EMEA Research Compliance - Vice President

JPMorgan Chase & Co.; Greater London; On-site; GBP 120,000 - 180,000; Full time

Job summary

JPMorgan Chase & Co. in the United Kingdom seeks a Research Compliance Officer (Vice President) to provide compliance guidance to the Global Research team across EMEA, partnering with Investment Banking, Capital Markets, Markets, and Control Room Compliance.

You will assess regulatory obligations, develop pragmatic solutions, and drive consistent standards and practices to protect the firm, clients, and communities while supporting research independence and information barriers.

Qualifications

• Compliance experience within an investment bank.
• Strong understanding of rules, regulations and industry practices for Research and information barriers.
• Excellent written and oral communication; credible with business partners.
• Strong analytical and problem-solving abilities.
• Proactive, results-driven, adaptable to change and able to handle challenging assignments.
• Capable of working both in a team and independently.
• Highly organized with ability to manage multiple complex tasks under deadlines.

Responsibilities

• Provide day-to-day Compliance advisory services to Global Research across Equity, Credit, FI and Economics Research.
• Create and maintain policies to support regulatory obligations and deliver training on relevant policies.
• Advise on regulatory obligations and evaluate business processes, systems, and controls for compliance.
• Assist in Compliance Risk Assessments and review results with senior management.
• Identify issues and escalate appropriately; support monitoring activities for Global Research.
• Collaborate with business and control functions to respond to regulatory examinations, audits and inquiries.
• Manage projects within Global Research Compliance and coordinate with other regions on regulatory policies.

Skills

Compliance advisory

Regulatory knowledge

Communication skills

Analytical thinking

Proactive mindset

Teamwork and independence

Organization/detail orientation

Job description

Join Risk Management and Compliance and help keep JPMorganChase strong and resilient. You will support the business in a responsible way by anticipating emerging risks and applying sound judgment to solve real-world challenges that impact our company, customers, and communities.

As aResearch Compliance Officer (Vice President)inResearch Compliance, you provide compliance guidance and support to the EMEA Research team. You partner closely with Investment Banking, Capital Markets, Markets, and Control Room Compliance teams, and collaborate with Legal and other control functions to assess risk, develop pragmatic solutions, and help drive consistent standards and practices.

Job responsibilities

• Provide day-to-day Compliance advisory services to the firm’s Global Research business, which includes Equity, Credit, Fixed Income and Economics Research products and services, with specific focus on research independence, conflicts of interest, material non-public information and reputational risk.
• Create and maintain policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices; and assist in development and delivery of training to support compliance with relevant policies.
• Advise the business on how to meet new and existing regulatory obligations, evaluate new and existing business processes, systems and controls to ensure compliance with regulatory requirements.
• Assist in completing Compliance Risk Assessments and review results with senior management.
• Identify and escape issues through formal escalation channels and facilitate timely and effective resolution; and assist in development and execution of monitoring activities for the Global Research business.
• Collaborate with business and other control functions to gather information and review responses to regulatory examinations, audits, compliance tests, investigations, inquiries, and other information requests.
• Independently manage projects necessary to support initiatives both within Global Research Compliance and the broader Compliance Department; and interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies.

Required qualifications, capabilities, and skills

• Compliance experience within an investment bank, including advisory coverage of a business area
• Strong working understanding of rules, regulations, and industry practices pertaining to Research, information barriers and the Investment Banking business.
• Confident with excellent communication skills, written and oral, and strong interpersonal skills with the ability to establish credibility with business partners.
• Excellent analytical and problem-solving skills.
• Motivated and proactive with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments.
• Ability to work effectively both in a team environment and independently.
• Highly organized, detail-oriented, and energetic individual with the ability to Manage complex tasks simultaneously in a deadline-intensive environment.