Compliance Control Room Associate

JPMorgan Chase

  • London
  • Permanent
  • Full-time
  • 2 days ago
Job Category: CCOR FoundationJob Description:The Control Room, part of the Compliance, Conduct and Operational Risk (CCOR) organization is seeking an associate for a role in our London Office, in Canary Wharf. The Control Room is responsible for maintaining the integrity of the Firm's information barriers by monitoring and controlling the flow of information between the Firm's private side and public side businesses. In addition, the Control Room tracks investment banking transactions to ensure that all restrictions are applied in a timely manner, as well as advises the firm's various divisions on the applicability of those restrictions.As a Control Room Officer - Associate within Risk Management and Compliance, you will be at the center of keeping JPMorgan strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.Job Responsibilities
  • Interact with the Banking, Sales and Trading and Asset Management teams to ensure the Firm's Watch and Restricted lists are properly maintained
  • Review Research publications to ensure compliance with legal and regulatory obligations
  • Manage communications between Research and Investment Banking to ensure compliance with the Research Settlement
  • Provide advice and guidance to front office businesses in respect of permissible interaction with research analysts, pre-clearing permitted communications between them and chaperoning as necessary
  • Provide advice and guidance to the business in respect of the firm's watch & restricted list policy, research restrictions during advisory mandates and other Control Room-owned policies
  • Provide training to various business areas in respect of Control Room related policies and procedures
Required qualifications, capabilities, and skills
  • Relevant Compliance experience in an investment bank
  • Confident with excellent communication skills, written and oral, and strong interpersonal skills with the ability to establish credibility with business partners.
  • Excellent analytical and problem-solving skills.
  • Motivated and proactive with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments.
  • Ability to work as a member of a team in a high-pressure, fast-paced environment.
  • Highly organized, detail-oriented, and energetic individual with the ability to manage complex tasks simultaneously in a deadline-intensive environment.
  • Degree level education.
Preferred qualifications, capabilities, and skillsPrevious experience within a Control Room role or private side advisory role.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 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.

JPMorgan Chase