Compliance Risk Management Lead

Job Description

Job Description

Exciting opportunity to be the Compliance Officer and Principal Officer for the JPMIPL entity.

Job Summary

As the Compliance Risk Management Lead in the Compliance team, you will be responsible for regulatory Compliance Coverage for JP Morgan India Pvt. Ltd.

Job Responsibilities

- Responsible for implementation of compliance framework for JPMIPL.
- Act as the Compliance Officer and Principal officer for JPMIPL.
- Responsible for regulatory guidance and advisory to the business/operations teams and other stakeholders regarding regulatory changes as well as existing regulations.
- Evaluate compliance with relevant regulations, including AML, KYC (impacting the regulatory licenses held by JPMIPL), monitor and identify issues or gaps.
- Provide updates to the board on regulatory developments
- Engage with SEBI, Exchanges and relevant regulatory authorities for exam/ inspection and other RFIs as well as for regulatory clarifications.
- Participate in various advocacy initiatives with SEBI and exchanges.
- Handle the escalation of alerts from Trade surveillance team as well as alerts from exchanges.
- Review policies pertaining to JPMIPL based on regulatory changes / requirements.
- Work with various regional teams and provide them with necessary updates regarding local regulations.
- Represent compliance on various legal entity governance forums

Required Qualifications, Capabilities, And Skills

- Bachelors Degree in Finance, Economics, Statistical Mathematics, Data Science or equivalent/related disciplines
- 10 plus years of experience in the Financial Services Industry with a demonstrated track-record experience and knowledge of Broking and Investment Banking compliance, including proficient understanding of India AML/CFT regulations and requirements

Preferred Qualifications, Capabilities, And Skills

- Chartered Accountant, Masters degree, Company Secretary or other closely related professional qualification will be beneficial.
- Experience in handling regulatory investigations is an advantage

Competencies

- Ability to develop and maintain productive relationships with key internal clients across all levels.
- A solution driven approach, with exemplary problem solving skills;
- Good analytical ability.
- Ability to own, deep-dive and/or investigate issues and can derive solutions independently, ultimately ensuring successful implementation or resolution
- Experienced with Mantas, technology driven case management tool and/or technology will be preferred and require proficiency in MS Office (Outlook, Excel, Word, PowerPoint etc.), and the experience to handle large volumes of quantitative data
- Ability to work effectively alone and as part of a team, at a local and regional level
- Strong interpersonal or client management skills required to work effectively, influence and/or negotiate desired outcomes with multiple stakeholders and/or senior management
- Good written and verbal communication skills.

ABOUT US

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the worlds most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

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

J.P. Morgans Commercial & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.

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