Compliance Monitoring Specialist

4 weeks ago

Bournemouth, Bournemouth, United Kingdom JPMorganChase Full time
Job Summary:

The Markets Compliance team at JPMorganChase is seeking a highly skilled Compliance Monitoring Specialist to provide primary line of business advisory and regulatory support to the Markets Operations functions. As a key member of the team, you will contribute to the development of the Operations Compliance program through your deep knowledge and experience of post-trade execution processes, rules, and regulations.

You will work closely with the wider Markets Compliance, Conduct, and Operational Risk (CCOR) team, providing credible challenge and compliance advisory coverage. Your expertise will be focused on regulations that apply to the Markets line of business, with a focus on:

  • Cross-line of business Compliance Advisory Coverage across all products traded within Markets from a post-trade execution perspective.
  • Lead regulatory coverage for trade and transaction reporting guidance across all regulatory obligations such as MiFID, SFTR, EMIR, CFTC, etc.
  • SME coverage across all regulatory obligations within Markets, including Non-cleared margin rule, Swap dealer activities, CSDR, Settlement, confirmations, clearing, reconciliation, compression, etc.

Key Responsibilities:

  • Provide credible, timely, and risk-based advice, challenge, and support on regulatory matters, including 'live' regulatory interpretations and decisions in high-profile and/or time-constrained situations.
  • Offer thought leadership and compliance input to regulatory change management and regulatory horizon scanning.
  • Deliver timely and robustly documented input into business initiatives consistent with the firm's regulatory and reputational risk tolerances, such as new product proposals, business reorganization, and compliance interpretation of specific initiatives/transactions/structures to identify regulatory issues.
  • Conduct scheduled and ad-hoc training for the business.
  • Ensure accurate and timely completion of compliance monitoring activities.
  • Identify, implement, and review compliance policies, procedures, and additional documentation as required.
  • Prepare materials and function as a compliance representative at business governance forums within Markets Operations to provide an effective second line of defense independent challenge.
  • Contribute to the compliance risk assessment and compliance legal entity risk assessments for CIB Markets Operations processes.
  • Collaborate closely with Compliance colleagues in all locations, especially in the U.S., regarding CFTC Dodd-Frank regulations.
  • Forge strong working relationships with key stakeholders in Legal, the business, including Business Control Officers and Operations Controls Managers, and operations globally.

Requirements:

  • Proven ability to manage relationships with businesses at all levels, including senior management.
  • Familiarity and detailed experience with the trade life cycle within Markets to effectively provide guidance and challenge across all aspects of post-trade execution and products.
  • In-depth knowledge of the UK and EU regulatory framework applicable to the coverage areas (e.g., MiFID II, EMIR, SFTR, MMSR, etc.) and recent regulatory developments.
  • Relevant experience in a Compliance, Risk, or Control role in a global investment bank is highly advantageous.
  • Ability to work independently and know when to escalate issues is essential.
  • Excellent written and verbal communication skills; able to present information in varying degrees of detail and forms to audiences at all levels locally and globally.
  • High attention to detail and focus on the quality of work product.
  • Proactive, critical thinker comfortable with subjective situations, ready to ask appropriate questions, and effectively challenge.
  • Strong team player, expected to provide cross-coverage of other areas within the team as required.
  • Strong record of participation in regulatory change projects/implementation.

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