Markets Advisory Compliance Officer – Vice President

JP Morgan

Location: Greater London

Job Type: Full time


With a diverse department of Compliance professionals supporting all lines of our business around the globe, the department is working diligently to present all business partners with innovative, thoughtful and tailored solutions to the challenges they face. The Compliance function has a strong culture which is focused on delivering first class support to the business while providing a credible challenge where necessary. It seeks to promote best practice, foster employee development and deliver the goals of the Firm wide Risk organization.

As a Markets Advisory Compliance Officer - Vice President within Compliance Advisory Team, you will act as subject matter expert for regulations that apply to the Markets Line of Business, with a focus on equity derivatives, benchmark administration, retail structured products, listed derivatives and Asset Management.

Job Responsibilities:

  • Provide credible, timely and risk-based advice, challenge and support on regulatory matters, including ‘live’ regulatory interpretations and decisions to the business in high profile and/or time constrained situations
  • Provide leadership and compliance input to regulatory change management
  • Deliver timely and robustly documented input into business initiatives that is consistent with the firm's regulatory and reputational risk tolerances - e.g. new product proposals, business reorganization, review of specific initiatives/transactions/structures to identify regulatory issues
  • Accommodate scheduled and ad-hoc trainings to the business
  • Run accurate and timely completion of monitoring activities
  • Identify, implement and review of compliance policies, procedures & additional documentation as may be required
  • Prepare the materials and act as compliance representative at business forums

Required qualifications, capabilities, and skills

  • Familiarity with market structures and products - ideally exposure to at least some of the coverage areas listed above
  • Knowledge of the UK and EU regulatory framework as applicable to the coverage areas (e.g. MiFID II, MAR and PRIIPs), and recent regulatory developments, (e.g. Consumer Duty, Retail Investment Strategy)
  • Able to work independently and have sufficient experience to know when to escalate an issue is essential
  • Possess a high-level of attention to detail and focus on the quality for their work product
  • Being proactive, able to think critically about the information presented to them, comfortable with subjective situations, and ready to ask appropriate questions and effectively challenge
  • Good team player and will be expected to provide cross coverage of other areas

Preferred qualifications, capabilities, and skills

  • Relevant experience of performing a Compliance, Risk or Control role in a global investment bank would be a significant advantage