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Corporate and Investment Bank – EMEA Employee Compliance - Compliance Officer– Associate/Vice President, London

Job Description

Organisation:

JPMorgan 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.

 

 The EMEA Compliance Department supports the group's Markets, Investor Services, Global Wealth Management and Banking businesses in the region.  The department is responsible for: (i) interpreting and advising on financial regulations and/or internal Compliance policies; (ii) development of appropriate Compliance policies and procedures; (iii) providing staff training; (iv) monitoring and analysing business activities; and (v) interfacing with regulators (vi) employee compliance.

Role:

The Employee Compliance team is responsible for managing compliance risk management programs related to 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, 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 (CoC), Personal Account Dealing (PAD), Licensing and Registrations (L&R), Anti-Bribery and Corruption (ABC) and Consecutive Leave (CL) across all LOBs and locations in EMEA.  

Summary of Job Responsibilities:

Support the EMEA Compliance Manager for PAD to:

• Update and enhance PAD processes and procedures to reflect changes to the business and regulatory environment and synchronize policies across different businesses and regions. 

• Work closely with EMEA Compliance Operations to ensure policies can be supported from an operational and implementation standpoint.

• Develop, update and maintain the EMEA PAD Compliance operating procedures.

• Periodically reassess and update designations of all covered employees within the region (i.e. – assess subject population across businesses, private side, public side, access persons, window list, senior executives, etc.). 

• Enhance PAD training and communication for new hires, newly subject employees/contractors, and senior executives.

• Enhance and update the existing training and implement an annual PAD training program for Compliance and Operations staff in EMEA.  Focus on ensuring new and existing PAD staff are properly trained on the relevant policies, operating procedures, regulatory risks, and system functionality/tools.

• Improve / enhance communications from the PAD group to the EMEA employee population (e.g. window period reminders, blackout period reminders, PAD policy updates/bulletins, new PAD systems features, annual attestation requirements, targeted policy reminders, business specific policy/process changes, registration requirements).

• Design improvements to personal account dealing surveillance processes.

• Ensure that processes are fully integrated and streamlined between Compliance Operations and Personal Account Dealing Compliance Advisory teams.

• Provide Personal Account Dealing policy advice to Lines of Business.

• Handle enquiries and investigations for adverse/sensitive issues raised to Compliance that require liaison with Senior Compliance Managers, Employee Relations and Legal.

•  Understand the Risk and Controls environment and how it affects the functions within the day to day processes.

• Oversee EMEA Compliance Operations, working closely with the team to ensure processes are being followed

 

Requirements:

• Significant relevant experience in compliance, risk management, or regulatory related function in the financial services industry.

• Strong working knowledge of the applicable regulatory rules applicable to Personal Account Dealing.

• Strong understanding of a wide range of financial instruments.

• Strong problem solving and analysis skills.

• Execution skill – Able to deliver results/ meet deadlines under pressure.

• Able to work to high standards of accuracy and efficiency.

• Demonstrated project management experience

• Experience managing organizational change

• Policy development experience.

• Procedure writing experience and attention to detail.

• Strong written and verbal communication skills.

• Experience of dealing with regulatory matters.

• Excellent presentation skills.

• Team management or leadership experience.

• University degree preferably in business, finance, or economics or relevant experience.

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 www.jpmorgan.com.
 
JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer.

Req #: 160029289
Location: London, ENG GB
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 3500 Pound Sterling (GBP)

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