JPMorgan Chase & Co.
EMEA Head of Corporate & Investment Bank Equities Markets Compliance – Executive Director
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EMEA Head of CIB Equities and Credit Markets Compliance
About the Role Lead the EMEA Corporate & Investment Bank (CIB) Equities and Credit Markets Compliance function, offering primary advisory and regulatory support to Equities (Equity Derivatives, Cash Equities including Prime and F&O) and Credit businesses. This pivotal role is responsible for setting policies, delivering training, and providing real-time regulatory interpretations to sales and trading desks. The team sits within the EMEA Compliance Department, covering Corporate and Investment Banking, Security Services, Asset Management, and Private Banking businesses in the region.
As the EMEA Head of CIB Equities and Credit Markets Compliance, you will:
- Drive compliance strategy and execution for Equities and Credit businesses
- Provide leadership and guidance to front-office teams, senior business leaders, and cross-product initiatives
Responsibilities
Team Leadership & Accountability
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Lead, manage, and develop the Equities and Credit Compliance Teams, ensuring:
- Clear accountability, technical excellence, and proactive compliance culture
- Alignment of team objectives with CCOR (Control Room, Surveillance, Testing) objectives and regional risk profiles
- Robust succession planning and talent development
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Supervise Equities and Credit teams while collaborating with:
- Other Markets Compliance team members
- CCOR department, particularly Surveillance and Testing function
Regional & Global Compliance Coverage
- Provide EMEA-wide coverage, supporting country compliance officers with:
- Consistent, coordinated responses to Markets queries
- Partner with global Markets Compliance teams to maintain a unified regulatory framework
Policy & Risk Oversight
- Define and maintain internal compliance policies and procedures, tailored to:
- Unique risks of Equities (including derivatives & cash markets)
- Credit trading activities
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Resource & Performance Optimization
- Regularly evaluate:
- Team structure, resource allocation, and skills mix to ensure optimal coverage
- Continuous improvements in controls and performance for:
- Equity Derivatives
- Cash Equities (Prime & F&O)
- Credit Markets
Regulatory Monitoring & Adaptation
- Assess impact of new financial regulations, including:
- MiFID II, MAR, EMIR, Dodd-Frank, and local EMEA equivalents
- Ensure timely updates to compliance frameworks with a focus on:
- Market abuse controls
- Insider dealing prevention
- Mandatory clearing & trading obligations
- Fair client treatment policies
Front-Office Support
- Provide real-time regulatory interpretation and guidance, supporting:
- High-pressure trading environments
- Sales, trading, and brokerage teams
Strategic & Operational Input
- Contribute critically to:
- New product initiatives
- Regulatory change implementation
- Monitoring and surveillance oversight
Incident Management
- Investigate and resolve:
- Escalated alerts from Compliance Surveillance
- Self-escalations from trading desks
- Proactively identify blind spots in desk practices
Cross-Functional Collaboration
- Represent compliance in regional and global working groups, ensuring:
- Comprehensive coverage of regulatory risks
- Collaboration with CCOR and other control functions
Premium Flexibility and Flexibility
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Provide cross-coverage and support for other Markets Compliance areas, ensuring:
- Unified risk management approach
- Seamless program oversight across Cross-Markets projects
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Monitor emerging market risks and continuously adapt compliance frameworks
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Required Qualifications and Skills
Key Experience and Expertise
- Extensive experience in Markets Compliance specializing in:
- Equities (derivatives and cash markets)
- Credit trading
- Deep subject matter expertise in relevant regulatory practices
Stakeholder Relationships
- Proven ability to manage relationships with:
- All business levels, including senior executives
- Trading and sales desks to provide critical compliance advice
Regulatory Knowledge
- Strong understanding of:
- UK, EU, and US regulations for Equities and Credit (e.g., MiFID II, MAR, EMIR, Dodd-Frank)
- Local EMEA compliance frameworks
Decision-Making and Adaptability
- Ability to work independently and under pressure, delivering real-time resolutions
- Critical thinker with proactive problem-solving ability
- Unbly to challenge senior management where compliance gaps are identified
About J.P. Morgan
Global Financial Services Leader J.P. Morgan delivers strategic business expertise to clients across:
- Corporations, governments, wealthy individuals, and institutional investors
Diversity, Inclusion, and Commitment to Talent
- Embraces equal opportunity employment principles
- Values diversity and inclusion (D&I) as core to business success
- Provides accommodations for religious practices, mental health, and disability needs
Corporate Functions Excellence
- Back-office support teams (Risk Management, HR, Financial Planning) critical to:
- Client success
- Internal business integrity
Compliance’s Strategic Role Works globally:
- Supporting firm-wide compliance across all business units
- Advising on regulation impacts, product innovation, risk mitigation, and policy implementation
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