Compliance Associate

1 month ago

Canary Wharf, United Kingdom JPMorgan Chase & Co Full time

**JOB DESCRIPTION**
JPMC is a leading global financial services firm with operations worldwide. International Consumer Banking is the newest JPMC line of business, supported by a diverse team of Compliance professionals. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.

As a Compliance Associate - Retail Investments within the Compliance team, You will be providing second line of defence Compliance challenge to Nutmeg Saving and Investment Limited (“NSIL”), part of the International Consumer Banking business, with a focus on:

- Wealth Management.
- Exchange Traded Funds.
- Pensions, ISAs and other ‘Tax Wrappers’.
- Retail Clients.
- Online Investing.

You will assist in reporting to relevant governance committees and/or senior management in relation to such risks, as well as developing and conducting training. This includes provision of advice, implementation of policies and/or controls, development/provision of training and oversight of operational processes.

You will be joining the UK Compliance team based in either London, Edinburgh or Bournemouth.

**Responsibilities**:

- Develops and performs of accurate and timely completion of 2nd line (2LOD) monitoring and testing activities as they pertain to NSIL’s regulatory responsibilities.
- Provides of credible, timely and risk-based advice, challenge and 2LOD support of assessment of issues and potential breaches which may arise.
- Provides of timely and robustly documented input into business initiatives that is consistent with the firm's regulatory and reputational risk tolerances - e.g. new product proposals, to identify any regulatory compliance issues.
- Identifies, implements and reviews of relevant compliance policies, procedures & additional documentation as may be required.
- Prepares the materials and act as compliance representative at relevant LOB governance forums as required.

**Required qualifications, capabilities, and skills**
- Strong knowledge of the UK regulatory framework related to investments.
- Able to work independently and have sufficient experience to know when to escalate an issue is essential.
- Possess a high-level of attention to detail and focus on the quality for their work product.
- Good team player and will be expected to provide cross coverage of other areas, where appropriate.

**Preferred qualifications, capabilities, and skills**
- Familiarity with retail online client investing, investment ‘tax wrappers’ such as ISAs and Personal Pensions desirable.
- Relevant experience of performing a Compliance, Risk or Control role in a global investment bank would be a significant advantage.

**ABOUT US**

J.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.

**ABOUT THE TEAM**

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.

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