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Asset Management - EMEA Compliance - Compliance Testing Manager- Vice President

Req #: 180006688
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
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.
Compliance Testing Manager (VP) 
This role resides within Asset & Wealth Management (AWM) Compliance in London and is accountable for the development and execution of the Compliance Testing program for Asset Management (AM) in EMEA. The Testing will cover key areas of regulatory focus, including front-office, operations, conflicts of interest and new regulatory developments.
The position requires a person who is enthusiastic, confident and has practical experience in performing asset management testing activities, including data analysis and management reporting or equivalent experience.  The successful candidate might have a background as an Auditor, Accountant, Regulatory Examiner or Big 4 experience with extensive years of asset management or equivalent experience.
The successful candidate will report to the AM EMEA Testing Team Manager who will report through to the Global Head of AWM Compliance Testing.
Specific Responsibilities
  • Research, plan and assist/lead detailed reviews, in accordance with the AM EMEA Compliance Testing program to assess compliance with applicable rules and regulations.  These reviews should be undertaken in an accurate and timely manner.
  • Be able to organize systems’ data and subsequently analyze it with the aim of drawing effective conclusions that are supported by the testing work.
  • Prepare clear and organized monitoring work papers to document and support work performed and conclusions reached.
  • Prepare detailed and accurate reports of findings to include the agreement of practical and relevant recommendations for the business to address.
  • Perform validation work on issues that have been identified from compliance testing reviews.
  • Work to enhance the visibility of the Testing team and establish key business relationships. Interact with all levels of business management and staff.  Meet regularly with key business staff to remain informed of risks within the business and issues arising.
  • Work with the Compliance Advisory teams to ensure up to date and comprehensive understanding of business areas.  Use this knowledge to develop and execute the Testing programme.
  • Work with the AM EMEA Testing Team Manager and the Global Head of AWM Compliance Testing to develop and update the testing program and ensure that it remains fluid, risk-based / focused and up to date with both regulatory and business changes.
  • Collaborate with other members of the global AWM Compliance Testing team on reviews to maintain consistency of approach and documentation, where appropriate.
  • Make suggestions to enhance testing procedures to the Team Manager and the AWM Head of Testing.
  • Undertake ad-hoc projects at the request of the Team Manager or the Global Head of AWM Compliance Testing

Required Skills

  • University degree educated or equivalent.
  • Financial services experience, preferably in Internal Audit, Testing/Monitoring, Regulatory Examinations related roles or Big 4 Audit experience.
  • Ability to manage multiple projects simultaneously with minimal supervision.
  • Ability to work in a team environment and assist with reviews, projects and/or team initiatives;
  • Attention to detail with strong interpersonal skills required.
  • Able to work independently with good time management skills and a pro-active attitude towards accomplishing tasks.
  • Report writing/written communication skills.
  • Solid practical experience of conducting retail and institutional testing in an asset management company.
  • Understanding and familiarity of EMEA investment management regulatory matters relating to retail and institutional businesses.  Knowledge of the FCA and/or PRA rules would be beneficial.
  • Excellent skills in the use of Excel, Microsoft Word and PowerPoint.
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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