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Private Bank - Compliance - Compliance Officer - Vice President - London

Job Description



JPMorgan Private Bank is the world’s premier private bank, operating globally, catering for an ultra high net worth client base with highly sophisticated investment, wealth preservation and financing requirements. Through discretionary and brokerage services the Private Bank offers a broad range of investment solutions encompassing alternative investments, structured products, mutual funds, derivatives and securities.  It also offers cash management, corporate finance advice, structured lending, and acts as manager of regulated funds. For the EMEA platform product origination, structuring and execution are conducted from the London operation.


EMEA Compliance Coverage Strategy


The EMEA Compliance coverage strategy requires:


Product expertise, the in-depth knowledge of a full range of products, including fx and securities, banking products, derivatives, structured products, investment funds (including Hedge Funds and Private Equity), their purpose, target clients, specific relevant risks, deal/trade/process flow and settlement. 


Core expertise, the in-depth knowledge and application of firm policy and regulatory requirements across multiple product, service and jurisdictions.  Specifically Client Assets (CASS) and awareness of Suitability, Financial Promotions, , Conflicts of Interest, Private Placement rules, AML, Chinese Walls, FCA Licensing & Registration, Best Execution, Market Abuse, and UCITS and AIFMD.


Position Description


The successful candidate will report directly to Nicola Scott, ED Compliance Director and will be a key member of a highly regarded team.  The individual will provide general support to the Private Bank businesses conducted in the region and will have a primary focus on the CASS requirements  within the private bank and other investment products. The individual will:  


·         Assess and analyse Compliance and Regulatory issues as they pertain to CASS;

·         Assess and analyse the impact of proposed new products, services and procedures;

·         Assist business management in the development of policies and procedures designed to achieve and ensure compliance with firm and regulatory requirements;

·         Support and advise the CF10a on all CASS related issues raising awareness of any industry best practices

·         Represent Compliance at the CASS Committee and other working groups as required

·         Act as the CASS SME within the Private Bank ensuring appropriate liaison with the regional CASS SME within J.P. Morgan

·         Assist and advise on the implementation of regulatory change

·         Provide clear advice on the application of UK, EU and US rules and firm policy;

·         Liaise with internal and external auditors and manage responses and action compliance issues raised in audit reports & Control Self Assessment reviews;

·         Work with global and regional compliance management;  

·         Identify and investigate potential rule and policy breaches, conduct investigations, coordinating corrective action with other control functions as necessary/required;

Qualifications and Skills


·         Educated preferably to Degree Level, possibly with appropriate accounting or legal qualification/background.

·         Significant experience working in a similar role.

·         Excellent working knowledge of the CASS rules

·         Good working knowledge of PRA/FCA Handbook, EU regulations and US securities laws.

·         Excellent working knowledge of Private Banking investment products and alternative investments.

·         Previous work experience in Investment Banking, Private Banking or Alternative Asset Management.

·         Ability to work in a fast-paced, dynamic and demanding environment

·         Attention to detail and control/quality awareness.

·         Good communication skills especially the ability to articulate complex issues to a range of audiences, including business management, other Legal and Compliance colleagues, Audit and regulatory authorities.

·         Good organisational and planning skills.


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 #: 150108537
Location: London, ENG GB
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 3500 Pound Sterling (GBP)

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