Compliance Manager - Markets Equities
The France Compliance team is part of the Global Risk Management & Compliance department which is responsible for the provision of compliance services to the Firm. The France Compliance team is responsible for providing regulatory interpretation and advice, policy and training on regulatory matters to Paris-based businesses. It also performs compliance risk assessment, advises on new product development and implementation, interfaces with the national competent authorities and undertakes compliance monitoring. It ensures in particular adherence to European and national laws and regulations relevant for the Paris Branch of J.P. Morgan A.G itself and its employees such as MiFID II, MiFIR, Market Abuse Regulation and AMF and ACPR regulations. The Team forms part of the Europe, Middle East & Africa (EMEA) Compliance Department which covers J.P. Morgan's Corporate and Investment Banking, Security Services, Asset Management and Private Banking businesses in the region.
The Team is recruiting for a VP level position providing primary regulatory advisory support specifically to Paris based CIB Markets businesses (i.e. Equities and Fixed Income Currencies and Commodities). The position will primarily focus on Equities but may cover other asset classes.
Roles & Duties:
1. To ensure CIB Markets activities in France are organized and executed in accordance with the applicable regulatory framework, the professional and ethical standards, as well as with the policies and procedures of J.P. Morgan;
2. To act as an advisor to the CIB Markets business on compliance-related subjects and alert management on Compliance risks;
3. To draw-up and update compliance-related Policies and Procedures in accordance with applicable regulation and Group requirements;
4. To keep all governing bodies and businesses appraised of the Compliance-related topics and regulatory changes in those three jurisdictions and provide them with guidance on the interpretation and application of the requirements;
5. To provide educational trainings on Compliance-related subjects;
6. To execute the local Compliance Monitoring and Control program;
7. To support the France Compliance team with regard to Compliance practices enhancements;
8. To assist the Head of Compliance to maintain co-operative relationships with the national competent authorities (AMF, ACPR) and in the preparation and filings of any applicable regulatory reports;
9. To review and fill with the relevant authorities suspicious transactions orders;
10. To work in conjunction with Risk and Internal Audit and other functions as appropriate to achieve the objectives of the Compliance function, notwithstanding existing primary responsibilities allocated to each function; and
11. To identify / receive / record / follow-up regulatory breaches, compliance-related incidents & compliance-related complaints and advise on relevant actions to avoid re-occurrence.
- At least 6-8 years of experience in Compliance roles, some of which must have included Markets business.
The successful candidate needs to be able to work cross-functionally and confidently with colleagues and employees both in-country and abroad as wells as at all levels of the organization. He/She must be able to think on his/her feet, often providing inputs into LOB compliance matters in high profile and/or time constrained situations.
- Strong interpersonal, communication, leadership, presentation and influencing skills
- Ability to prioritize multiple tasks, work under pressure and meet tight deadlines
- Ability to summarize complex topics concisely and drive practical outcomes
- Very good knowledge of AMF and European regulations
- Analytical mind
- Good understanding of risk analysis processes
- The ability to make sound decisions, including escalation when appropriate, in regard of regulatory risk.
- To work without supervision; act on own initiative to identify tasks to be undertaken; work as part of a team.
- Ability to build strong working relationships with central and business aligned functions across the region and co-ordinate with the global and regional Compliance team.
- Fluency in English is essential.J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.
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