JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com .
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The Compliance Officer, Financial Markets is responsible for the ongoing development and maintenance of the Compliance Program as it relates to the Australia and New Zealand Futures & Options and OTC Clearing business groups.
Your responsibilities will include :
Collaborating with the markets compliance team to develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program.
Partnering with other control/support groups to identify potential compliance issues and where appropriate direct compliance issues through those channels for further investigation and resolution.
Assisting with broader Markets Compliance matters concerning FICC and Equities markets regulation.
Conducting ongoing compliance testing activities to validate the veracity, effectiveness and ongoing relevance of the Markets Compliance Program.
Identifying potential areas of compliance vulnerability and risk, developing/implementing corrective action plans and providing guidance on how to avoid or deal with similar situations in the future.
Ensuring proper reporting of contraventions or potential contraventions to relevant regulatory authorities.
Assisting with the development and maintenance of strong, open, and effective relationships across differing layers of relevant regulatory authorities, including ASIC, ASX24, and ASX.
Maintaining awareness of all regulatory change relevant to the financial markets and OTC Clearing businesses in Australia and New Zealand.
Understanding proposed/impending changes, assessing their impact to the business groups and ensuring appropriate information dissemination in relation to such changes.
Assisting with the annual Training Program for the Markets business groups in Australia and New Zealand.
To be successful, you will need:
A tertiary qualification in law, accounting, business or related discipline.
At least three years of relevant experience in exchange traded markets / OTC derivatives Compliance, either within a financial services institution, a reg ulatory agency or exchange.
Broad knowledge of Australian and New Zealand financial markets regulation, with k nowledge of international markets regulation (Dodd Frank & Mifid) highly regarded.
The ability to drive projects, manage competing workstreams and prioritise accordingly.
Strong communication skills and an ability to tailor communication styles to different situations and audiences.
Ability to develop and maintain productive relationships with key internal clients and external regulatory bodies across all levels
J.P. Morgan is an equal opportunity employer and is committed to providing a working environment that embraces and values diversity and inclusion. We are proud to retain our Silver Employer status in the 2018 Australian Workplace Equality Index (AWEI). If you have any support or access requirements, we encourage you to advise us at time of application.