JPMorgan Markets Compliance Associate / Vice President 

United Kingdom, England, London 

646788496

As a Markets Compliance Associate / Vice President within Market Complaince Team you will provide primary line of Business advisory and regulatory support to the respective Sales and Trading functions. These are leading global Equity businesses that provide a wide range of investment banking services to corporate, institutional and government clients in EMEA. You will require close liaison with other members of the Markets Compliance team, as well as the wider CCOR department (e.g. Control Room, Surveillance, Testing) as and when necessary.

Job Responsibilities

• Assess the impact of new financial regulations and setting appropriate internal Compliance policies and procedures and keeping them up to date.
• Prepare Compliance training materials and conducting programmed and ad hoc training where necessary.
• Provide real-time interpretation of internal Compliance policies and procedures in response to ad hoc enquiries from front and middle office.
• Provide specific input to new product and business initiatives, new regulations, policies, training, monitoring and surveillance escalations.
• Investigate and resolve escalation alerts from Compliance Surveillance and self-escalations from front and middle office.
• Design and perform risk-based Compliance monitoring tests.
• Assist in performing and keeping up to date the 2LOD risk assessments.
• Represent compliance in regional and global Compliance working groups.
• Work with the wider CCOR (Compliance, Conduct and Operational Risk) department.
• Assist in ad hoc administrative tasks of the team.

Required qualifications, capabilities, and skills

• Previous experience within equity market structures, products and the relevant UK, EU and US regulations, particularly, MiFID2, Market Abuse Regulation, EMIR and Dodd-Frank or familiarity with the equivalent regulations in local jurisdiction, on subjects such as management of conflicts of interest, prohibition of insider dealing and market manipulation, mandatory trading and clearing of derivatives and fair treatment of clients.
• Good understanding of the various Equity markets.
• Ability to manage relationships with the businesses at all levels, including senior management.
• Team player, expected to provide cross coverage of the other areas covered by Equity Compliance.
• Ability to work independently, and having sufficient experience to know when to escalate an issue is essential.
• Being proactive, able to think critically about the information presented to senior management, comfortable with subjective situations, and ready to ask appropriate questions and effectively challenge where needed.
• Being able to think “on their feet”, provide ‘live’ regulatory interpretation and decisions to the business, often in high profile and/or time constrained situations.

Preferred qualifications, capabilities, and skills

• Relevant experience of performing a Compliance, Risk or Control role in a global investment bank would be a significant advantage