Compliance - Surveillance/DOI Quality Assurance Associate

Job Description

As a Compliance - Surveillance/DOI Quality Assurance Associate at JPMorgan Chase & Co., you will be part of the Global Financial Crimes Compliance (GFCC) team, which plays a crucial role in developing requirements and standards for the Firms Enterprise-Wide Programs. The Quality Assurance (QA) team, where you will be stationed, is responsible for ensuring quality, completeness, and accuracy by continuously analyzing internal procedures and regulatory requirements.**Key Responsibilities:**- Conduct ongoing independent testing on completed cases actioned by the Surveillance e-communications/Voice Communications/Trade Surveillance Team- Perform ongoing independent testing on completed cases actioned by the DOI Compliance Team- Review the quality of completed cases using pre-defined test scripts based on Compliance and Quality Assurance standards- Analyze large amounts of data to review more complex trading activity and employee escalation, appropriately disposition by utilizing analytical skills and research results- Identify key issues, cause and effect relationships, and gaps in the process that impact quality, accuracy, and/or compliance, and report results to management- Perform root cause analysis, make recommendations for addressing identified deficiencies or improvements to business/compliance processes- Work with Global Partners to ensure consistency with the Global QA framework and governance approach- Conduct analysis as required as it relates to the surveillance activity performed by Personal Account Dealing team- Build and develop a strong knowledge base on multiple functions within the team using cross-training methodology to create synergies**Qualifications & Essential Skills:**- 9 years of experience in the Financial Services industry, preferably in Surveillance/Personal Account Dealing/Regulatory Reporting/Disclosure of Interest/AML/BSA, Screening, Compliance, Investigative, or Quality Assurance background- Thorough knowledge of Surveillance/DOI process with strong adherence to compliance policies and controls- Strong knowledge of JPMC Compliance standards, guidelines, policies, and procedures, and due diligence requirements- Ability to identify issues and provide value-added solutions- Exceptional research and analytical skills with the ability to analyze large amounts of data and develop well-reasoned recommendations- Intermediate level skills working with the MS Office suite of tools, with an emphasis on Excel and PowerPoint- Bachelors degree in Finance, Economics, Forensic Accounting, Criminal Justice (focusing on financial crime) or equivalent work experience- Strong communication skills including written, verbal, and interpersonal- Results-oriented team player with the ability to multi-task and meet deadlines against a high-volume work schedule- Strong documentation skills to clearly articulate results of testingAt JPMorgan Chase & Co., we are dedicated to providing innovative financial solutions to a wide range of clients. We value diversity and inclusion within our workforce and are committed to equal opportunity employment. We make accommodations for religious practices, beliefs, mental health, physical disabilities, and other needs to ensure a supportive and inclusive work environment. As a Compliance - Surveillance/DOI Quality Assurance Associate at JPMorgan Chase & Co., you will be part of the Global Financial Crimes Compliance (GFCC) team, which plays a crucial role in developing requirements and standards for the Firms Enterprise-Wide Programs. The Quality Assurance (QA) team, where you will be stationed, is responsible for ensuring quality, completeness, and accuracy by continuously analyzing internal procedures and regulatory requirements.**Key Responsibilities:**- Conduct ongoing independent testing on completed cases actioned by the Surveillance e-communications/Voice Communications/Trade Surveillance Team- Perform ongoing independent testing on completed cases actioned by the DOI Compliance Team- Review the quality of completed cases using pre-defined test scripts based on Compliance and Quality Assurance standards- Analyze large amounts of data to review more complex trading activity and employee escalation, appropriately disposition by utilizing analytical skills and research results- Identify key issues, cause and effect relationships, and gaps in the process that impact quality, accuracy, and/or compliance, and report results to management- Perform root cause analysis, make recommendations for addressing identified deficiencies or improvements to business/compliance processes- Work with Global Partners to ensure consistency with the Global QA framework and governance approach- Conduct analysis as required as it relates to the surveillance activity performed by Personal Account Dealing team- Build and develop a strong knowledge base on multiple functions within the team using cross-training methodology to create synergies**Qualifica

Keyskills :
SurveillanceRegulatory ReportingAMLBSAComplianceQuality AssuranceAnalytical skillsMS Office toolsCommunication skillsPersonal Account DealingDisclosure of InterestInvestigativeFinancial Services industry knowledge