Banking & Research Compliance and Control Room - Associate

Fairygodboss; Sydney; On-site; AUD 110,000 - 150,000; Full time

Job summary

J.P. Morgan in Sydney seeks a Global Banking & Research Compliance and Control Room Compliance Officer (Associate) to advise on transactions, develop policies, and manage non-public information risks. You will support regulatory reviews and information barriers while coordinating with regional and global teams.

You will contribute to a culture of compliance, participate in investigations, and provide training across businesses, under tight deadlines and with cross-functional collaboration.

Qualifications

• Minimum 3 years of experience in Compliance, Risk, or related controls function.
• Strong attention to detail with an analytical approach to problem solving.
• Ability to meet tight deadlines, prioritize and to make quick and reasoned decisions under pressure.
• Strong interpersonal skills with a highly motivated and organized approach to work.
• Ability to work effectively as a team player and operate under own initiative.
• Awareness of regulatory requirements, especially information barriers and inside information risk.
• Bachelor Degree

Responsibilities

• Provide advice and guidance to investment banking, corporate banking and research on transactions, regulatory requirements and new products and services
• Develop compliance policies and frameworks to manage regulatory risk
• Maintain and monitor the firm's information barriers / barrier crossings / flow of non-public information
• Interact with Banking, Sales and Trading, and Asset Management teams to ensure Watch and Restricted lists are maintained
• Review Research publications to ensure compliance with legal and regulatory obligations
• Engage with regulators and participate in internal and external enquiries and investigations
• Provide training to various businesses on risk topics, compliance policies and other specific areas of expertise

Skills

Regulatory knowledge

Attention to detail

Decision making under pressure

Team collaboration

Education

Bachelor Degree

Job description

Protecting market integrity and safeguarding our business starts with strong controls and clear guidance. You'll join a team that provides independent guidance and oversight to the Global Banking and Research lines of business and helps maintain the integrity of information barriers and supports responsible business activity. You'll build expertise at the intersection of investment and corporate banking and research while partnering with stakeholders across the region and globally. We'll support your growth through exposure to complex, time-sensitive matters and continuous learning. Your judgment and attention to detail will help reduce risk and strengthen trust.

As a Global Banking & Research Compliance and Control Room Compliance Officer (Associate) within Compliance, Conduct and Operational Risk, you will provide advice and guidance to internal stakeholders, develop compliance policies to meet regulatory requirements, review business initiatives, help maintain effective information barriers, manage non-public information risk and manage conflicts. You will support the review of investment banking transactions and research activity from a compliance and operational risk perspective.. The team partners across regions to strengthen consistency, continuous improvement, and practical risk management.

Job responsibilities

• Provide advice and guidance to investment banking, corporate banking and research on transactions, regulatory requirements and new products and services
• Develop compliance policies and frameworks to manage regulatory risk
• Maintain and monitor the firm's information barriers / barrier crossings / flow of non-public information
• Interact with the Banking, Sales and Trading, and Asset Management teams to ensure the Firm's Watch and Restricted lists are properly maintained
• Review Research publications to ensure compliance with legal and regulatory obligations
• Engage with regulators and participate in the conduct of internal and external enquiries and investigations as necessary
• Provide training to various businesses on risk topics, compliance policies and other specific areas of expertise

Required qualifications, capabilities, and skills

• Minimum 3 years of experience in Compliance, Risk, or related controls function
• Strong attention to detail with an analytical approach to problem solving
• Ability to meet tight deadlines, prioritize and to make quick and reasoned decisions under pressure
• Strong interpersonal skills with a highly motivated and organized approach to work
• Ability to work effectively as a team player and operate under own initiative
• Awareness of and willingness to learn about regulatory and internal control requirements, particularly in relation to inside information risk and effective information barrier arrangements
• Bachelor Degree

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.