Provides compliance advisory support to EMEA and global research teams, focusing on research independence, conflicts of interest, information barriers, regulatory obligations, and reputational risk. Develops policies, training, risk assessments, monitoring activities, and control processes. Investigates and escalates compliance issues, supports audits and regulatory examinations, and manages cross-functional compliance projects across regions and business lines.
Join Risk Management and Compliance and help keep JPMorganChase strong and resilient. You will support the business in a responsible way by anticipating emerging risks and applying sound judgment to solve real-world challenges that impact our company, customers, and communities.
As a Research Compliance Officer (Vice President) in Research Compliance, you provide compliance guidance and support to the EMEA Research team. You partner closely with Investment Banking, Capital Markets, Markets, and Control Room Compliance teams, and collaborate with Legal and other control functions to assess risk, develop pragmatic solutions, and help drive consistent standards and practices.
Job responsibilities
- Provide day-to-day Compliance advisory services to the firm’s Global Research business, which includes Equity, Credit, Fixed Income and Economics Research products and services, with specific focus on research independence, conflicts of interest, material non-public information and reputational risk.
- Create and maintain policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices; and assist in development and delivery of training to support compliance with relevant policies.
- Advise the business on how to meet new and existing regulatory obligations, evaluate new and existing business processes, systems and controls to ensure compliance with regulatory requirements.
- Assist in completing Compliance Risk Assessments and review results with senior management.
- Identify and escalate issues through formal escalation channels and facilitate timely and effective resolution; and assist in development and execution of monitoring activities for the Global Research business.
- Collaborate with business and other control functions to gather information and review responses to regulatory examinations, audits, compliance tests, investigations, inquiries, and other information requests.
- Independently manage projects necessary to support initiatives both within Global Research Compliance and the broader Compliance Department; and interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies.
Required qualifications, capabilities, and skills
- Compliance experience within an investment bank, including advisory coverage of a business area
- Strong working understanding of rules, regulations, and industry practices pertaining to Research, information barriers and the Investment Banking business.
- Confident with excellent communication skills, written and oral, and strong interpersonal skills with the ability to establish credibility with business partners.
- Excellent analytical and problem-solving skills.
- Motivated and proactive with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments.
- Ability to work effectively both in a team environment and independently.
- Highly organized, detail-oriented, and energetic individual with the ability to Manage complex tasks simultaneously in a deadline-intensive environment.
About UsJ.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.
Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.
JPMorganChase London, England Office
25 Bank Street, Canary Wharf, London, United Kingdom, E14 5JP
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