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Corporate - EMEA Compliance - Control Room - Vice President

Req #: 170115583
Location: London, ENG, UK
Job Category: Compliance
Potential Referral Amount: 3500 Pound Sterling (GBP)
JP Morgan Chase
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at http://www.jpmorganchase.com/.
 
Our Compliance Function
With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face.  The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.
 
Global Control Room
The Global Control Room has offices in New York, San Francisco, Hong Kong, Tokyo, Sydney and Mumbai and operates under a global framework of policies and procedures. The Global Control Room has prime responsibility for maintaining the firm’s Chinese Walls and Global Watch and Restricted Lists. The EMEA Control Room currents consists of 8 employees
  
The Role
Reporting to the Head of EMEA Control Room (an Executive Director), you will be a senior member of the team
 
Key Responsibilities: 
  • Day to day involvement in the core responsibilities of Control Room Compliance including:
    • maintaining and monitoring the firm's Chinese walls/ wall crossings/ flow of non-public information
    • pre-clearing permitted communication between banking and research
    • obtaining deal updates from bankers
    • implementing necessary sales, trading and research restrictions,
    • research clearance
    • maintaining the firm's insider lists
 
  • Providing advice and guidance to front office businesses in respect of permissible interaction with research analysts/providing chaperoning as necessary and on implications of firm's Restricted List Policy and other Control Room related activities. 
  • Providing ongoing advice and guidance to the business in respect of Chinese wall, insider dealing and market abuse issues. 
  • Participating in the Compliance team training efforts and taking responsibility for providing training to various business areas in specific areas of expertise. Participating in the conduct of internal and external enquiries and investigations as necessary. 
  • Provide mentoring and coaching to the less experienced members of the Control Room in order to improve / enhance their knowledge.
Required Skills and Experience:
  • Control Room experience or exposure to a Control Room environment.
  • Methodical person with attention to detail, strong administrative skills and analytical approach to problem solving.
  • Ability to identify real issues and know when to escalate.
  • Ability to meet tight deadlines and to make quick and reasoned decisions under pressure.
  • Excellent interpersonal skills, strong personality, confident, highly motivated and organised. A team player, but able to operate under own initiative.
  • Good working knowledge of regulatory and internal control requirements, particularly in relation to 
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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