Applications for this job have closed. Try searching for similar jobs.

Research Compliance Officer - Vice President

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 a VP 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 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 escalate 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

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