Investment Banking Compliance Officer-executive
il y a 1 mois
As a Compliance and Risk management Executive Director you are at the center of keeping J.P. Morgan 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.
You partner with a team of regulatory professionals covering J.P. Morgan's European Investment Banking products and services, and supporting corporate functions. You manage the European Control Room, you oversee J.P. Morgan European Research department activities; and be the senior point of contact on a range of transaction, governance and compliance/ethics matters.
**Responsibilities**:
**Advisory**
- Advise on:
- Corporate transactions: public and private M&A, private placements, capital markets and leverage finance.
- Client risks: industries, jurisdictions, transactions, conflicts, complaints, and confidentiality.
- Financial crime and political risks: AML, anti-bribery / corruption, fraud, sanctions and market abuse.
- Employee topics: gifts & hospitality, whistleblowing, private investments and outside activities.
- Provide line of business advice to information security, data protection and privacy teams.
- Oversee policies / procedures to reflect regulatory requirements and internal policy positions.
**Risk Management, Governance & Oversight**
- Oversee the regional risk assessment and calibration exercises and effective 2 nd line of defense challenges.
- Partner with NA, LATAM and APAC counterparts to identify and mitigate regional and global risks.
- Oversee risk / gap analysis following key events, such as MRAs / regulatory feedback and external regulatory sanctions.
- Scope internal data points for use in data analytic exercises to automate trend and risk analysis.
**Investigations, Monitoring, Testing & Training**
- Conduct internal investigations, including directing review teams and outside counsel as necessary.
- Lead responses to inquiries, investigations, and exams initiated by governmental or regulatory authorities.
- Oversee the regional monitoring and testing strategy, activities, procedures and resources.
- Oversee the disposition and issuance of policy / conduct violations, and partner with HR as necessary.
- Maintain an effective dialogue with audit and testing teams for independent 2nd and 3rd line assessment.
- Oversee the annual compliance refresher training and bespoke sessions, such as workshops.
**Management Information & Reporting**
- Oversee reporting of MI, monitoring results and heightened risks.
- Monthly reporting to relevant Heads of Investment Banking products / coverage areas.
- Quarterly reporting to J.P. Morgan legal entity boards and committee.
**Required qualifications, capabilities, and skills
- Strong managerial and leadership skills developed in fast-paced environments.
- Strong foundation in European corporate transactions, governance and due diligence exercises.
- Detailed technical knowledge of compliance and ethics regulations, and corporate/regulatory law.
- Accustomed to collaborating with compliance counterparts and senior stakeholders in multiple markets.
- Possess strong written and oral executive-level communications skills in English
- Leveraging technologies to automate compliance data points and producing metrics and trends analysis.
J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.
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