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Corportate- EMEA Compliance - Equity Compliance Officer - Vice President

Req #: 170118602
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.
 
Team
 
The Markets Compliance Team comprises of 30 professionals and is based on the London Equities, Fixed Income and Commodities Trading Floors. The Team is responsible for providing real-time advice, policy and training on regulatory matters to the predominantly London-based EMEA Markets businesses. The Team forms part of the Compliance Department which covers JPMorgan’s Corporate and Investment Banking, Security Services and Private Banking businesses in the EMEA region.
 
This is an advisory role covering equity market activities in various forms across all developed and emerging market EMEA jurisdictions. As such, the work is varied and time critical.
 
Duties and responsibilities:
 
- provision of real-team advice and support on regulatory matters to the EMEA Markets businesses
 
- provision of advisory support and relationship management within the Equities Derivatives businesses.
 
- manage relationships with the businesses at all levels.
 
-provide ‘live’ regulatory interpretations and decisions to the business in high profile and/or time constrained situations 
 
-provide back-up support to the equity businesses generally
 
-undertake analysis and input to new product proposals, business re-organisations, other ad hoc projects, etc. e.g. review of specific initiatives/transactions/structures to identify regulatory issues, as well as term sheets, financial promotions, KYIs etc.
 
-liaise closely with the Legal Teams covering these businesses to identify and manage the regulatory risks associated with specific transactions and the businesses as a whole.
 
-provide training to the business
 
-perform reviews of transactions and business areas
 

-identification and appropriate escalation of issues to the EMEA Head of Equity Derivatives Compliance

Experience / Qualifications
 
- Relevant compliance experience gained within a similar Compliance environment
 
-  exposure to equity markets.
 
- knowledge of vanilla and exotic equity derivatives, Structured Products and convertible bonds.
 
- understanding of the equity markets
 
-well developed interpersonal skills and a good team player
 
- knowledge of the FCA rules (including COBS), and recent UK and EU regulatory developments, such as MiFID II, MAR and PRIIPs,
 
-good understanding of market structures, products, new issuance processes, prospectus requirements, market abuse regulation and stabilisation.
 
- excellent client handling skills, a self-confident and proactive approach to their work and a desire to work at the forefront of an equity business widely recognised as one of the leading players in this market.
 
About J.P. Morgan’s Corporate & Investment Bank
 
J.P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With $18 trillion of assets under custody and $393 billion in deposits, the Corporate & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.  Further information about J.P. Morgan is available at www.jpmorgan.com.
 
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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