Posted on 2021-10-18

APAC -Control Room - Compliance- Associate

JPMorgan Chase Bank, N.A.

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.

Global Control Room

The Global Control Room has offices in London, Paris, New York, San Francisco, Hong Kong, Tokyo and Sydney and operates under a global framework of policies and procedures. The Control Room supports the Firm's Information Barriers in order to prevent the flow of material non-public information (MNPI) from private to public areas. The core processes of the Control Room are to;
 

  • maintain the Watch and Restricted Lists
  • review research relating to Watch and Restricted List companies
  • support Wall Crossings
  • chaperone communications between Investment Banking and Equity Research
  • record keep the Public/Private designations for the Firm.

These functions preserve the Information Barriers and facilitate adherence to applicable laws and regulations globally. The EMEA Control Room currently consists of 8 employees.

The Role

Reporting to the Head of APAC Control Room (Executive Director)

Key Responsibilities:
 

  • maintaining and monitoring the firm's information barriers / barrier crossings/ flow of non-public information
  • pre-clearing permitted communication between banking and research
  • obtaining deal updates from bankers
  • implementing necessary sales, trading and research restrictions,
  • research clearance
  • maintaining the firm's insider lists
  • Proactively working with other Control Room teams in the US and EMEA to create a cohesive global Control Room team operating and applying consistent policies and procedures..
  • Participating in the conduct of internal and external enquiries and investigations as necessary.
  • Participating in the Compliance team training efforts and taking responsibility for providing training to various business areas in specific areas of expertise.

Required Skills and Experience:


  • Ideally a minimum of 5 years relevant Compliance experience of which 2-3 years of prior Control Room, Research Compliance or Investment Banking Compliance a plus.
  • Attention to detail, good administrative skills and analytical approach to problem solving. Aptitude to identify real issues and know when to escalate.
  • Ability to meet tight deadlines and to make quick and reasoned decisions under pressure.
  • Good interpersonal skills, confident personality, highly motivated and organised.
  • A team player, but able to operate under own initiative.
  • Awareness of regulatory and internal control requirements, particularly in relation to effective information barrier arrangements and management of conflicts of interest.

 

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. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

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More job information
Salary
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Non-management level
Education
  • Degree