J.P. Morgan is a leading global financial services firm with operations in more than 50 countries. The firm is an established leader in investment banking; financial services for consumers and businesses, financial transaction processing, asset and wealth management, and private equity.
EMEA Compliance supports all businesses within the region. The department is responsible for: (i) interpreting and advising on financial regulations; (ii) development of appropriate Compliance policies and procedures; (iii) providing staff training; (iv) monitoring and analysing business activities; (v) interfacing with regulators; and (vi) employee compliance.
Our Compliance Function
The Employee Compliance team is responsible for managing compliance risk management programs concerning key employee related regulatory risk, reporting to relevant governance committees and/or senior management in relation to the Employee Compliance Programme and/or employee related regulatory risks. This extends to designing and executing risk mitigation strategies, developing and conducting training, managing internal audit and relevant regulatory exams. This includes provision of advice, implementation of policies and/or controls, development/provision of training and oversight of operational processes relating to Code of Conduct, Personal Account Dealing, Licensing and Registrations (covering all regulated individuals), Anti-Bribery and Corruption and Anti-Trust across all LOBs and locations in EMEA.
Summary of Job Responsibilities
Act as a key partner in regulatory or process change matters concerning regulated persons and provide substantial input to ensure successful implementation and ongoing adherence to regulatory requirements.
Provide timely advice and support to global businesses and key stakeholders on the UK Individual Accountability Regime (IAR), FCA Approved Persons Regime and MiFID II Knowledge & Competence requirements.
Produce, collate and analyse metrics to enable appropriate oversight over the activities of key stakeholders and functions that support the operating model for the onboarding and ongoing assessment of regulated individuals. The individual must be a specialist in handling data, with proven ability to present information succinctly, and in a variety of formats.
Prepare materials for various governance forums related to licensing and registrations, and, where required, acting as secretariat.
Perform and coordinate quality assurance processes to ensure adherence to appropriate standards around the upkeep of regulatory documents and operational processes relating to the UK IAR.
Develop, enhance and maintain relevant policies, procedures and controls processes related to regulated individuals.
Maintain SharePoint and intranet sites, including associated overview and training documents relating to regulated individuals.
Support of strategic projects such as ongoing implementation for the next phases of the IAR regime and technology enhancements for systems used by the Employee Compliance team.
Enhance training and communication for new hires, employees and senior executives regarding their responsibilities under the UK IAR.
Focus on risk and controls and how it affects BAU processes - ensuring appropriate records are being kept to evidence adherence to regulatory and Firmwide requirements, whilst acting in accordance with the General Data Protection Regulation.
Bachelor Degree in Business, Law or other related subject preferred.
Experience in either a finance, analytics or operations environment.
Working knowledge of requirements around regulation of individuals across EMEA, with particular focus on the UK IAR, APER and MIFID II Knowledge and Competence is desirable
Experience in Licensing and Registrations in Germany, Luxembourg and Ireland would be desirable
Understanding of how the General Data Protection Regulation applies in practice.
Advanced skills in Excel, PowerPoint, SharePoint and MS Project as well as understanding/ willingness to learn business-related analytic tools is a must.
Attention to detail and ability to understand operational process/procedures with a focus on risk and controls.
Policy, procedure and controls development experience.
Proven experience of collaborating and driving deliverables globally and across multiple functions and stakeholders.
Project Management skills - experience of supporting complex projects across different stakeholders and delivery within tight deadlines.
Ability to handle competing priorities and work in a pressurised environment.
About J.P. Morgan Chase & Co:
J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its JPMorgan and Chase, and WaMu brands.
JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer and a member of the UK Government's Disability Confident Scheme.
Internal Number: 6116441
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