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Asset Management - EMEA Compliance - Compliance Manager – Wealth Management Compliance Testing Manager - Vice President

Req #: 180023747
Location: London, ENG, UK
Job Category: Compliance
Job Description:
J.P. Morgan is a leading global financial services firm with assets of $2.1 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management and private equity. Information about J.P. Morgan is available at
The EMEA Compliance Testing team is part of the EMEA Compliance and is responsible for managing and executing Compliance Testing across the Wealth Management, Corporate & Investment Bank, Corporate Functions and J.P.Morgan branches in EMEA.
The EMEA Compliance Testing Team is responsible for the timely and effective management and execution of the EMEA Compliance testing program.
The testing team partner and support Line of Business Compliance Officers and other areas of Compliance globally.   The role responsibilities for this position include:
  • Execution of the EMEA Wealth Management (WM) Compliance Testing Program in line with the firm’s expectation.
  • Support the WM testing team lead and the EMEA Head of Compliance Testing to deliver the WM Compliance testing plan.
  • Co-ordination with WM Compliance Managers and core Compliance functions.
  • Management of open issues arising from testing and ensuring associated action plans are addressed.
  • Working closely with Internal Audit and Corporate Compliance to ensure the effectiveness of the Compliance Testing program.
  • Co-ordination of Audit, Regulator and Client enquiries and reviews relating to Compliance Testing.
  • Involvement in departmental projects particularly in relation to the development of the Annual Compliance Testing Plan.
  • Providing guidance and support to more junior members of the team both in terms of process and subject matter expertise.
  • Taking a leading role in global testing assignments.
The successful candidate should:
  • Previous and relevant Compliance experience or other related experience e.g. legal, risk management, audit, operations controls or similar.
  • Audit or relevant Industry Qualifications or a University Degree.
  • Demonstrate an ability to interpret financial regulations and regulatory requirements and assess operational Compliance with those requirements.
  • Have excellent written skills and be able to construct and deliver Compliance Testing Reports to senior management. Be able to demonstrate clear, concise verbal and written skills.
  • Have a good appreciation of the regulations applicable to WM business, particularly new and upcoming regulations.
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business and Compliance partners.
  • Be a team player, able to work with other team members across Compliance.
  • Have good organizational skills with an ability to manage, prioritise, work under pressure and meet tight deadlines.
  • Be comfortable interacting with, and presenting to, senior business management and control functions.
  • Have flexibility regarding working hours.
  • Expect to travel to other locations as required.
About J.P. Morgan Chase & Co:
J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion.  The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its JPMorgan and Chase, and WaMu brands.
J.P. Morgan offers an exceptional benefits program and a highly competitive compensation package. J.P. Morgan is an Equal Opportunity Employer
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