Overview

J.P. Morgan’s Compliance Department is seeking a highly motivated individual to serve as a Compliance Officer for its EMEA Research business, which is part of the Global Research Department. J.P. Morgan’s Global Research team has more than 900 employees in 27 countries. The team provides actionable insights across every major asset class, including Equity Research, Credit Research, Emerging Markets, Economics, FX, Rates, Currencies, Asset Allocation, Commodities, Technical Analysis, Derivatives, and Strategy. JPM’s Global Research franchise is ranked among the finest in the industry. In this role, you will provide compliance guidance and support to the EMEA Research team, working closely with Investment Banking, Capital Markets, Fixed Income, and Control Room Compliance. You will also partner with Legal and the Firm’s control functions to assess risk, create pragmatic solutions, and develop common standards and practices.

Responsibilities:

  • Provide pro-active and re-active day-to-day advisory services to the EMEA Research business, with a specific focus on regulatory requirements (including MIFID II requirements), internal policies and procedures, best practice guidelines, and reputational matters that impact the EMEA Research business, both generally and on a transaction-specific basis
  • Create and maintain policies and procedures reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices
  • Advise the business on how to meet regulatory obligations and assess the impact of proposed regulations through the evaluation of regulatory developments, as well as the implementation of required controls
  • Evaluate business processes, systems and new initiatives to ensure compliance with regulatory requirements
  • Assist in completing Compliance Risk Assessments and review results with senior management
  • Assist in developing and delivering training to support compliance with applicable regulatory obligations, the firm’s compliance-related policies and procedures and industry best practices
  • Compile and provide metrics and management information for Business Control Forums and other meetings; attend management meetings as key business partner
  • Participate in research industry roundtable groups to discuss regulatory expectations and industry best practices
  • Collaborate with the business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests
  • Independently manage projects necessary to support initiatives both within the Compliance Department and across the firm globally
  • Identify and escalate issues through formal escalation channels, and facilitate timely and effective resolution
  • Liaise with Compliance colleagues in other regions to develop and maintain consistent policies and procedures and approach; attend Global Compliance calls as appropriate
  • Interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies

Knowledge, Skills and Experience Required

  • Ideal candidate will currently be working in a Research, Investment Banking or Markets Compliance role on a compliance advisory team or in a Control Room, or have a relevant Investment Research background. Direct experience in Research Compliance is desirable but not mandatory
  • Strong knowledge of the regulatory and internal control requirements related to the preparation and dissemination of research and the interactions of Research Analysts with non-Research personnel
  • Ability to identify issues and know when to escalate; to meet tight deadlines; and to make quick and reasoned decisions under pressure
  • Good presentation skills, articulate, ability to communicate quickly and clearly at all levels
  • The candidate, who will be based with the business, should possess strong interpersonal/client-handling skills and must be responsive; a team player, but able to operate under own initiative
  • Strong and effective communication and collaboration skills
  • Self-starter, action-oriented and effective listening skills
  • Ability to prioritize in a fast-moving, high-pressure, constantly changing environment, and be flexible in working across internal functions and across regions

To apply for this job please visit jobs.jpmorganchase.com.


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