Nicholas Coleman
Licensed Private Investigator. Manager Argos Intelligence Group LLC
- Role
- Associate Compliance Analyst at J.P. Morgan
- Location
- Philadelphia, PA, US
- LinkedIn followers
- 500 followers
About Nicholas Coleman
Delaware Licensed Private Investigator. Investigator with proven ability to integrate…
Experience
Associate Compliance Analyst
Apr 2019 — Present · Philadelphia, PA, US
Employee Risk and Compliance and Employee Surveillance. Reviewed transactionaldetails for employees subject to JP Morgan’s Personal Account Dealing (PAD); insuringbrokerage accounts in accordance with compliance regulations, preventing andinvestigating insider trading and identifying employees who have access to non-publicmaterial.• Reviewed, investigated and reconciled employee pre-cleared transactions vs. accountdocumentation. Escalated PAD Policy Violations to Compliance Advisory partners asapplicable.• Implemented several tactical and strategic improvements to Employee Complianceplatforms and processes through Process Improvement Tracker.• Communicate regularly with Compliance Management team and Employees regardingpersonal account dealing.• Collect, collate and reconciliation of employee documents required for brokerage accountdisclosures and employee personal trading activity.• Participated in special assignments and ad hoc requests. Coordination with externalbroker/ dealers holding employees\' personal brokerage accounts.
Skills
- Investigation
- Fraud
- Management
- Microsoft Excel
- Banking
- Risk Management
- Public Speaking
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