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Corporate - EMEA Compliance - Personal Account Dealing Processing Lead - Vice President

Req #: 180010400
Location: Bournemouth, ENG, UK
Job Category: Compliance
Potential Referral Amount: 3500 Pound Sterling (GBP)
Job Title – EMEA Compliance - Personal Account Dealing Processing Lead Vice President
Compliance Mission Statement
The Employee Compliance Processing week to ensure that our customers, employees, and lines of business are in adherence with firm standards and required regulations.
Our mission is to provide compliance operational support across the firm’s global businesses and functions. We are driving a culture of quality and continuous improvement toward the best outcome for client experience, our colleagues and JPMorgan Chase.
If you're interested in working in an environment where leadership, excellence, integrity, and diversity are among our core principles, then explore the opportunities at JPMorgan Chase.
Our team- Personal Account Dealing
Responsible for overseeing employee personal trading activities in adherence with regulations in the Firm’s respective regions of operation.  Specifically, we are responsible for the on-boarding of employee Personal Trading Account(s) data, as well as monitoring their compliance to the firm’s Personal Trading Policies  
The EMEA PAD operational model spans across all lines of business, compliance and technology and is a cross product group. As the Manager of the team you will be tasked with ensuring core BAU activity is effectively managed, operational control is maintained as well as coordinating the efforts with your counterparts in the other regions i.e. Americas and Asia, as well as maintaining the day to day control environment of the EMEA region. Further, you will be required to drive the key priorities with the team to improve efficiency, implement new technology and expand the surveillance model
Key responsibilities:
  • Manage a team of circa. 15 staff
  • Engage with senior stakeholders to provide transparency to the core BAU activity as well as progress against deliverables
  • Accountable for all core metrics of the PAD Processing team
  • Partner with technology and the projects team to define and implement the roadmap, including implementation of OCR and Robotics
  • Partner with the local regional LOB Compliance representative to drive key priorities across the team against the firms PAD Policy
  • Assist with supervisory reviews when necessary
  • Conducting 121 meetings with directs, maintaining an open door for the wider team
  • Responsible for the development of the operational model to ensure efficiency and control
  • Support the creation of Internal, External (Regulatory) and Ad-hoc reports
  • Point of escalation for employees and Compliance
  • Project/Change Management Support
  • Documentation Management including record retention, procedural signoff, etc
  • Regional representation for operational standardization
The successful candidate will be assume a leadership role, managing the PAD Processing team reporting to the Head of EC Processing for EMEA and APAC. This includes the oversight of the On-boarding, Reconciliation and Investigations team, who monitor the employees’ personal dealing activities. The candidate will have strong adherence to compliance policies and controls, and should be analytical and risk and control inclined. The role involves frequent communication with Regional and LOB Compliance, to maintain and track the employees’ personal account dealing data and activities. The candidate should be able to drive and motivate a processing team to maintain SLA and develop them further to seek efficiency and enhanced surveillance.
Essential skills:
  • Strong experience in either the Compliance, Risk or Operations areas within the Financial Services industry
  • A working knowledge of financial products is preferred
  • Able to make sound judgment and independent decisions whilst managing a core processing team and also driver the strategic agenda
  • Previous line manager experience is essential
  • Client centric focus - Work as a trusted client partner and advocate, ensuring strong strategic alignment and open communication
  • Good at data organization and maintenance – must be detail oriented
  • Able to motivate and develop a team
  • Dynamic personality who is able to offer credible challenge in a constructive and collaborative fashion
  • Disciplined execution skills - Able to deliver results and meet deadlines under pressure
  • Comfortable user of Microsoft Office (i.e. MS Excel; Word, Visio, PowerPoint ), with a particular focus on Excel
  • Demonstrated experience in leading and building High Performing Teams - Creates a culture of inclusion, empowerment, opportunity, and execution excellence
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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