7 Information Barriers Jobs

In this role at Compliance Conduct and Operational Risk division, as a trade surveillance personnel, your primary responsibility will be to identify potential instances of market abuse, such as insider trading and market manipulation. You will utilize well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team plays a crucial role in monitoring risks across markets using the established surveillance program to protect the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Key Responsibilitie...

As part of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in ensuring the firm's strength and resilience. Anticipating emerging risks and using your expert judgement are key in growing the business responsibly and addressing real-world challenges affecting the company, customers, and communities. The culture in Risk Management and Compliance encourages thinking outside the box, challenging the status quo, and striving for excellence. **Key Responsibilities:** - Review applicable communications surveillance alerts and communications subject to first-level review to identify unusual activity and potential compliance issues. - Collaborate with business and compliance ...

Job Description At Compliance Conduct and Operational Risk division, as a trade surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the information barrier and restricted list policies. The trade surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements. Job Responsibilities Rev...

Role Overview: As a member of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in maintaining the strength and resilience of the company. Your expertise is vital in facilitating responsible business growth by proactively identifying and addressing emerging risks. By leveraging your expert judgement, you tackle real-world challenges that have a direct impact on the company, its customers, and the broader communities we serve. Within the Risk Management and Compliance team, our culture encourages innovative thinking, challenges conventional practices, and strives for excellence in all endeavors. Key Responsibilities: - Review communications surveillance alerts and comm...

Join us as a Business Analyst 4 (BA4) in the BBPLC Control Room at Barclays, where Compliance Control Room plays a crucial role in managing Legal, Regulatory, and Reputational Risks across all lines of business. Our team handles business critical functions related to key controls for managing Market Abuse, potential Conflicts of Interest, Information Barriers, Regulatory Insider Lists, Watch List, and Restricted Lists. As a BA4 in the Control Room team, your responsibilities include providing advisory services on Information Barrier Controls, analyzing private side transactions, liaising with senior bankers, and ensuring compliance with US Securities law requirements. To excel in this role, ...

As part of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in ensuring the strength and resilience of the firm. Your expertise is vital in facilitating responsible business growth by proactively identifying new and emerging risks. With your insightful judgment, you tackle real-world challenges that impact the company, customers, and communities. The culture within Risk Management and Compliance encourages innovative thinking, challenging the norm, and striving for excellence. Joining the Compliance Conduct and Operational Risk division as an E-Communication surveillance personnel, your primary responsibility is to detect potential instances of market abuse, such as ...

As an E-Communication Surveillance personnel at Compliance Conduct and Operational Risk division, your primary responsibility will be to identify potential instances of market abuse, specifically insider trading and market manipulation. You will utilize established surveillance systems to monitor activities in both Firm and Employee accounts in order to ensure compliance with policies. The E-Communication surveillance team plays a crucial role in assessing risks across markets and implementing surveillance programs to protect the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Your role will involve reviewing communications surve...