Markets Compliance Advisory - Vice President

JPMorgan Chase & Co.; Greater London; On-site; GBP 90,000 - 120,000; Full time

Job summary

A global financial services leader is seeking a Markets Compliance Advisory - Vice President in London. This role involves providing advisory and regulatory support focusing on equity derivatives, requiring experience with key regulations like MiFID2 and Dodd-Frank. Candidates should demonstrate critical thinking, relationship management, and independent work capabilities. This position is for a full-time role in a dynamic compliance team, actively ensuring regulatory compliance across diverse operational areas.

Qualifications

• Experience with equity derivative structures and relevant regulations.
• Ability to manage relationships with senior management.
• Team player with critical thinking skills.

Responsibilities

• Assess impact of financial regulations and update Compliance policies.
• Prepare and conduct Compliance training.
• Provide real-time regulatory interpretation to front office.

Skills

Equity derivative structures

MiFID2

Market Abuse Regulation

EMIR

Dodd-Frank

Management of conflicts of interest

Prohibition of insider dealing

Market manipulation

Fair treatment of clients

Job description

Markets Compliance Advisory - Vice President

LONDON, United Kingdom

Job Information

• Job Identification 210603129
• Job Category CCOR LOB/CF/Country Coverage
• Business Unit Corporate Sector
• Posting Date 03/07/2025, 08:29 AM
• Locations LONDON, United Kingdom
• Job Schedule Full time

Job Description

The Markets Compliance team is responsible for setting policies, providing training and real-time interpretation of financial regulations to the EMEA Markets businesses, which are across Europe. The team forms part of the EMEA Compliance Department which covers JPMorgan’s Corporate and Investment Banking, Security Services, Asset Management and Private Banking businesses in the region.

As a Markets Compliance Advisory - Vice President within Market Compliance Team you will provide primary line of Business advisory and regulatory support, with a focus on:

Equity Derivatives

These are leading global businesses that provide a wide range of services to corporate, institutional and government clients in EMEA. You will require close liaison with other members of the Markets Compliance team, as well as the wider CCOR department (e.g. Control Room, Surveillance, Testing) as and when necessary.

Job Responsibilities

• Assess the impact of new financial regulations and setting appropriate internal Compliance policies and procedures and keeping them up to date.
• Prepare Compliance training materials and conducting programmed and ad hoc training where necessary.
• Provide real-time interpretation of internal Compliance policies and procedures in response to ad hoc enquiries from front and middle office.
• Provide specific input to new product and business initiatives, new regulations, policies, training, monitoring and surveillance escalations.
• Investigate and resolve escalation alerts from Compliance Surveillance and self-escalations from front and middle office.
• Design and perform risk-based Compliance monitoring tests.
• Assist in performing and keeping up to date the 2LOD risk assessments.
• Represent compliance in regional and global Compliance working groups.
• Work with the wider CCOR (Compliance, Conduct and Operational Risk) department.
• Assist in ad hoc administrative tasks of the team.

Required qualifications, capabilities, and skills

• Previous experience with equity derivative structures, products and the relevant UK, EU and US regulations, particularly, MiFID2, Market Abuse Regulation, EMIR and Dodd-Frank or familiarity with the equivalent regulations in local jurisdiction, on subjects such as management of conflicts of interest, prohibition of insider dealing and market manipulation, mandatory trading and clearing of derivatives and fair treatment of clients.
• Good understanding of at least some of the coverage areas listed above.
• Ability to manage relationships with the businesses at all levels, including senior management.
• Team player, expected to provide cross coverage of the other areas covered by Markets Compliance.
• Ability to work independently, and having sufficient experience to know when to elevate an issue is essential.
• Being proactive, able to think critically about the information presented to senior management, comfortable with subjective situations, and ready to ask appropriate questions and effectively challenge where needed.
• Being able to think “on their feet”, provide ‘live’ regulatory interpretation and decisions to the business, often in high profile and/or time constrained situations.

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 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 ourFAQs 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.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.