potential issues relating to market conduct risks, reputational risks, or other compliance risks
  • Interfacing with compliance officers, legal, and other stakeholders to review and resolve potential compliance issues
  • Developing and enhancing surveillance review processes and procedures
  • In consultation with the Team and Team Manager, refer or escalate any unusual or suspicious cases during the course of alert reviews to the relevant LOB / Country Compliance officers and/or other counterparties in accordance with the defined operational process.
  • Ensure escalated cases are followed up and documentations are updated in our case register in a timely manner.
  • Participate in market conduct related investigations.
  • Attend meetings and present escalated cases as required.
  • Assist in establishing internal control processes and developing/updating procedures.
  • General Admin, Reporting, and Process Document Maintenance
  • Contacts and stakeholders are Regional LOB/Core Functional Compliance Teams, various Country Compliance, US and EMEA Surveillance Teams, Senior Business Management, Technology and Operations.

  • Bachelor's Degree required.
  • 3+ years of Compliance, Surveillance, Legal or Risk related experience in a financial services environment
  • Strong written communication and verbal communication skills
  • Excellent analytical skills and strong attention to detail
  • Demonstrated ability to handle multiple tasks in a fast-paced environment
  • Experience with e-discovery or e-communications surveillance tools (SMARSH Connected Archive, NICE Actimize VOISS)
  • Proficiency in the MS Office suite of applications
  • Appreciation of risk and escalation and the need for timely and accurate investigations/alert closure;
  • Good understanding of market abuse and best practice scenarios;
  • Understanding of trading jargon and market commentary/color to complement Ecom surveillance;
  • Strong knowledge of investment bank operating model;
  • Strong analytical skills and the ability to manage several simultaneous tasks;
  • A self-motivated fast learner with the ability to work independently;
  • A strong team player and able to engage people across all corporate hierarchies;
  • Flexible and adaptable to dynamically changing work processes and environment;
  • Adaptability to work under time pressure and resiliency to provide stable and consistent performance;
  • Proven ability to communicate effectively in English at all levels both orally and in writing
  • Competent in non-English languages is an advantage
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.

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More job information
Job ref no. CT3128817-01#5504
Job Function
Employment Term
  • Permanent
  • Full-time
  • 3 years - 8 years
Career Level
  • Non-management level
  • Degree