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Asset Management - EMEA Compliance - Compliance Officer - Associate

Req #: 170111674
Location: London, ENG, UK
Job Category: Compliance
Job Description:
About J.P. Morgan
J.P. Morgan Chase & Co. (NYSE: JPM) 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 transaction processing, asset management, private equity, commercial banking and financial services for consumers & small businesses.  A component of the Dow Jones Industrial Average, J.P. Morgan Chase & Co. serves many of the world's most prominent corporate, institutional and government clients and millions of consumers in the United States and under its J.P. Morgan and Chase brands.  Information about J.P. Morgan Chase & Co. is available at
About J.P. Morgan Asset Management
J.P. Morgan Asset Management is a leading asset manager for individuals, advisors and institutions. Our investment professionals are located around the world, providing strategies that span the full spectrum of asset classes. As one of the largest asset and wealth managers in the world, with assets under management of $1.7 trillion (as of December 31, 2014), we provide global market insights and a range of investment capabilities that few other firms can match.
Reporting to the EMEA Head of Trade Surveillance and Employee Compliance and a member of a seven person team, the key but not exclusive responsibilities of the role include:
  • Performing detailed reviews in accordance with the JPMorgan Investment Management surveillance programme to assess compliance with applicable rules and regulations, to include reviews of front office, segregated and pooled fund activities. 
  • Preparing clear and organised monitoring work papers to document and support work performed and conclusions reached; 
  • Highlighting findings from monitoring work performed to the Head of Compliance Trade Surveillance and Employee Compliance in a timely manner and, work with the business to bottom out the issue and agree appropriate actions to address these;
  • Preparing detailed and clear reports of findings arising from surveillance reviews, including practical and relevant recommendations for the business to address these findings;
  • Making suggestions to enhance existing surveillance procedures to the Head of Compliance Trade Surveillance and Employee Compliance;
  • Monitoring the status of implementation of corrective action and where issues are not implemented in line with agreed timelines escalate to the Head of Compliance Trade Surveillance and Employee Compliance;
  • Assisting with the design and implementation of monitoring electronic exception reports and tools for JPMAM’s businesses in EMEA;
  • Approving staff dealing requests, performing monthly and ad hoc surveillance reviews, administering the 'banned', 'restricted'  and ‘grey’ lists;
  • Interacting with all levels of business management and staff.  Meet regularly with key business staff to stay abreast of changes within the business and issues arising;
  • Undertaking ad-hoc projects at the request of the Head of Compliance Trade Surveillance and Employee Compliance;
Preferable Requirements
  • Proven track record in a LOB Compliance Surveillance and Employee Compliance role
  • Thorough and up to date understanding and practical experience of Asset Management Fixed Income and Equity trading systems and processes, including programme trading, direct market access and algorithmic trading;
  • Experience in designing and developing surveillance reviews around new or expanding business areas;
  • Experience of conflicts related reviews
  • An awareness of the inducements rules, and experience in the pre-clearance of G&E and Anti-Corruption related hospitality;


Preferable skills

  • University degree educated or equivalent
  • Excellent Microsoft Office software (e.g. PowerPoint, Excel and Word) knowledge
  • Good time management
  • The ability to work under pressure and to tight deadlines
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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