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Markets Advisory Compliance Officer
3 months ago
You will primarily provide, line of Business advisory and regulatory support to the respective Sales and Trading functions of the EMEA Markets CIB departments.
These are leading global businesses that provide a wide range of investment banking services to corporate, institutional and government clients in EMEA.
The Compliance function has a strong culture which is focused on delivering first class support to the business while providing a credible challenge where necessary.
The Compliance department works diligently to present all business partners with innovative, thoughtful and tailored solutions to the challenges they face.
The team forms part of the EMEA Compliance Department which covers JPMorgan's Corporate and Investment Banking, Security Services, Asset Management and Private Banking businesses in the region.
The Markets Compliance team is responsible for setting policies, providing training and real-time interpretation of financial regulations to the EMEA Markets businesses, which are across Europe.
Responsibilities:
- Assessing the impact of new financial regulations and setting appropriate internal Compliance policies and procedures, and keeping them up to date.
- Preparing Compliance training materials and conducting programmed and ad hoc training where necessary.
- Providing realtime interpretation of internal Compliance policies and procedures in response to ad hoc enquiries from front and middle office.
- Investigating and resolving escalation alerts from Compliance Surveillance and selfescalations from front and middle office.
- Designing and performing riskbased Compliance monitoring tests.
- Assisting in performing and keeping up to date the 2LOD risk assessments.
- Representing EMEA Compliance in regional and global Compliance working groups.
- Provide specific input to new product and business initiatives, new regulations, policies, training, monitoring and surveillance escalations.
Required qualifications, capabilities, and skills
- Familiar with market structures, products and the relevant UK, EU and US regulations, particularly, MiFID2, Market Abuse Regulation, EMIR and Dodd-Frank.
- Good understanding of the various markets, including cash markets and derivatives.
- Relevant experience of performing a Compliance, Risk or Control role in a global investment bank would be a significant advantage.
- Able to work independently and have sufficient experience to know when to escalate an issue is essential.
Preferred qualifications, capabilities, and skills
- Good team player and will be expected to provide cross coverage of the other areas covered by Compliance.
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 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.
In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.
