JPMorgan Chase & Co.
Compliance Associate Retail Investments
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Compliance Associate – Retail Investments
You will work closely with senior Compliance colleagues, the business and other control functions, helping identify and manage regulatory and conduct risks and supporting good customer outcomes.
As a Compliance Associate – Retail Investments, you will be part of the International Consumer Banking Compliance team, providing independent second line oversight and challenge for J.P. Morgan’s UK retail investment business. The role covers managed portfolios, brokerage, ETFs, pensions, ISAs and other investment products and services for retail customers.
Job responsibilities
- Support risk-based second line Compliance oversight, including monitoring and testing, review of business processes and controls, and tracking of corrective actions.
- Assist with the assessment of operational risk events, issues and potential regulatory breaches by researching requirements, analysing facts and controls, documenting conclusions and escalating concerns.
- Provide clear, well-researched Compliance input and challenge on business initiatives, change programmes and new or amended products.
- Support Compliance policies and guidance, monitor regulatory developments and help assess their impact on products, services and customer outcomes.
- Prepare concise materials for governance forums, maintain appropriate records and support the tracking of risks, issues and actions.
- Work collaboratively across Compliance, the business and other control functions, contributing to strategic initiatives, knowledge sharing and team cross-coverage.
Required qualifications, capabilities and skills
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- Experience in Compliance, Risk, Controls, Audit, Legal or a related financial services role.
- Knowledge of the UK regulatory framework for retail investments, or the ability to build expertise in areas such as MiFID, COBS, CASS, Market Abuse Regulation and Consumer Duty.
- Strong analytical and problem-solving skills, with the ability to identify key issues and reach well-supported conclusions.
- Clear written and verbal communication skills and strong attention to detail.
- A proactive, curious and collaborative approach, with the confidence to ask questions, challenge appropriately and escalate when needed.
- Ability to manage competing priorities and build effective working relationships with a range of stakeholders.
Preferred qualifications, capabilities and skills
- Experience in retail investment, wealth management, online investing or investment platforms.
- Familiarity with managed portfolios, brokerage, ETFs, ISAs, personal pensions or other investment tax wrappers.
- Experience in Compliance monitoring or testing, regulatory change, issue management, product governance or reviewing customer journeys and communications.
- A relevant degree, professional qualification or progress towards a Compliance, risk, legal, audit or investment-related certification.
About J.P. Morgan
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.
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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.
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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