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Asset Management - Private Bank Compliance - Compliance Officer (Segregated Account and Mutual Fund Specialist) - Vice President

Req #: 170097156
Location: London, ENG, UK
Job Category: Compliance
Potential Referral Amount: 3500 Pound Sterling (GBP)
Compliance — Compliance Officer – Segregated account and mutual fund specialist, EMEA Wealth Management ex. Switzerland — Vice President – Based in London
JPMorgan is a leading global financial services firm with operations in more than 50 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 Wealth Management: JPMorgan Private Bank
JPMorgan Private Bank is the world’s premier private bank, operating globally, catering for an ultra-high net worth client base with highly sophisticated investment, wealth preservation and financing requirements. Through discretionary and brokerage services the Private Bank offers a broad range of investment solutions encompassing regulated and alternative investment funds, segregated managed accounts, foreign exchange, fixed income, equities, structured products and derivatives.  It also offers mortgages, cash management and structured lending. For the EMEA platform product origination, structuring and execution are conducted from the London operation.
EMEA Wealth Management Compliance Coverage Strategy
The EMEA Wealth Management Compliance coverage strategy requires:
Product expertise, the in-depth knowledge of a full range of products, including the development, marketing, launch and retirement of UCITS vehicles and segregated managed accounts; and 
Core expertise, the in-depth knowledge and application of firm policy and regulatory requirements across multiple product, service and jurisdictions.  Examples include product governance, suitability, marketing and financial promotions and fund governance.
Position Description
The successful candidate will report directly to the EMEA Head of Investments Compliance and will be a key member of a small but highly regarded team.  The individual will provide general support to the Private Bank businesses in EMEA excluding Switzerland conducted in the region and will focus on support for the development, launch and marketing of JPMorgan and third party strategies and fund products. The individual will:   
  • assess and analyse Compliance and Regulatory issues in respect of proposed new products and services and procedures with specific reference to JPMorgan and third party strategies and fund products;
  • assist business management in the development of policies and procedures designed to achieve and ensure compliance with firm and regulatory requirements;
  • provide clear advice on the application of UK and EU rules and firm policy;
  • provide input into the Compliance Risk Assessment, Testing, Monitoring and Surveillance processes;
  • work with global and regional compliance management;  
  • identify and investigate potential rule and policy breaches, conduct investigations, coordinating corrective action with other control functions as necessary/required; and
  • keep abreast of industry trends and anticipate areas of focus and attention of regulators, keeping business management and Compliance colleagues informed.
Qualifications and Skills 
  • Educated preferably to Degree Level, possibly with appropriate accounting or legal qualification/background
  • Significant experience working in a similar role
  • Good working knowledge of FCA Handbook, EU regulations and US securities laws
  • Excellent working knowledge of Private Banking investment products and, in particular, mutual funds and UCITS vehicles
  • Previous work experience in Investment Banking, Private Banking or Asset Management
  • Ability to work in a fast-paced, dynamic and demanding environment.
  • Attention to detail and control/quality awareness
  • Good communication skills especially the ability to articulate complex issues to a range of audiences, including business management, other Legal and Compliance colleagues, Audit and regulatory authorities
  • Good organisational and planning skills
JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer.
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