Compliance Officer

Recruiter
JP Morgan
Location
London
Salary
Neg
Posted
14 Sep 2017
Expires
22 Sep 2017
Contract Type
Freelance
Our Compliance Function

With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.

Role Description

The Compliance Oversight & Controls team's primary function is to implement an effective control framework across the EMEA Compliance function. The Team works in partnership with the broader Compliance organization on identification of key operational risks and the development of new, and oversight of existing controls in place to mitigate operational risk. As part of the EMEA Compliance Control Officer team, the role will be primarily responsible for the coordination and delivery of the EMEA Compliance OLO programme.

The key priorities for the position include:

* Drive the evaluation of EMEA legal and regulatory obligations, working with the relevant SMEs in order to map these to Compliance policies and procedures, and identifying gaps for remediation
* Compliance Horizontal Leads and Global Compliance Control Officer Team
* Provide project management support and tracking of execution
* Collaborate with SME's across the region, and Compliance partnerns globally to ensure a well coordination programme and consistent review of applicable obligations

Additional responsibilities include:

* Support with the delivery and execution of the EMEA Compliance RCSA
* Manage, track and review completion of Compliance Owned Issues & Action planss
* Support the compliance department with engagement and liaison with Internal Audit
* Assist with the execution of firm wide control initiatives for the Compliance department

Required skills

* Bachelor's degree or equivalent in a related field
* Significant experience in financial services or related field
* Previous experience in Compliance and/or Internal/External Audit with a regulatory focus or other control function desired
* Good working knowledge of FCA Handbook, EU regulations, COBS, and US securities laws.
* In-depth knowledge and application of firm policy and regulatory requirements across multiple product, service and jurisdictions. Examples include Suitability, CASS rules, Conflicts of Interest, Private Placement rules, AML, Chinese Walls, FSA Licensing & Registration, Disclosure of Interest, Best Execution, Market Abuse, and UCITS