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Corporate - EMEA Compliance - Compliance Officer (Quality Assurance) - Associate

Req #: 180002561
Location: Bournemouth, ENG, UK
Job Category: Compliance
Job Description:
  • Compliance Bournemouth Mission Statement
The Compliance organization in Bournemouth provides management and oversight associated with operational support for Global Compliance including the development of operational centres of excellence for compliance functions which are operational in nature including: Alert Operations (Level 1 Alerts Disposition), OFAC/Client Screening, Due Diligence, Look-Backs, Disclosure of Interest, Personal Account Dealing and Licensing & Registration.   
  • Description of Role, Functions and Activities
Responsible for disclosing the Firm’s principle and fiduciary holdings to satisfy regulatory requirements and inquiries from regulators, internal parties, and issuers. The Operational aspects include the collection, compilation, and preparation of critical LOB and Legal Entity position and trade data for purposes of regulatory filings globally
In accordance with local laws and regulations, JPMC is required to disclose its interests in relevant securities (primarily equities and equities-related products) to issuers and/or regulators and/or relevant markets.
Requirements can vary significantly across jurisdictions and can be subject to tight reporting deadlines.
Disclosure can include direct and indirect control of voting rights attached to shares and related financial instruments as well as economic exposure e.g. via cash-settled derivatives.
Key Responsibilities and Skills:
  • Monitoring and disclosing positions/trades according to relevant takeover, short selling and Jurisdiction reporting requirements
  • Liaising with other areas of Compliance (e.g. Control Room, LoB) regarding trading restrictions/approvals and possible breaches
  • Prevent breaches of ownership thresholds and to restrict holdings in particular industries or to comply with additional notification obligations (e.g. energy companies in Spain, strategic enterprises in Russia). Liaising with the Control Room and LoB Compliance to restrict or manage trading activity if necessary
  • Responding to queries from Compliance or the Business – e.g.  performing position searches (to assist with: conflicts of interest checks, gauging disclosure implications of proposed transactions  etc); advising disclosure requirements etc


  • Successful track record working in a financial institution and familiarity with DOI functions and systems will be an advantage.
  • Basic knowledge of a broad range of financial instruments, including derivatives
  • Self-starter, capable of working under minimal supervision
  • Adept to multi-tasking and meeting deadlines in high-pressure environment
  • Results oriented team player with a consistent track record of driving tasks quickly and accurately to fruition
  • Strong problem solving ability coupled with the ability to recommend and make decisions autonomously
  • Exceptional research and analytical skills with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately.
  • Strong interpersonal and verbal/written communication skills
  • Proficient in MS Office (Outlook/Word/Excel/PowerPoint)
  • Strong documentation skills to clearly and accurately articulate alert disposition
  • Adherence to controls and standards
About J.P. Morgan’s Corporate & Investment Bank
J.P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With $18 trillion of assets under custody and $393 billion in deposits, the Corporate & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.  Further information about J.P. Morgan is available at
JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer.
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