As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.
The Control Room, part of Compliance, Conduct and Operational Risk organization is seeking an executive director with extensive Compliance Control Room management experience to head our EMEA Control Room based in London (Hybrid working model). The Control Room is responsible for maintaining the integrity of the Firm's information barriers by monitoring and controlling the flow of information between the Firm's private side and public side businesses. In addition, the Control Room tracks investment banking transactions to ensure that all restrictions are applied in a timely manner, as well as advises the firm’s various divisions on the applicability of those restrictions.
Key responsibilities and activities:
- Accountable for the consistent, timely and accurate execution by the team of all EMEA Control Room activities e.g.
- maintenance of watch and restricted lists and associated guidance to the business in respect of the firm's Control Room related policies;
- review and clearance of Research publications to ensure compliance with legal/regulatory obligations;
- Providing advice and guidance to front office businesses in respect of permissible interaction with research analysts, pre-clearing permitted communications between them and chaperoning as necessary to ensure compliance with the Research Settlement
- Provision of guidance and act as the escalation point for the EMEA Control Room team’s day to day activities
- Leading the development and maintenance of EMEA specific Control Room policies and procedures
- Partnering with the other regional heads of the Global Control Room and Global Management team to improve and develop global policies and processes and ensure a consistent and efficient global approach.
- Developing and maintaining strong relationships with relevant line of business and Central Compliance teams and provide advice to them in respect of Control Room related matters.
- Leading EMEA Control Roominput on Audit and Control Testing activities.
- Representing the EMEA Control Room at relevant Compliance and governance forums and externally e.g. in any regulator interaction; at any relevant external industry forums.
- Responsibility for the performance management and professional development of the EMEA Control Room team and for recruitment of staff to the team, and developing and executing training to the team, particularly new starters.
- Leading EMEA Control Room input to all Global Control Room IT development projects and initiating changes and enhancements where appropriate.
- Keeping abreast of relevant regulatory and legislative changes and providing advice to enable the business to continue to operate in a compliant and controlled manner.
Required Qualifications, Capabilities and Skills
- You will need detailed a working knowledge of all law and regulation relevant to the Control Room, e.g. Global Research Settlement, US Research safe harbour rules, UK Takeover Panel rules as well as a good knowledge of markets and investment banking products.
- You will need extensive Control Room management experience or significant experience working in a Control Room together with proven ability to lead, motivate and support a high performing team within a deadline intensive environment.
Preffered Qualifications, Capabilities and Skills
- Confident with excellent written and interpersonal skills and have the ability to establish credibility and strong partnerships with compliance and business partners.
- Proactive, solution driven and detail-oriented; be able to manage complex tasks simultaneously and be able to make decisions quickly.
- Able to work effectively in a team environment as part of a regional and global compliance function.