Private Banking Regulatory Advisor

3 weeks ago

London, Greater London, United Kingdom JP Morgan Chase Bank, National Association Full time
Job Overview

The Compliance function within the Private Banking (PB) sector is vital for upholding the firm's commitment to regulatory adherence. This role is focused on fostering a robust compliance culture by interpreting and applying relevant regulations that govern our operations worldwide. Compliance teams collaborate closely with various departments, including legal, risk management, and audit, to identify, assess, and monitor compliance with applicable laws and regulations. The Compliance team in London is tasked with ensuring the consistent application of global policies while accommodating local legal requirements.

As a Compliance Associate specializing in Mortgages and Deposits within the Private Banking sector, you will play a key role in supporting both regional and global compliance initiatives. Your responsibilities will include providing advisory support to PB personnel, particularly in relation to the European regulatory framework concerning branches and outsourcing practices.

Key Responsibilities
  • Report directly to the Head of Compliance for the Private Banking Line of Business.
  • Offer compliance guidance across all areas of the PB business, focusing on Mortgages and Deposits, particularly in relation to EU/UK regulations such as the Mortgage Credit Directive (MCD) and the FCA's conduct requirements.
  • Assist in managing client complaints, ensuring adherence to the FCA's Dispute Resolution and other relevant regulations.
  • Act as a Subject Matter Expert (SME) for Mortgages, Deposits, and Complaints Handling within the EMEA region.
  • Contribute to the development and execution of the Compliance Monitoring and Testing program.
  • Support governance reporting to legal entity committees and forums.
  • Stay informed on regulatory changes and provide actionable advice to ensure compliance.
  • Review regulations and collaborate with partners to develop policies and procedures.
  • Engage in the assessment of risks and regulatory reviews related to Mortgages, Deposits, and Complaints Handling.
  • Oversee the quality of submissions to regulators and support communications with regulatory bodies.
Qualifications and Skills
  • Experience in banking, risk management, or financial services with a focus on legal or regulatory aspects.
  • Strong understanding of financial services regulations, particularly in Mortgages, Deposits, and Complaints Handling.
  • Proven compliance experience in private banking or wealth management.
  • Ability to deliver high-quality results within the compliance framework.
  • Excellent interpersonal and negotiation skills.
  • Self-motivated with a keen interest in financial markets and regulations.
  • Strong organizational skills with the ability to manage multiple projects effectively.
  • University degree required.
  • Ability to communicate complex topics clearly and drive practical solutions.
  • Demonstrated ability to exercise sound judgment under pressure.
Preferred Qualifications
  • Proficiency in English, with additional language skills in French and/or German preferred.
  • A positive, professional attitude.
About J.P. Morgan

J.P. Morgan is a leading global financial services firm, providing strategic advice and a wide range of products to prominent corporations, governments, and institutional investors. Our commitment to excellence drives our approach to serving clients and fostering long-term partnerships.

We value our employees as our greatest asset, recognizing that diverse talents contribute significantly to our success. We are an equal opportunity employer, committed to diversity and inclusion, and do not discriminate based on any protected characteristic.

  • Private Banking Professional

    5 days ago

    London, Greater London, United Kingdom Weatherbys Banking Group Full time

    About the RoleWe are seeking a highly motivated and ambitious individual to join our team as an Associate Private Banker. As a key member of our Private Banking team, you will play a critical role in developing and generating new Private Banking client relationships and associated new business for the Private Bank.Key ResponsibilitiesDevelop and Generate New...

  • Private Banking Professional

    3 days ago

    London, Greater London, United Kingdom Weatherbys Banking Group Full time

    About the RoleWe are seeking a highly motivated and ambitious individual to join our team as an Associate Private Banker. As a key member of our Private Banking team, you will play a critical role in developing and generating new Private Banking client relationships and associated new business for the Private Bank.Key ResponsibilitiesDevelop and Generate New...

  • Private Banking Regulatory Advisor

    4 days ago

    London, Greater London, United Kingdom JP Morgan Chase Bank, National Association Full time

    About the RoleWe are seeking a highly skilled Compliance Specialist to join our team at JP Morgan Chase Bank, National Association. As a key member of our Private Banking Compliance team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong compliance culture.Key ResponsibilitiesCompliance...

  • Client Relationship Specialist in Private Banking

    3 weeks ago

    London, Greater London, United Kingdom Weatherbys Banking Group Full time

    PRIVATE BANKING CLIENT ADVISORAre you eager to embark on a career in Private Banking? Do you possess a strong desire to cultivate and nurture client relationships? Are you seeking an opportunity to advance in a sector that values your growth?We are currently in search of a Private Banking Client Advisor to join our dedicated team on a full-time, permanent...

  • Regulatory Compliance Associate

    3 weeks ago

    London, Greater London, United Kingdom JP Morgan Chase Bank, National Association Full time

    Job OverviewThe Compliance function within the Private Banking (PB) sector is integral to the effective realization of the firm's compliance objectives. This role is essential in fostering a robust compliance culture by interpreting and applying relevant regulatory frameworks that govern our operations on a global scale. Compliance teams collaborate closely...

  • Regulatory Reporting Associate

    4 days ago

    London, Greater London, United Kingdom GIC Private Limited Full time

    About GIC Private LimitedGIC Private Limited is a leading global long-term investor, seeking a highly skilled professional to enhance our Regulatory Reporting & Investment Compliance (RRIC) capabilities in our London office.Job SummaryWe are looking for an experienced Associate/Assistant Vice President to join our RRIC team, specializing in researching,...

  • Regulatory Reporting Associate

    4 days ago

    London, Greater London, United Kingdom GIC Private Limited Full time

    About GIC Private LimitedGIC Private Limited is a leading global long-term investor, seeking a highly skilled professional to enhance our Regulatory Reporting & Investment Compliance (RRIC) capabilities in our London office.Job SummaryWe are looking for an experienced Associate/Assistant Vice President to join our RRIC team, specializing in researching,...

  • Regulatory Reporting Associate

    3 days ago

    London, Greater London, United Kingdom GIC Private Limited Full time

    About GIC Private LimitedGIC Private Limited is a leading global long-term investor, seeking a highly skilled professional to enhance our Regulatory Reporting & Investment Compliance (RRIC) capabilities in our London office.Job SummaryWe are looking for an experienced Associate/Assistant Vice President to join our RRIC team, specializing in researching,...

  • Regulatory Reporting Associate

    3 days ago

    London, Greater London, United Kingdom GIC Private Limited Full time

    About GIC Private LimitedGIC Private Limited is a leading global long-term investor, seeking a highly skilled professional to enhance our Regulatory Reporting & Investment Compliance (RRIC) capabilities in our London office.Job SummaryWe are looking for an experienced Associate/Assistant Vice President to join our RRIC team, specializing in researching,...

  • Lead Regulatory Advisor

    3 weeks ago

    London, Greater London, United Kingdom Danos Group Full time

    Position OverviewDanos Group is seeking a Lead Regulatory Advisor to join our team. This role is pivotal in providing expert legal guidance on regulatory matters pertaining to the financial sector, particularly in relation to digital assets.Responsibilities:Deliver comprehensive legal counsel on UK and EU regulations impacting the financial services...

  • Client Relationship Associate in Private Banking

    3 weeks ago

    London, Greater London, United Kingdom Weatherbys Banking Group Full time

    PRIVATE BANKING ASSOCIATEAre you eager to embark on a career in Private Banking? Do you possess a strong desire to cultivate and nurture client relationships? Are you seeking opportunities for growth and development in a firm that values your contributions?We are currently in search of a Private Banking Associate to join our team on a full-time, permanent...

  • Client Relationship Specialist in Private Banking

    3 weeks ago

    London, Greater London, United Kingdom Weatherbys Banking Group Full time

    PRIVATE BANKING ASSOCIATEAre you eager to embark on a career in Private Banking? Do you possess a strong desire to cultivate and nurture client relationships? Are you seeking an opportunity for growth in a firm that prioritizes your development?We are currently in search of a Private Banking Associate to join our dedicated team in a full-time, permanent...

  • Private Wealth Advisor

    5 days ago

    London, Greater London, United Kingdom Apollo Private Wealth Full time

    About the RoleWe are seeking a highly motivated and detail-oriented individual to join our team as a Financial Services Associate. As a key member of our team, you will play a pivotal role in supporting our Advisers through the delivery of suitability reports and the acquisition of prospective clients.Key Responsibilities:Produce comprehensive, accurate, and...

  • Regulatory Analyst

    3 weeks ago

    London, Greater London, United Kingdom Vixio Regulatory Intelligence Full time

    Position OverviewRegulatory Analyst - Research & InsightsCompany:Vixio Regulatory Intelligence is a premier source of regulatory insights. Our reliable analysis equips clients with a comprehensive understanding of the dynamic regulatory environment. We merge exceptional content with cutting-edge technology to empower our clients in making informed strategic...

  • Regulatory Analyst

    3 weeks ago

    London, Greater London, United Kingdom Vixio Regulatory Intelligence Full time

    Job OverviewPosition: Regulatory AnalystCompany Overview:Vixio Regulatory Intelligence stands at the forefront of regulatory insights. Our comprehensive analysis equips clients with a clear understanding of the dynamic regulatory environment. By merging exceptional content with cutting-edge technology, we empower our clients to make strategic decisions that...

  • Private Client Advisor

    3 days ago

    London, Greater London, United Kingdom Apollo Private Wealth Full time

    About the RoleWe are seeking a highly motivated and experienced Wealth Adviser to join our team at Apollo Private Wealth. As a Wealth Adviser, you will play a key role in providing exceptional client service and building strong relationships with our high net worth clients.Key ResponsibilitiesProvide personalized wealth management advice to clients, taking...

  • Private Client Advisor

    4 days ago

    London, Greater London, United Kingdom Apollo Private Wealth Full time

    About the RoleWe are seeking a highly motivated and experienced Wealth Adviser to join our team at Apollo Private Wealth. As a Wealth Adviser, you will play a key role in providing exceptional client service and building strong relationships with our high net worth clients.Key ResponsibilitiesProvide personalized wealth management advice to clients, taking...

  • Private Banking Support Specialist

    3 weeks ago

    London, Greater London, United Kingdom CitiGroup Full time

    The Client Relationship Associate will deliver exceptional service to clients in collaboration with Private Bankers, focusing on Ultra High Net Worth Individuals (UHNWI).This position presents substantial growth potential, allowing for the enhancement of skills in managing UHNW clients while acquiring in-depth knowledge of financial products, services, and...

  • Banking Regulatory Advisor

    5 days ago

    London, Greater London, United Kingdom Apollo Solutions Full time

    Job DescriptionApollo Solutions is seeking a highly skilled SFTR SME to join their team in London.About the Role:We are looking for a seasoned professional with a strong understanding of SFTR and other financial regulations to provide regulatory advice and support to our clients.Key Responsibilities:Provide expert regulatory guidance and support to clients...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom JP Morgan Chase Bank, National Association Full time

    Job OverviewThe Compliance function within the Private Banking (PB) sector is essential for upholding the integrity of our operations at J.P. Morgan. This role focuses on fostering a robust compliance culture by interpreting and applying relevant regulatory standards that influence our global business practices. Our Compliance teams collaborate closely with...