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Corporate – EMEA Compliance – Research Compliance Officer – VP/ED, London

Job Description

J.P. Morgan is a leader in financial services, offering innovative and intelligent solutions to clients in more than 100 countries with one of the most comprehensive global product platforms available. We have been helping our clients to do business and manage their wealth for more than 200 years and we keep their interests foremost in our minds at all times. This combination of product strength, intellectual capital and character sets us apart as an industry leader. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a global financial services firm with assets of $2.0 trillion
Job Overview
As a member of the EMEA Banking / Research Compliance team, you will provide day-to-day compliance advisory coverage to the Research business within EMEA. 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.
The EMEA Banking/Research Compliance Team is based in London and currently comprises 27 professionals and covers Investment Banking, Corporate and Commercial Banking, Research and Credit Risk Management across EMEA, and includes the Control Room. The role reports to the EMEA Head of Research Compliance.
Key Duties & Responsibilities
  • Provide a pro-active and re-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 asset classes and provide induction and ongoing training on regulatory requirements, firm policies and best practice issues, using one-to-one and classroom methodologies as appropriate
  • 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 bankers 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
  • Partner with Internal Audit and the Compliance Testing Team in connection with audit reviews and compliance testing of the EMEA Research business
Knowledge, Skills & Experience Required
  • Ideal candidate will currently be working in a research compliance role in a compliance advisory team or in a control room, or have a relevant investment research background
  • Good knowledge of regulatory and internal control requirements relating to preparation and dissemination of research and interaction of research analysts with non-research personnel.
  • 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, ability to communicate quickly and clearly at all levels
  • Based on the floor with the business, candidate should possess good interpersonal/client handling skills and a motivated and responsive approach to their work; 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 #: 160024882
Location: London, ENG GB
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 3500 Pound Sterling (GBP)

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