Corporate - Compliance - EMEA Regulatory Management - Associate

Location:Greater London
Job Type:Full Time

JP Morgan Chase
JPMorgan Chase & Co. is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at http://www.jpmorganchase.com/.
Our Compliance Function

With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.
The EMEA Regulatory Management Compliance Team

The role sits within the EMEA Regulatory Management team (part of the broader EMEA Compliance Department) responsible for the oversight and coordination of the firm’s engagement with UK, EMEA and other global regulators as their interests relate to EMEA. This is a small but critical team within the EMEA Compliance function which offers great visibility of JP Morgan’s regional operations and the opportunity to interact with senior management and subject matter experts across the whole firm.
The Role and Key Responsibilities
  • Act in a flexible regulatory management / exam manager role providing support to the broader team in managing exams and other regulatory interactions as needed in the UK and more broadly, across the the EMEA region where required.
  • The role of regulator / exam manager is a very visible and demanding role, managing the relationship with the relevant regulator for the duration of an exam and also managing the various internal stakeholder groups in an exam. Key aspects of this role are likely to be:
  • Building and maintaining a strong working relationship with the relevant regulator’s lead exam manager or exam management team for a specific engagement;
  • Leading on the management of all the logistics for the smooth running of an exam, including requests for information (pre and during an exam), setting up exam meetings as required by the regulator and making sure that internal prep sessions are set up with the right attendees and the right individuals are properly prepared for their regulatory interactions;
  • Overseeing the schedule of meetings that JPMorgan has with the relevant regulator during the course of an exam. Keeping comprehensive records of meetings and agreed actions / deliverables;
  • Overseeing the delivery of information to the relevant regulator in a timely manner and tracking the various deliverables / requests for information. Reviewing the quality of these submissions and taking action where necessary; and
  • Providing timely and relevant MI and updates on the progress of exams to key internal stakeholders, including senior management.
  • Working as a broader member of the EMEA Regulatory Management team to ensure relationships with regulators across the region are managed appropriately, getting involved with other regulatory requests and initiatives as necessary including meetings and regulatory requests for information.
  • Working closely and effectively across the organization and across lines of business with other key stakeholders in the firm's regulatory relationships, both within the context of an exam and more broadly.
  • Develop a good awareness of regulatory interactions in the region and support other team members in their interactions and relationship management with all relevant regulators.
  • Playing a role in the overall maintenance and improvement of internal regulatory interaction and exam management processes, including the production of MI, maintenance of records in the firm’s system of record for regulatory management (ROSE), assisting with quality control work and other initiatives as necessary.
Required Skills and Experience:
  • Background and experience in a banking or risk management environment, or financial services from a legal or regulatory perspective.
  • Previous experience in dealing with and maintaining relationships with UK, US or European regulators within a large and complex financial services firm or experience working at a relevant regulator would be beneficial.
  • Good knowledge of key financial services regulation and the ability to undertake analysis of regulations and go back to and interpret regulatory core texts and rule books;
  • Strong team player willing to work closely across and with multiple teams where inter-dependencies will be strong and ongoing. Can do attitude with a willingness to help others in the team and external to the team. Willingness to go beyond the day to day to deliver excellence;
  • Strong analytical skills and ability to understand and interpret requirements;
  • Excellent communication and presentation skills, with the ability to translate complex regulatory issues into comprehensible messages for a range of audiences and levels;
  • Ability to think, plan and execute on complex projects simultaneously in an organized manner;
  • Meticulous attention to detail, strong organizational and project management skills and a commitment to ensuring that information provided to the firm’s regulators is of a high standard;
  • The ability to offer robust and constructive challenge, at all corporate title levels and across different disciplines – to become a trusted advisor to the business on exam management and regulatory relationship matters;
  • Ability to consider the regulators’ position and understand, anticipate and react positively to their requirements and demands;
  • Strong judgement and the ability to exercise sound judgement under pressure when faced with imperfect information;
  • Willingness to travel periodically within the region and support exams.

About J.P. Morgan Chase & Co:

J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its JPMorgan and Chase, and WaMu brands.


JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer and a member of the UK Government’s Disability Confident Scheme.

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