Compliance Analyst (Personal Trading)-100006802 Job Details
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| Compliance Analyst (Personal Trading)-100006802 (Ref: 100305-KD-28) |
| Sector, Sub Sector: |
Capital Markets
|
| Compliance Type: |
Regulatory/Compliance
|
| Expertise: |
-
|
| Company: |
JP Morgan Chase
|
| Location: |
New Jersey
Americas, United States
|
| Employment Type: |
Permanent
|
| Job Description: |
Job Description
The Personal Trading Group is located in Jersey City, NJ and covers employees in certain business groups in the US and Canada. This group monitors employee trading to safeguard the Firm and to prevent employees from trading on material non-public information. They enforce policies that establish trading limitations and include requirements for pre-clearance of personal securities transactions and the use of designated brokers.
Responsibilities:
* Review employee trade and exception reports for possible insider trading, securities laws and Firm policy violations and escalate issues;
* Track the receipt of various Certification requests that are sent out;
* Input trade confirmations for exempt employee broker accounts into internal database;
* Review monthly account statements for activity and to ensure that all trade confirmations have been received;
* Process outside account alerts from outside vendor;
* Run and distribute various personal trade request reports to different groups on a regular basis;
* Draft letters to brokerage firms regarding employee brokerage accounts;
* Systematic reviews of information to ensure accuracy;
* Run various reports from internal system --identify employee accounts from designated brokers; identify closed and separated employees and update systems accordingly;
* File and archival of employee/group files;
* Distribution of mail;
* Any other duties assigned.
Qualifications
Skills required
* Experience in a Compliance setting and knowledge of securities industry and products required.
* Data entry with speed and accuracy;
* Strong organizational skills and tolerance for high volume;
* Good phone etiquette;
* Ability to work in a team environment and communicate effectively;
|
| Job Ref No: |
100305-KD-28
|
