EMEA Licensing and Registration - Compliance Advisory Associate

JP Morgan

Location: Dorset

Job Type: Full time


Perfection not required
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Licensing and Registration: 

The Licensing and Registration team provides oversight of the implementation and administration of the various registration requirements applicable to regulated individuals in EMEA. This includes coverage of the UK’s Financial Conduct Authority/Prudential Regulatory Authority (FCA/PRA) Senior Managers & Certification Regime, MiFID II Knowledge and Competence requirements as well as country specific requirements (for example under BaFin and the Central Bank of Ireland). The team are responsible for setting regional policies, providing training and real-time interpretation of financial regulations.


  • Act as a key partner in regulatory or process changes concerning regulated individuals and provide input to ensure successful implementation and ongoing adherence to regulatory requirements.
  • Interact with and influence stakeholders at all levels, located at various geographic locations.
  • Provide timely advice and support to business areas on the Senior Managers & Certification Regime and MiFID II Knowledge and Competence requirements.
  • Produce, collate and analyse metrics and present information in a variety of formats to enable appropriate oversight over the activities of key stakeholders and functions that support the operating model for regulated individuals.
  • Prepare materials for various governance forums related to licensing and registrations.
  • Develop, enhance and maintain relevant policies, procedures and documentation related to regulated individuals.
  • Prepare Compliance training materials related to the Senior Managers & Certification Regime and specifically, the FCA/PRA Conduct Rules.
  • Support of strategic projects such as iComply integration, Legal Entity restructuring and regulatory initiatives.
  • Keep abreast of regulatory change and industry trends related to Licensing and Registration and consider best practice.


  • Strong experience of working in a corporate environment, preferably at a financial institution in a Compliance, Risk or Operations function
  • Disciplined execution skills - Able to deliver results and meet deadlines under pressure
  • Energetic self-starter that takes initiative and has demonstrated effectiveness working independently
  • Strong written and verbal communication skills, including proficiency in concisely summarizing complex topics with people at all levels in the organisation
  • Effective analytical and problem-solving ability, along with excellent decision making and organizational skills are essential
  • Controls/Risk management focus - adaptable and responsive to the changing regulatory landscape and always maintain high standards of control.
  • Strong data analytics –ability to analyse and interpret data, ability to identify themes, strengths and opportunities
  • Practical approach to the application of relevant law and regulation
  • A working knowledge of UK and/or EU regulatory regimes preferable
  • Proficient in MS Office (Outlook/Word/Excel/PowerPoint)
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