Compliance- Trade Surveillance Lead- Vice President

Location: Jersey City, NJ, United States

Job Family: CCOR Foundation

About the Role

At JPMorgan Chase & Co., one of the world's leading global financial services firms with assets of $3.9 trillion and operations in over 60 countries, we are seeking a Compliance - Trade Surveillance Lead - Vice President to join our dynamic Swaps Trade Surveillance team within the Compliance Surveillance group. This role, categorized under CCOR Foundation, is based in our state-of-the-art office in Jersey City, NJ, and plays a critical part in safeguarding the integrity of our Corporate & Investment Bank (CIB) operations. As a Surveillance Lead, you will drive proactive monitoring of swaps trading activities to detect and prevent market misconduct, ensuring adherence to stringent regulatory standards in the fast-paced financial services industry. This position offers the opportunity to leverage cutting-edge technology and collaborate with elite teams to protect client interests and maintain JP Morgan's reputation as a trusted steward of the global economy. In this leadership role, you will oversee the development and execution of sophisticated surveillance strategies tailored to over-the-counter (OTC) derivatives, focusing on anomalies such as manipulative trading patterns and insider activities. You will guide a team of analysts in utilizing advanced tools for real-time data analysis, investigate high-risk alerts, and recommend enhancements to our monitoring frameworks in line with regulations like Dodd-Frank and MiFID II. Interaction with trading desks, legal teams, and regulators will be key, as you contribute to firm-wide CCOR initiatives that embed robust controls into our business processes. Your expertise will directly influence risk mitigation efforts, helping JP Morgan Chase navigate complex market dynamics while fostering a culture of compliance excellence. We value innovation and integrity at JP Morgan, and this role empowers you to integrate AI-driven analytics into surveillance operations, improving detection accuracy and operational efficiency. Beyond technical responsibilities, you will mentor team members, drive continuous improvement, and engage in strategic projects that align with our commitment to ethical banking. Join us to advance your career in a supportive environment that prioritizes professional growth, work-life balance, and impactful contributions to the financial services sector.

Key Responsibilities

• Lead the Swaps Trade Surveillance team in monitoring and analyzing trade activities for potential market abuse, including spoofing, layering, and front-running in OTC derivatives
• Develop and enhance surveillance models, scenarios, and thresholds to detect irregularities in swaps trading across global markets
• Collaborate with front-office trading desks, compliance officers, and technology teams to investigate alerts and escalate findings
• Oversee the implementation of regulatory changes impacting swaps surveillance, ensuring alignment with JP Morgan's CCOR Foundation standards
• Conduct root-cause analysis on surveillance breaches and recommend process improvements to mitigate risks
• Manage a team of analysts, providing guidance on best practices in data analytics and regulatory interpretation
• Prepare and present surveillance reports to senior management and regulators, including metrics on alert volumes and resolution rates
• Integrate advanced analytics and machine learning tools to improve the efficiency of trade monitoring systems
• Ensure compliance with data privacy regulations like GDPR in surveillance operations
• Participate in firm-wide initiatives to strengthen controls in the Corporate & Investment Bank (CIB)

Required Qualifications

• Bachelor's degree in Finance, Business, Law, or a related field; advanced degree (MBA, JD, or Master's in Compliance/Risk) preferred
• Minimum of 7-10 years of experience in financial services compliance, with at least 4 years focused on trade surveillance or market abuse monitoring
• Deep knowledge of swaps derivatives, OTC markets, and regulatory requirements including Dodd-Frank, EMIR, MiFID II, and SEC rules
• Proven track record in leading surveillance teams and implementing monitoring programs in a global banking environment
• Strong understanding of anti-money laundering (AML), market manipulation detection, and insider trading surveillance
• Experience with regulatory reporting and interaction with bodies like the CFTC, SEC, and FCA
• Ability to obtain relevant certifications such as CAMS or CRCM

Preferred Qualifications

• Prior experience at a major financial institution like JP Morgan Chase in the Corporate & Investment Bank (CIB) division
• Familiarity with JPMorgan's internal compliance frameworks and CCOR (Controls, Conduct, and Operational Risk) initiatives
• Hands-on experience with AI/ML-driven surveillance tools for anomaly detection in high-volume trade data
• International regulatory experience, particularly in cross-border swaps surveillance
• Leadership in audit or regulatory exam preparations for trade surveillance functions

Required Skills

• Expertise in swaps and derivatives trading mechanics
• Proficiency in regulatory compliance frameworks (Dodd-Frank, EMIR, MiFID)
• Advanced data analytics and SQL querying for trade data analysis
• Experience with surveillance software like Actimize or similar tools
• Machine learning and AI applications in fraud detection
• Strong leadership and team management abilities
• Excellent communication and stakeholder engagement skills
• Risk assessment and scenario modeling
• Regulatory reporting and documentation
• Problem-solving in high-pressure financial environments
• Knowledge of Python or R for data manipulation
• Attention to detail in alert triage and investigation
• Cross-functional collaboration in a matrix organization
• Adaptability to evolving market regulations
• Ethical judgment in compliance decision-making

Benefits

• Competitive base salary and performance-based annual bonus, reflecting JP Morgan's commitment to rewarding excellence
• Comprehensive health, dental, and vision insurance plans with low employee premiums
• Generous 401(k) retirement savings plan with company matching up to 6% of eligible compensation
• Paid time off including vacation, sick days, and parental leave, plus firm holidays
• Professional development opportunities through JPMorgan's internal training programs and tuition reimbursement
• Wellness programs including gym memberships, mental health support, and employee assistance services
• Flexible work arrangements, including hybrid options in Jersey City, NJ
• Stock purchase plan allowing employees to buy JP Morgan Chase shares at a discount

JP Morgan Chase is an equal opportunity employer.