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Research Compliance Officer - Associate

JP Morgan

Location: Greater London

Job Type: Full time


As part of Risk Management and Compliance, you will be at the center of keeping JPMorgan 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.

Research Compliance, a line of business advisory team within Compliance, Conducts and Operational Risk (CCOR), is seeking a highly motivated individual for an associate role in our London location (hybrid working model). In this role you will provide compliance guidance and support to the EMEA Research team, working closely with Investment Banking, Capital Markets, Markets and Control Room Compliance teams. You will also partner with Legal, and the Firm’s control functions to assess risk, create pragmatic solutions, and develop common standards and practices.

Job responsibilities

  • Provide day-to-day Compliance advice to the firm’s Global Research business, with specific focus on research independence, conflicts of interest, material non-public information and reputational risk
  • Assist in the creation and maintenance of policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices
  • Develop and execute monitoring activities for the Global Research business and assist in risk and control assessments
  • Assist in development and delivery of training to support compliance with applicable regulatory obligations, the firm’s compliance-related policies and procedures and industry best practices
  • 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
  • Identify, investigate and escalate issues through formal escalation channels, and facilitate timely and effective resolution

Required qualifications, capabilities, and skills

  • Strong Compliance experience in an investment bank (preferably line of business advisory, ideally Research Compliance)
  • 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
  • Degree level education