Trade Surveillance Quality Assurance Tester

Compliance Officer

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and
operations in more than 60 countries. The firm is a leader in Investment & Corporate Banking; Financial
Services for consumers, small business and commercial banking; financial transaction processing; asset
management and private equity.

The Quality Assurance (“QA”) Team is an integral part of the controls environment within Compliance
and is responsible for conducting a continuous testing program against internal procedures and regulatory
requirements to ensure quality, completeness, and accuracy.

In particular, the Quality Assurance Tester (QA) will perform targeted reviews; summarize results, and
present to stakeholders. The QA will be expected to determine gaps in process and procedure; question
integrity of data and adherence to processing and servicing standards, policies and procedures. The QA
will be accountable for analyzing issues, improving business processes and providing recommendations
for improvements. In addition the QA team reviews, on a sampling basis, cross-team testing across
corporate and transaction streams.

Responsibilities

 Perform independent analysis on closed E-Communications and Trade Surveillance alerts

to verify controls/standards are met.

 Question and investigate the reliability and integrity of data, the validity of conclusions,
and the appropriateness of assumptions made.

 Review quality and compliance of completed alerts, based on quality testing standards,
the E-Communications and Trade Surveillance process, and the nature of the breach

 Identify key issues, cause and effect relationships, and gaps in the process that impact
quality, accuracy, and/or compliance. Report results to management.

 Make decisions based on audit principles, risk management practices, verifiable data,
professional standards, internal policy and governmental guidelines.

 Consider regulatory requirements, departmental resources, and E-Communications and

Trade Surveillance goals and objectives to identify alternatives that are practical and
appropriate, in addition to effective

 Pave the way for continuous improvement in the E-Communications and Trade
Surveillance process, and serves as a change agent

 Escalate control issues to management

 Leads the business meetings and discussions during stakeholder meetings

 Interface with internal Audit as appropriate

  Build & develop strong knowledge base on multiple functions within the team using cross
training methodology to create synergies

 Foster and champion High Performance Culture where people are empowered to make
decisions that affect their work/environment

 Work with Global Partners to ensure consistency with the Global QA framework and
governance approach

 Maintain the highest level of confidentiality throughout the QA process, disclosing only
pertinent information to key stakeholders

 Question and investigate the reliability and integrity of data, the validity of conclusions
and the appropriateness of assumptions made (where appropriate)

 Perform root cause analysis and make recommendations for addressing identified
deficiencies or improvements to business processes

Qualifications

•Bachelor’s degree required

•5+ years of Compliance, Surveillance, or Risk related experience in a management role within a financial
services environment

•Experience with e-discovery or e-communications surveillance platforms and tools and experience with
Financial Services industry. AML/BSA, compliance or investigative background preferred

•Knowledge of public data research including internal surveillance systems & applications preferred

•Understand E-Communications and Trade Surveillance practices as it relates to escalations and actions
taken

•Ability to translate technical data and information into business reports and presentations

•Exceptional research and analytical skills with the ability to analyze large amounts of data and disposition
appropriately

•Excellent organization, written and oral communication skills.

•Strong documentation skills to clearly articulate results of testing

•Strong analytical and problem solving skills, demonstrate ability to handle multiple tasks in a fast-paced
environment

•Proficiency in MS Office, documentation and metrics

•Experience with SMARTS or similar trade surveillance systems is a plus