Regulatory Compliance Associate

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 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 with various departments including business, legal, risk management, and audit to identify, assess, and monitor compliance with applicable laws and regulations. The Compliance team in London, along with its counterparts, 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 team, you will assist in regional and global compliance initiatives pertinent to the PB line of business. Your responsibilities will encompass advisory support for PB personnel in London, as well as oversight of the European regulatory framework concerning branches and outsourcing in relation to PB activities. You will engage in regulatory interactions, preparing responses for supervisory bodies, and participating in examinations or deep dives with various regulatory authorities.

Key Responsibilities
  • Report directly to the Head of Private Banking Compliance for the London Branch.
  • Provide compliance guidance to support all facets of the PB business, focusing on the Mortgages and Deposits Solutions division, particularly regarding EU/UK regulations such as the Mortgage Credit Directive (MCD) and the FCA's conduct requirements.
  • Assist in managing client complaints, offering advice on the FCA's Dispute Resolution and other relevant complaint handling regulations.
  • Act as a Subject Matter Expert (SME) for Mortgages, Deposits, and Complaint Handling within the EMEA region, representing compliance in new business and regulatory change initiatives.
  • Contribute to the design and execution of the Compliance Monitoring and Testing program for Mortgages, Deposits, and Complaints.
  • Support governance reporting to legal entity committees and forums.
  • Stay informed on regulatory changes and advise the business on necessary adaptations to maintain compliance.
  • Review regulations and collaborate with partners to develop policies and procedures as needed.
  • Participate in the second line of defense risk assessments and new business regulatory reviews.
  • Advise on the quality of submissions to regulators and take necessary actions to ensure compliance.
  • Engage in daily communications with regulators and support regulatory management during examinations and reviews.
Qualifications and Skills
  • Experience in banking, risk management, or financial services from a legal or regulatory standpoint.
  • Strong understanding of financial services regulations, particularly in Mortgages, Deposits, and Complaint Handling.
  • Compliance experience in private banking or wealth management, with knowledge of relevant products.
  • Proven ability to deliver high-quality results within compliance programs.
  • Excellent interpersonal and negotiation skills, with a collaborative mindset.
  • Self-driven individual with a desire to deepen knowledge of financial markets and regulations.
  • Ability to manage multiple projects efficiently, prioritize tasks, and meet deadlines.
  • University degree required.
  • Strong analytical skills with the ability to communicate complex topics clearly.
  • Sound judgment and decision-making abilities under pressure.
  • Experience in project delivery and process improvement.
Preferred Qualifications
  • Proficiency in English, with additional language skills in French and/or German preferred.
  • Positive attitude and a proactive approach to challenges.
About J.P. Morgan

J.P. Morgan is a leading global financial services firm, providing strategic advice and products to a diverse clientele including corporations, governments, and institutional investors. Our commitment to excellence drives our operations, as we aim to build long-lasting partnerships that help our clients achieve their goals.

We value our employees as our greatest asset, recognizing that their diverse talents contribute significantly to our success. We are an equal opportunity employer, dedicated to fostering a diverse and inclusive workplace.

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