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Corporate - EMEA Compliance - Research Compliance - EMEA Head of Research Compliance – Executive Director

Req #: 180024208
Location: London, ENG, UK
Job Category: Compliance
Potential Referral Amount: 3500 Pound Sterling (GBP)
Job Overview
 
J.P. Morgan's Compliance Department is seeking a highly motivated individual to serve as EMEA Head of Research Compliance. In this role, you will provide day-to-day management and oversight of the EMEA Research Compliance Team, form part of the management team for the Global Research Compliance function and the EMEA Banking & Research Compliance team, assist and advise Senior Management on major regulatory developments and policy requirements, and provide second-line of defence oversight of regulatory controls that exist within the business. You also will work closely with Investment Banking, Capital Markets, Fixed Income, and Control Room Compliance and partner with Legal and the Firm’s control functions to assess risk, create pragmatic solutions, and develop common standards and practices.
 
The EMEA Research business is part of the Global Research Department. J.P. Morgan’s Global Research team has more than 900 employees in 27 countries. The team provides actionable insights across every major asset class, including Equity Research, Credit Research, Emerging Markets, Economics, FX, Rates, Currencies, Asset Allocation, Commodities, Technical Analysis, Derivatives, and Strategy. JPM’s Global Research franchise is ranked among the finest in the industry.
 
Key Duties and Responsibilities
 
  • Provide management oversight of the EMEA Research Compliance team
  • Work within a Global Research Compliance Team to develop best practices and consistent global standards
  • Work as part of the management team for the wider Investment Banking, Research and Control Room Compliance function to drive effective relationships between the different teams and ensure consistent and holistic coverage of relevant issues
  • Provide pro-active and re-active day-to-day advisory services to Research Management and Research Analysts regarding regulatory requirements (including MIFID II requirements), internal policies and procedures, best practice guidelines, and reputational matters that impact the EMEA Research business, both generally and on a transaction-specific basis
  • Ensure business-related compliance policies and procedures manuals are maintained across all relevant asset classes and provide induction and ongoing training on regulatory requirements, firm policies and best practice issues, using one-to-one and classroom methodologies as appropriate
  • Assess new products, services and systems in light of new and existing policies and procedures, before, during and after their design and structuring, in line with JP Morgan’s New Business Initiative Approval process
  • Represent EMEA Research Compliance at weekly Senior Management meetings, risk forum and other meetings, as appropriate
  • Work with Research Business Management, the Research Business Control team and the Supervisory Analysts to facilitate a cohesive control environment within EMEA Research
  • Liaise with Compliance colleagues in other regions develop and maintain consistent policies and procedures and approaches; attend monthly Global Compliance calls, as appropriate
  • Partner with Internal Audit and the Compliance Testing Team in connection with audit reviews and compliance testing of the EMEA Research business
Knowledge, Skills and Experience Required
 
  • Ideal candidate will currently be a Head of or Senior Manager in a Research, Investment Banking or Markets Compliance role. Direct experience in Research Compliance is highly desirable
  • Detailed knowledge of regulatory and internal control requirements relating to the preparation and dissemination of research and the interaction of Research Analysts with non-Research personnel
  • Excellent presentation skills and presence, with a strong ability to articulate regulatory issues within a commercial context across all levels of the firm
  • The candidate, who will be based with the business, should possess strong interpersonal/client-handling skills and must be responsive; a team player, but able to operate under own initiative
  • Strong and effective communication and collaboration skills
  • Self-starter, action-oriented and effective listening skills
  • Ability to prioritize in a fast-moving, high-pressure, constantly changing environment, and be flexible in working across internal functions and across regions
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.
 
J.P. Morgan offers an exceptional benefits program and a highly competitive compensation package. J.P. Morgan is an Equal Opportunity Employer

 

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