Compliance Vice President - Retail Investments

os, execution-only investing, exchange-traded funds, individual savings accounts, pensions and other tax wrappers, and online investing

• Act as a subject matter expert on relevant UK regulatory requirements and execute core compliance activities across governance and oversight, regulatory management, policies and procedures, training and awareness, monitoring and testing, issue management, and risk assessment and reporting

• Assess, challenge, and escalate potential regulatory breaches and operational risk issues in line with established governance

• Provide documented compliance input to business change initiatives, including new products and enhancements, identifying and helping mitigate compliance risks

• Maintain and review relevant policies, procedures, and supporting documentation

• Represent compliance in governance forums and produce clear materials suitable for senior management and, where needed, regulators

• Identify control issues, support root-cause analysis, agree corrective actions with stakeholders, and track delivery to closure

• Support monitoring and testing activities and projects, and provide cross-coverage within the team as needed

Required qualifications, capabilities and skills

• Bachelor's degree required

• Strong knowledge of UK retail investments regulation, as applicable, including MiFID, Conduct of Business Sourcebook, Client Assets Sourcebook, and Market Abuse Regulation

• Strong understanding of FCA Principles and Consumer Duty as applied to investment products and services

• Sound judgment and independence, including the ability to escalate effectively

• Clear, concise written and verbal communication skills, including executive-level materials

• Strong analytical skills, attention to detail, and strong documentation standards

Preferred qualifications, capabilities and skills

• MBA/professional certification

• Experience in compliance, risk, controls, or audit within a global financial institution

• Exposure to online retail investing and individual savings accounts and pensions

• Proficiency in Microsoft Office

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.