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 Head of Markets Compliance based in Paris you will manage a team responsible for providing Compliance oversight and support of the Markets Line of Business. Additionally, you will be expected to provide guidance in respect to French Regulatory requirements in general and to support the broader global Markets teams.
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Job Responsibilities:
- Provide credible, timely, and risk-based advice, challenge, and support on regulatory matters, including 'live' 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 and business reorganizations.
- Ensure provision of scheduled and ad-hoc training to 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.
- Lead responses to governmental and regulatory inquiries, investigations, and exams.
- Prepare materials for First and Second Line of Defence recipients, including legal entity boards.
- Oversee the disposition and issuance of policy or conduct violations, partnering with HR, Legal, and other internal stakeholders.
Required qualifications, capabilities, and skills
- Strong understanding of Markets structures and products and knowledge of key financial services regulation appliable to Markets
- Good understanding of broader French regulatory requirements
- Strong manager and team player willing to work closely across and with multiple teams where inter-dependencies will be ongoing
- The individual will need to be proactive and action orientated with good analytical skills and a proven ability for problem solving as well as being able to effectively challenge the front office.
- Excellent stakeholder engagement skills with ability to communicate effectively at all levels across a diverse and global organisation
- Strong analytical skills and ability to understand and interpret complex regulatory requirements
- Excellent communication and presentation skills, with the ability to translate complex regulatory issues into comprehensible messages for a range of audiences and levels
- Meticulous attention to detail, strong organisational skills and a commitment to ensuring that information provided to the firm's regulators is of a high standard
- Ability to consider the regulators' position and understand, anticipate and react positively to their requirements and demands.
Preferred qualifications, capabilities, and skills
- 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.