Corporate - EMEA Compliance - Personal Account Dealing Compliance Officer - Vice President

Location:Bournemouth
Job Type:Full Time
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Organisation


J.P. Morgan is a leading global financial services firm with operations in more than 60 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.


EMEA Compliance supports all businesses within the region. The department is responsible for: (i) interpreting and advising on financial regulations (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.


The Personal Account Dealing (PAD) team is responsible for managing the regulatory risks associated with employee personal trading activity in-line with relevant regulations and internal policy standards. The main objective of the team is to mitigate the risk of actual or perceived conflicts of interest and also mitigating the risk of market abuse as they relate to employee personal trading activity


Summary of Job Responsibilities:


  • Assess the risk associated to Pre-clearance requests where the outcome cannot be systematically determined
  • Engage with senior management and various stakeholders within the region to ensure adherence to the PAD Policy
  • Serve as an SME escalation point for queries from employees and LOB Compliance
  • Handle enquiries and investigations for adverse/sensitive issues raised to Compliance that require liaison with Senior Compliance Managers, Employee Relations and Legal.
  • Develop core relationship with industry forums and Approved Brokers to maintain industry standards
  • Be accountable for the PAD subject population in the region and review the adequacy of the subject population
  • Update and enhance PAD processes and procedures to reflect changes in regulatory environment and synchronize policies across different businesses and regions
  • Work closely with the PAD Processing team to ensure policies can be supported from an operational and implementation standpoint
  • Enhance and deliver PAD training for new hires, newly subject employees/contractors, and senior executives
  • Improve / enhance communications from the PAD group to the EMEA employee population
  • Engage with the global PAD team to achieve the optimal monitoring model for PAD monitoring processes



Requirements:

  • Understanding of a wide range of financial instruments and financial markets
  • Strong problem solving and analysis skills.
  • Execution skill – Able to deliver results/ meet deadlines under pressure.
  • Confident and effective communicator across all levels of the business
  • Demonstrated success in managing projects involving multiple stakeholders
  • Policy development experience.
  • Excellent presentation skills

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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.