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Corporate –EMEA Compliance - Utilities Compliance – Employee Compliance Processing - Licensing & Registration EMEA –Analyst

Req #: 180002364
Location: Bournemouth, ENG, UK
Job Category: Compliance
Potential Referral Amount: 2500 Pound Sterling (GBP)
Corporate Sector – Utilities Compliance – Employee Compliance Processing -  Licensing & Registration EMEA – Clerical 502

J.P. Morgan is a leading global financial services firm with assets of $2.1 trillion and operations in more than 60 countries. 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. Information about J.P. Morgan is available at
The Licensing and Registrations team provides ongoing operations oversight of the implementation and administration of the various registration/licensing policies applicable to all employees in the EEA/EMEA region, and where applicable under the Rules and Regulations of the Financial Conduct Authority/Prudential Regulatory Authority (FCA/PRA). The team is also responsible for the set up/removal of user access across a number of Global Exchanges.
The team provides coverage across EEA/EMEA business units including: Corporate & Investment Bank, Commercial Bank, Asset Management, and Corporate Bank.
Any employee who conducts a regulated role under a relevant regime (MiFID K&C and or APeR/SMR) will fall into scope and require review/action.
The position is within the Global Compliance organization and provides the opportunity to join a critical growth area in the Corporate Sector. The successful candidate will be a team player with a positive attitude, control focused, have a strong appetite to learn/develop and be delivery focused.
  • Processing of Exchange/Regulator related tasks including registration/maintenance/withdrawal.
  • Perform relevant compliance due diligence in readiness for individuals registration to Exchanges/Regulators.
  • Action requests in a timely manner.
  • Inquiry management & investigation from both the business, Exchanges and partner groups such as GWS, Compliance Advisory and HR.
  • Ensure the accurate collection, storage and reconciliation of all registration related records in compliance with General Data Protection Regulation.
  • Liaise closely with the various businesses on an ongoing basis to support the Registration function.
  • Adhere to SLA on timely processing on incoming and outgoing tasks.
  • Ensure timely escalation where applicable to both the business and Compliance Processing management.
  • Annual documentation of the processes undertaken and process maps for the function.
  • Work to become subject matter expert for the processing performed (FCA registrations/Certification, MIFID Knowledge & Competence, Cross border rules, Global Exchange rules).
  • Collation of key metrics and management reporting relating to the function.
  • Perform annual reconciliations between the various vendor, regulatory stakeholders and J.P. Morgan books and records.
Required Skills & Knowledge:
  • The successful candidate for this position will be a team player who thrives on challenge. The individual will need to be proactive, action orientated with good analytical skills and a proven ability for problem solving.  In addition they will demonstrate:
  • Some experience in either Operations/Processing, Legal or Compliance within the Financial Services industry is preferable.
  • Client centric focus - Work as a trusted client partner and advocate.
  • Controls/Risk management focus - Ensure we remain adaptable and responsive to the changing regulatory landscape and always maintain high standards of control.
  • Exceptional standards of data organization and maintenance – must be detail oriented.
  • Able to work to high standards of accuracy and efficiency.
  • Able to work both independently and as part of a team at all times
  • Comfortable user of Microsoft Office (i.e. MS Excel; Word, Visio, PowerPoint) – Intermediate Excel preferable.
  • Strong and positive personality, excellent communicator.
  • Execution skill – Able to deliver results/ meet deadlines under pressure.
Preferred Skills & Knowledge:
  • Build effective relationships quickly & able to influence at all levels – role often requires individuals to communicate and liaise with senior individuals.
  • Must be detail oriented and able to produce high standards of work under pressure with a desire to become subject matter expert.
  • Relevant experience within the Financial Services industry is preferable.
  • Understanding of the SUP10a FCA supervisory handbook / Certification Regime framework, execution processing on exchanges such as ICE an advantage / preferable but not required.
  • Due to tight reporting deadlines, candidates must be prepared to sometimes work outside normal business hours to meet obligations.
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
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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