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Corporate - Compliance Manager, Equities - Vice President

Req #: 180012732
Location: Sydney, NSW, AU
Job Category: Compliance
Potential Referral Amount: 8000 Australian Dollar (AUD)
J.P. Morgan's Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments, financial institutions, pensions, sovereign wealth organizations, states and municipalities entrust us with their business.
Institutional equity sales and trading are conducted in Australia through J.P. Morgan Securities Australia Limited, a participating organisation of the Australian Securities Exchange. J.P. Morgan provides a wide range of innovative equities solutions to investor and issuer clients - from initial public offerings, secondary placements and equity-linked structures, to private placements, equity-derivatives products and block- and portfolio-trading services. The firm's product offerings provide cutting-edge ideas, superior execution and advanced tools for today's changing markets.

We have an exciting opportunity for an experienced compliance professional to become part of our advisory team. You will be responsible for protecting the business reputation of the Equities and Equities Derivatives business in ANZ through the promotion of compliance with all applicable laws, regulations, policies, procedures and ethical standards.
Your responsibilities will include:
  • Assist to develop, administer and maintain a detailed Compliance Plan;
  • Provide compliance and regulatory advice to the business;
  • Oversee and conduct independent testing of compliance with the firms legal and regulatory obligations;
  • Prepare reports on the compliance measures for L&C Management, Business Control Committee and Board Meetings;
  • Manage relationships with key regulatory agencies such as the Australian Securities and Investments Commission, and Australian Securities exchange and Chi-X;
  • In conjunction with the business, develop and administer a Compliance Training Plan for all representatives and, Responsible Executives and Responsible Managers;
  • Monitor new laws and regulations and contribute to new consultation papers as and when they arise;
  • Work closely with regional and global Legal and Compliance teams and contribute to (and lead as appropriate) regional and global initiatives and projects;
  • Keep regional Equities Compliance abreast of issues and contribute to regional initiatives.
  • Support the wider Australia / New Zealand and Asia Pacific Compliance function as and when required.


To be successful, you will need:

  • Tertiary qualifications in finance, business or a related discipline;
  • At least six years of relevant experience in Compliance or a related role, with a focus on Equities markets;
  • Good industry knowledge and understanding of regulatory structures and obligations for the Investment Banking industry in Australia;
  • Strong client focus in terms of developing and maintaining productive relationships with key internal clients across all levels;
  • A solution driven approach, with exemplary problem solving skills;
  • Ability to drive and manage productive and professional regulatory relationships;
  • A collaborative and team focused approach.
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