JPMorgan Compliance Risk Management Lead - Client Assets 

United Kingdom 

85454800

As a Compliance Officer in the Securities Services Compliance team, you will ensure CIB's adherence to CASS Rules, working closely with various departments to maintain effective compliance frameworks. You will be a key contact for CASS-related queries and audits, leveraging your deep understanding of CASS Rules and strong analytical skills to drive compliance and risk mitigation.

Job Responsibilities

• Develop and maintain a robust CASS compliance framework to ensure adherence to all relevant regulations and guidelines.
• Monitor and assess the effectiveness of existing CASS controls and procedures, recommending improvements where necessary.
• Attend breach calls and provide compliance feedback on issues and escalations.
• Support the LOBs with the annual audit by reviewing documentation and providing guidance and challenge.
• Attend audit meetings to provide updates on CASS oversight.
• Review and support the business in developing and updating CASS policies and procedures in line with regulatory changes and industry best practices.
• Identify, assess, and mitigate risks related to client asset protection, ensuring that appropriate controls are in place.
• Ensure CASS compliance is integrated into the broader risk management framework.
• Work closely with internal stakeholders, including finance, operations, and legal teams, to ensure a comprehensive understanding of CASS requirements and their impact on business operations.
• Provide expert advice and guidance on CASS-related matters to senior management and other relevant parties.
• Stay up-to-date with changes in CASS regulations and industry trends, ensuring that the organization remains compliant and competitive.

Required Qualifications, Capabilities, and Skills

• Bachelor’s Degree or equivalent.
• In-depth knowledge of the FCA Handbook, particularly CASS Rules.
• Understanding of Markets business within CIB.
• Superior analytical and interpretative skills.
• Strong communication and partnership-building skills.
• Ability to identify potential issues and areas for improvement.

Preferred Qualifications, Capabilities, and Skills

Experience in compliance, regulatory consulting, audit, risk, legal, or controls