Reviews trade and communications surveillance alerts across equities and futures and options to identify market misconduct, insider trading, regulatory breaches, and policy violations. Conducts investigations using Bloomberg, market data, and external research; escalates suspicious activity; maintains case records; supports regulatory and audit responses; and contributes to surveillance controls, procedures, testing, reporting, and program enhancements across the APAC region.
Join JPMorgan’s Australia Compliance Surveillance team and play a key role in identifying potential market misconduct through the review and investigation of trade surveillance alerts. You will also contribute to strengthening a high-impact surveillance program across multiple asset classes.
As an Associate within the Australia Compliance Surveillance team, you will report to the manager in Australia and work closely with regional surveillance colleagues and key business partners. You will review alerts generated by surveillance systems, primarily covering Equities and Futures & Options, to identify potential market misconduct, misuse of material non-public information, and breaches of applicable laws, regulations or internal policies. As part of the broader APAC Surveillance team, you will have opportunities to contribute to regional initiatives, enhance the surveillance program and broaden your exposure to other asset classes and markets.
Job responsibilities
- Use trade and communications surveillance tools to analyse system-generated alerts across multiple platforms and identify potential breaches of applicable laws, regulations or internal policies.
- Conduct analysis using Bloomberg, other market data sources and external research, while maintaining current knowledge of Australian financial markets and regulatory developments.
- Partner with Australian line-of-business and core functional Compliance teams, Operations and Technology to understand trading activity, system flows and relevant regulatory requirements.
- Identify and escalate unusual or potentially suspicious activity to the relevant line-of-business or Australia Compliance teams and other stakeholders in accordance with established procedures.
- Monitor escalated matters through to completion and ensure case records and supporting documentation are accurate, complete and updated promptly.
- Support market conduct investigations and coordinate timely, accurate responses to internal, regulatory and audit enquiries.
- Contribute to surveillance projects and program enhancements, including control design, procedure development, system analysis, testing and implementation across trade and communications surveillance.
- Produce and enhance management information and reporting to support governance, risk assessment and senior management oversight.
Required qualifications, capabilities, and skills
- Minimum of 5 years of relevant experience in Trade Surveillance, Control Room or Compliance Advisory, covering Equities and/or Futures & Options within a leading financial institution, broker or regulatory authority.
- Demonstrated experience using third-party trade surveillance platforms, such as Nasdaq SMARTS or Actimize, and market data services such as Bloomberg or Reuters.
- Strong knowledge of exchange-traded securities, listed derivatives and the associated trading lifecycle.
- Knowledge of Australian financial markets, market structure and the applicable regulatory framework.
- Understanding of market misconduct risks, Sales and Trading compliance requirements, information barriers and recognised industry practices.
- Ability to interpret trading terminology, market commentary and contextual communications when reviewing electronic communications.
- Understanding of an investment bank’s front-to-back operating model, including the interaction between the Front Office, Operations, Technology, Compliance and other control functions.
- Strong analytical and investigative skills, excellent attention to detail and the ability to manage competing priorities effectively.
- Self-motivated and adaptable, with the ability to learn quickly and work effectively both independently and as part of a regional team.
- Ability to exercise sound judgement, maintain high-quality output and remain effective when working under pressure.
Preferred qualifications, capabilities, and skills
- Knowledge of Australian Equities and Futures & Options markets is desirable.
- Advanced proficiency in Microsoft Office applications.
- Experience with data analytics tools, such as Tableau or Alteryx, or programming languages such as VBA or Python, would be advantageous.
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. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
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.
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