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Corporate & Investment Bank - Compliance – Equities Compliance Officer - Executive Director - London

Job Description

Compliance Officer- Senior Equity Compliance Officer
The Markets Compliance Team comprises of 20 professionals and is based on the London Equities, Fixed Income and Commodities Trading Floors. The Team is responsible for providing real-team advice and support on regulatory matters to the predominantly London-based EMEA Markets businesses. The Team forms part of the Compliance Department which covers JPMorgan’s investment banking, corporate banking and treasury services businesses in the EMEA region.

The Team is recruiting for an experienced, high calibre experienced Executive Director-level individual to provide senior advisory support and relationship management within the Equities businesses; including cash equities, vanilla and exotic equity derivatives, Electronic Client Solutions, ECM Syndicate, portfolio trading and convertible bonds. These are among the leading capital markets businesses in Europe, managing J.P. Morgan’s EMEA equity-related activities and providing capital raising services in the primary and secondary markets for corporate and institutional clients.  The successful candidate should have an in-depth understanding of the equity markets and ideally across all Equities product areas. The role will report to the Head of EMEA Equity Compliance.
This is an advisory role covering equity market activities in various forms across all developed and emerging market EMEA jurisdictions. As such, the work is varied and time critical, requiring a good understanding of market structures, products, new issuance processes, prospectus requirements, market abuse regulation and stabilisation.

The successful candidate will be expected to manage relationships with the businesses at all levels, including the regional heads.  They must be able to think of their feet, often providing ‘live’ regulatory interpretations and decisions to the business in high profile and/or time constrained situations. 
Candidates must be good team players and will be expected to provide back-up support to the equity businesses generally and potentially also provide input to new product proposals, business re-organisations, other ad hoc projects, etc. e.g. review of specific initiatives/transactions/structures to identify regulatory issues, as well as term sheets, financial promotions, etc.
The role will require close liaison with the Legal Teams covering these businesses to identify and manage the regulatory risks associated with specific transactions and the businesses as a whole.  A detailed working knowledge of the FSA COB rules, UK Market Abuse Code and recent UK and EU regulatory developments, such as MiFID II, MAR, EU SSR, etc is a pre-requisite.
Experience / Qualifications
The successful candidate is likely to have significant trading floor compliance experience gained within a similar Compliance environment and preferably having significant exposure to equity markets.
Based on the trading floor, candidates should possess excellent client handling skills, a self-confident and proactive approach to their work and a desire to work at the forefront of an equity business widely recognised as one of the leading players in this market.
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 #: 160017944
Location: London, ENG GB
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 3500 Pound Sterling (GBP)

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