Compliance — Compliance Officer
JPMorgan Chase & Co
SenningerbergSenningerberg, L, LU
il y a 11j

Req # : 180112398

EMEA Wealth Management : JPMorgan Private Bank

JPMorgan Private Bank is the world’s premier private bank, operating globally, catering for an ultra-high net worth client base with highly sophisticated investment, wealth preservation and financing requirements.

Through discretionary and brokerage services the Private Bank offers a broad range of investment solutions encompassing regulated and alternative investment funds, segregated managed accounts, foreign exchange, fixed income, equities, structured products and derivatives.

It also offers mortgages, cash management and structured lending.

EMEA Wealth Management Compliance Coverage Strategy

The EMEA Wealth Management Compliance coverage strategy requires :

expertise, the in-depth knowledge of a full range of financial products, and provision of advisory services with respect to the broad private bank client offering.

expertise, the in-depth knowledge and application of firm policy and regulatory requirements across multiple product, service and jurisdictions.

Examples include product governance, suitability, marketing and financial promotions, cross border, fund governance, insurance mediation activities, mortgages and credit.

Position Description

The successful candidate will report directly to the Head of Advisory and Req Management for JPMBL. The individual will provide general support to the Private Bank businesses in EMEA excluding Switzerland conducted in the region and will focus on support across the team as required.

The individual will :

work closely with the business on various ad-hoc projects and provide Compliance advice as required

assess and analyse Compliance and Regulatory issues in respect of proposed new products and services and procedures with specific reference to JPMorgan

  • assist business management in the development of policies and procedures designed to achieve and ensure compliance with firm and regulatory requirements;
  • provide clear advice on the application of Luxembourg and EU rules and firm policy;
  • provide input into the Compliance Risk Assessment, Testing, Monitoring and Surveillance processes;
  • work with global and regional compliance management;
  • identify and investigate potential rule and policy breaches, conduct investigations, coordinating corrective action with other control functions as necessary / required; and

    Keep abreast of industry trends and anticipate areas of focus and attention of regulators, keeping business management and Compliance colleagues informed.

    Qualifications and Skills

    Educated preferably to Degree Level, possibly with appropriate accounting or legal qualification / background

    Significant experience working in a similar role

    Good working knowledge of CSSF Circulars, EU regulations and potential to develop expertise re US securities laws

    Excellent working knowledge of Private Banking investment products

    Previous work experience in Investment Banking, Private Banking or Asset Management

    Ability to work in a fast-paced, dynamic and demanding environment.

    Attention to detail and control / quality awareness

    Good communication skills especially the ability to articulate complex issues to a range of audiences, including business management, other Legal and Compliance colleagues, Audit and regulatory authorities

    Good organisational and planning skills

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