Job Description
The Compliance team provides essential oversight and support to both the French-based and global Markets teams. Your role involves offering timely, risk-based advice on regulatory matters, including real-time interpretations and decisions in high-pressure situations. You will contribute thought leadership to regulatory change management and ensure well-documented input into business initiatives, such as reviewing new product proposals and business reorganizations to identify regulatory and control issues.
As a Compliance Risk Management Lead in the Markets Line of Business, based in Paris, you will provide scheduled and ad-hoc training, ensure accurate monitoring and testing, and identify assurance activities. You will oversee compliance policies and documentation, actively participate in risk assessment and calibration, and contribute to regulatory inquiries and investigations. Additionally, you will prepare materials for defence recipients, represent compliance at forums, and manage policy violations in collaboration with HR, Legal, and other stakeholders.
Job Responsibilities :
- Provide credible, timely, and risk-based advice, challenge, and support on regulatory matters, including 'live' regulatory interpretations and decisions in high-profile or time-constrained situations.
- Offer thought leadership and compliance input to regulatory change management.
- Deliver timely and well-documented input into business initiatives consistent with the firm's regulatory and reputational risk tolerances, such as new product proposals, business reorganization, and review of specific initiatives or transactions to identify regulatory and control issues, for example, bespoke corporate derivative transactions.
- Conduct scheduled and ad-hoc training for the business.
- Complete monitoring and testing activities accurately and timely, while identifying assurance activities.
- Identify, implement, and review compliance policies, procedures, and additional documentation.
- Actively participate in the identification, assessment, challenge, and calibration of risks.
- Contribute to responses to regulatory and exchange inquiries, investigations, and exams.
- Prepare materials for First and Second Line of Defence recipients and act as a compliance representative at relevant forums.
- Oversee the disposition and issuance of policy or conduct violations, partnering with HR, Legal, and other internal stakeholders.
Required qualifications, capabilities, and skills
- Familiarity with Markets structures and products
- Knowledge of key financial services regulation applicable to Markets (e.g. MiFID, MAR) and recently regulatory developments (e.g. Retail Investment Strategy)
- Able to work independently and have sufficient experience to know when to escalate an issue is essential
- \"Can do" attitude with the willingness to help others in the team and external to the team
- Possess a high-level of attention to detail and focus on the quality for their work product
- Being proactive, able to think critically about the information presented to them, comfortable with subjective situations, and ready to ask appropriate questions and effectively challenge
- Willingness to go above and beyond to deliver excellence
- Strong communication and presentation skills, with the ability to translate complex regulatory issues into comprehensible messages for a range of audiences and levels and engage with a range of different stakeholders
- Ability to consider the regulators' position and understand, anticipate and react positively to their requirements and demands.
Preferred qualifications, capabilities, and skills
- Good understanding of broader French regulatory requirements would be beneficial
- Relevant experience of performing a similar role at a global investment bank would be a significant advantage
About Us
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. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
About the Team
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we're setting our businesses, clients, customers and employees up for success.
Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm's needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.
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