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Corporate Compliance - Institutional Compliance Officer - Vice President

Req #: 170114374
Location: Toronto, ON, CA
Job Category: Compliance
Job Description:


JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at


The Institutional Compliance Officer is accountable for supporting the Canadian in-country Compliance Program for JPMorganChase & Co (“JPMC”) with responsibilities focusing on the Corporate and Investment Bank lines of business as well as supporting JPMC’s Global AML Compliance Program in Canada to manage regulatory and compliance oversight for the multiple wholesale banking and broker-dealer activities.


This position will be based in Toronto, Canada and requires a senior level compliance professional with solid knowledge and regulatory experience to assist in building and supporting a strong regulatory control environment. The role provides regulatory advisory and compliance support to both Canadian business units and cross-border lines of business with activities in and into Canada, including in respect of AML regulations. The role also involves the development and implementation of action plans and target dates stemming from regulatory and/or business audits as well as new and updated product approval to ensure inclusion of necessary compliance requirements. The position interfaces with executive and senior management and senior counterparts in the business, legal, operations, the control organizations, and internal audit.



  • Assist and support the Canada Chief Compliance Officer (CCO) and Canada Chief Anti-Money Laundering Officer (CAMLO) in enhancing the Canadian governance program, specifically in the areas of risk assessments development and implementation, enhancements of the regulatory and AML control environment, and Senior Management reporting and escalation
  • Experience with and knowledge of IIROC rules and regulations - must be able to understand how to manage the implementation of new rules and requirements along with trade desk compliance.
  • Provide expert regulatory advice on Canadian corporate, securities, banking and AML laws, rules, regulations and compliance matters to both domestic and cross-border businesses with activities in and into Canada, including supporting non-Canadian entities with exemptions to operate in Canada
  • Assist in the development of Canadian training programs across lines of business to satisfy Canadian regulatory expectations
  • Creating and managing applicable compliance and operating policies and procedures to ensure regulatory compliance issues are adequately addressed
  • Provide timely reporting on significant regulatory and compliance issues to Senior Management.
  • Participate in appropriate domestic and regional Governance and Control Forums
  • Advise on regulatory compliance matters for new regulations, organizational developments, products and services
  • Administer the implementation of Canadian AML compliance policies, ensuring consistency across LOBs.
  • Liaison with OSFI, FINTRAC, the Canadian Securities Regulators as required and during regulatory examinations
  • Highly motivated, independent, and experienced professional with solid banking, broker-dealer and AML regulatory compliance background and technical knowledge of applicable banking, corporate and AML laws and regulations
  • Bachelors' degree, legal qualifications, accounting designation or comparable work experience required
  • Canadian Securities Course, knowledge of IIROC rules, and along with other investment industry qualifications is an asset
  • Minimum of 5+ years of relevant compliance or legal experience
  • Candidates must demonstrate excellent interpersonal, communication, resource management, organizational and decision-making skills
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