Compliance Officer

JP Morgan
06 Dec 2018
03 Jan 2019
Contract Type
Full Time

Business Description

Custody and Fund Services (CFS) is comprised of a number of products and services which include global and direct custody, fund accounting, transfer agency, middle office, depositary services, custody foreign exchange, liquidity management, agency securities lending and depositary receipts.

Role Description

To ensure ongoing support of the Custody and Funds Services (CFS) business strategy in EMEA, the CFS Compliance team is seeking a highly motivated and experienced Compliance Officer. The successful candidate will report to the EMEA CFS Head of Compliance and assist in the compliance coverage of the Fund Services business.

Key responsibilities:

  • Provision of advice on and interpretation of applicable regulations
  • General compliance knowledge of Anti-money laundering and sanctions, conflicts management, Information barriers, data privacy and bank secrecy
  • Work independently on advisory compliance tasks arising from the CFS business while ensuring a consistent approach across the region (where appropriate)
  • Assistance with implementation of new regulatory initiatives impacting the relevant products
  • Assistance with the development and implementation of compliance policies
  • Review and complete the compliance risk assessments for the relevant products whilst providing challenge to the business on their risk and control self-assessment results. Being the global point of contact for Compliance Risk Assessment, coordinating all regions and ensuring deliverables are communicated and deadlines are met
  • Review of new business initiatives and assessment of their regulatory impact on the relevant products
  • Participation in regulatory and client due diligence visits
  • Undertake compliance monitoring activities, including raising and communicating identified issues
  • Develop and maintain strong relationships with other control functions

Role Requirements

  • Have relevant compliance, regulatory consulting, regulatory audit, regulatory risk or legal experience
  • Superior analytical and interpretative skills
  • Demonstrated capability to learn quickly and manage multiple demands
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business/compliance partners
  • Ability to identify potential issues and/or areas of improvement
  • Highly organized with a proven ability to manage and prioritise workload

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