Corporate - EMEA Compliance - Control Room - Associate - J.P. Morgan - City of London - Wizbii

Corporate - EMEA Compliance - Control Room - Associate

  • By J.P. Morgan
  • City of London (United Kingdom)
  • Law / Notary / Tax

Job description

Job Overview
You will be a member of the EMEA Control Room, which forms part of the Global Control Room and which has prime responsibility for maintaining the firm's Chinese Walls and Global Watch and Restricted Lists.  

The Global Control Room has offices in New Jersey, San Francisco, Hong Kong, Tokyo, Sydney and Mumbai and operates under a global framework of policies and procedures.

You will report to the Head of EMEA Control Room (ED).  The Control Room currently consists of 8 employees. 

Target Level – Associate
Key Duties & Responsibilities

·  Perform the day-to-day core responsibilities of Control Room Compliance including:
·  maintaining and monitoring the firm's Chinese walls/ wall crossings/ flow of non-public information;
·  obtaining deal updates from bankers;
·  implementing necessary sales, trading and research restrictions;,
·  clearing research before publication; and
·  maintaining the firm's insider lists.

·  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 Information Barriers Policy, Chinese wall, insider dealing and market abuse issues.

·  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 the specific areas of Control Room expertise.

·  Participate in the conduct of internal and external enquiries and investigations as necessary.

·  Mentor and coach the less experienced members of the Control Room to improve / enhance their knowledge.
Knowledge, Skills & Experience Required
·  Previous Control Room experience or legal / compliance experience with exposure to a Control Room environment.
·  Good working knowledge of regulatory and internal control requirements, particularly with those in relation to effective Chinese Wall arrangements preferable.
·  Methodical person with attention to detail, strong administrative skills and analytical approach to problem solving.
·  Ability to identify issues and know when to escalate.
·  Ability to meet tight deadlines and to make quick and reasoned decisions under pressure.
·  Excellent interpersonal skills, strong personality, confident, highly motivated and organised.
·  A team player, but able to operate under own initiative.
About J.P. Morgan Chase & Co:

J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion.  The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its JPMorgan and Chase, and WaMu brands.
J.P. Morgan offers an exceptional benefits program and a highly competitive compensation package. J.P. Morgan is an Equal Opportunity Employer

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