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Corporate and Investment Bank – Compliance – EMEA Head of Research Compliance– Executive Director - London

Job Description

Job Overview
J.P. Morgan Global Research studies all sectors and markets in which we do business, including equities, fixed income/rates, credit, currency and commodities, emerging markets, derivatives, structured finance and bond indices, while the economics and market strategy teams provide macro and strategic analysis.
As Head of Research Compliance for EMEA you will have primary responsibility for day-to-day compliance advisory coverage in region. You will also be responsible for the day to day management for the local team that supports you.  
Key Duties & Responsibilities
  • Provide pro-active day-to-day advisory service in relation to regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters which impact the EMEA Research business, both generally and on a transaction specific basis
  • Maintain and update business related compliance policies and procedures manuals across all relevant businesses and products
  • Provide induction and ongoing training when required on regulatory requirements, firm policies and best practice issues
  • Assess new products, services and systems in light of new and existing policies and procedures, before, during and after their design and structuring
  • Attend weekly business meetings, risk committees and business control committees as appropriate
  • Maintain and update all required disclosures, disclaimers and hedge clauses which impact EMEA Research
  • Liaise with the Control Room regarding deal updates, restricted list issues and wall crossing approvals
  • Chaperone communications between research and origination as and when required
  • Work with the Supervisory Analysts and Research Business Management to facilitate a cohesive control environment within EMEA Research
  • Liaise and work with compliance colleagues in other regions in order to develop and maintain consistent policies and procedures and approach; attend monthly global compliance calls as appropriate
  • Monitor and review regulatory developments, assess impact on the business and advise management as appropriate
Knowledge, Skills & Experience Required
  • Extensive years Compliance experience, ideally with an advisory compliance coverage background in an investment banking and/or equity capital markets and/or research environment or with a regulator
  • Good knowledge of regulatory and internal control requirements relating to preparation and dissemination of research and interaction of research analysts with non-research personnel.
  • Good knowledge of the relevant securities laws as they impact securities offerings and research.
  • Ability to identify issues and know when to escalate; to meet tight deadlines and make quick and reasoned decisions under pressure.
  • Good presentation skills, articulate, able to communicate quickly and clearly at all levels
  • Excellent interpersonal skills, motivated and organised; a team player, but able to operate under own initiative.
About J.P. Morgan’s Corporate & Investment Bank
J.P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With $18 trillion of assets under custody and $393 billion in deposits, the Corporate & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.  Further information about J.P. Morgan is available at
JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer.
Req #: 160046850
Location: London, ENG GB
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 3500 Pound Sterling (GBP)

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