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Compliance Officer

vor 2 Wochen

Frankfurt am Main, Hessen, Deutschland JPMorganChase Vollzeit

JOB DESCRIPTION

Join the dynamic team of J.P. Morgan SE as a Private Banking Compliance Vice President, where you'll be at the forefront of shaping and executing the compliance program within the JPMSE Private Bank. In this pivotal role, you'll navigate the intricate European regulatory landscape, providing expert guidance and oversight on mostly MiFID but also other topics such as market abuse, data privacy, and more.

As Compliance Vice President within the Private Bank Compliance team, you will interact with regional teams across the compliance framework, Regulatory Management and advisory teams to support consistency and ensure local considerations are adequately covered. For that you need to possess a strong regulatory and compliance background to advise on core compliance obligations within the European regulatory framework. You will report to the head of J.P. Morgan SE – London Branch Private Bank Compliance Advisory.

Job responsibilities

  • Provide Compliance advice to support the Private Bank (PB) business in particular but not limited to European Union regulation and banking requirements covering governance, trading, investment advisory, discretionary portfolio management, review of new products, product governance, suitability, cross. border, conflicts of interest, investment funds, data privacy and banking secrecy.
  • Partner with Regional and Global Compliance to ensure consistency and leverage best practices for the PB business.
  • Keep abreast of regulatory and legislative changes (e.g. MiFID, MAR, SFDR, GDPR etc.,) and provide advice to enable the business to implement changes and operate in a compliant and controlled manner.
  • Review regulations and related regulatory mapping analyses, and work with divisional partners to advise the relevant owners on the development of policies and procedures within the legal entity and across other group legal entities as necessary.
  • Develop close working relationships within the bank and line of business to engender a culture of compliance within the business.
  • Contribute to the performance of Compliance risk assessment, testing and monitoring program, and new business regulatory reviews and where necessary coordinate within the legal entity and across other group legal entities.
  • Advise on the content and quality of PB submissions to regulators, supporting Regulatory Management and when needed act as the lead SME for the PB LOB on relevant external audits, regulatory examinations, reviews, information requests or other specific deliverables.

Required qualifications, capabilities and skills

  • University Graduate.
  • Strong knowledge of products and services in Private Banking.
  • Background and experience in a banking or risk management environment, or financial services from a legal or regulatory perspective
  • Previous experience in dealing with and maintaining relationships with the BaFin, ECB or European or Global regulators within a large and complex financial services firm or experience working at a relevant regulator.
  • Experience of portfolio management services across all asset classes (Equities, Fixed Income, Structured Products, Mutual Funds, Alternatives and OTC derivatives) and knowledge of associated regulations.
  • Strong knowledge of key financial services regulations, especially MiFID/R but also MAR, SFDR and GDPR. Strong understanding of the German regulatory framework including MaRisk and German Securities Trading Act.
  • Ability to consistently deliver high quality results on the local and firm-wide Compliance program.
  • Team player with strong communication, interpersonal and influencing skills, ability to establish good partnerships with others parts of a large organization. Self-motivated, positive professional and can-do attitude.
  • Ability to work in a fast-paced environment, demonstrate strong judgement and an ability to think, plan and execute on multiple projects simultaneously in an organized manner, prioritize deliverables, work under pressure and meet tight deadlines.
  • Strong communication skills, both verbal and written in English and German.

Preferred qualifications, capabilities and skills

  • Knowledge of other European languages, aside of English and German.

ABOUT US

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. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

ABOUT THE TEAM

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we're setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm's needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.