Surveillance Investigations VP, Securities & Compliance

Aumni; Jersey City (NJ); On-site; USD 170,000 - 250,000; Full time

Job summary

JPMorgan Chase is seeking a Surveillance Lead Vice President within the CCOR organization. You will join the surveillance investigations team addressing securities violations, money laundering and insider trading issues, with responsibility for SAR determinations and narrative drafting.

The role emphasizes strong analytical ability, regulatory knowledge, and the ability to drive investigations with high confidentiality and integrity across global teams.

Qualifications

• Regulatory or broker-dealer experience in compliance or surveillance.
• Knowledge of U.S. securities laws (Securities Act of 1933, Exchange Act of 1934) and FINRA rules.
• Experience monitoring, investigating, and reporting suspicious activity (AML, SAR).
• Ability to collaborate across business and/or functional lines.
• Bachelor's degree or equivalent is required.
• JD strongly preferred.

Responsibilities

• Conduct thorough analysis and investigations of potentially suspicious activities related to money laundering and terrorist financing, focusing on insider trading, market manipulation, penny stock fraud, and other violations of securities regulations.
• Determine whether activities warrant filing a SAR and draft comprehensive SAR narratives.
• Prepare SAR forms in accordance with regulatory requirements and internal procedures.
• Interact with other business groups within JPMorgan Chase and manage a diverse caseload.
• Maintain confidentiality, accuracy, and attention to detail in handling sensitive information.

Skills

Regulatory experience

Securities regulation

AML compliance

Communication skills

Team collaboration

Education

Bachelor's degree or equivalent

Juris Doctor (JD)

Job description

JPMorgan Chase is seeking a Surveillance Lead Vice President within the CCOR organization. You will join the surveillance investigations team addressing securities violations, money laundering and insider trading issues, with responsibility for SAR determinations and narrative drafting.

The role emphasizes strong analytical ability, regulatory knowledge, and the ability to drive investigations with high confidentiality and integrity across global teams.