Australia & New Zealand Markets Compliance Officer, Associate

2 weeks ago

Sydney, New South Wales, Australia Chase- Candidate Experience page Full time $90,000 - $120,000 per year

Compliance, Conduct and Operational Risk (CCOR) form part of JPMorgan's Risk Management and Compliance organization. We maintain oversight of the firm's compliance, conduct and operational risk management activities and are responsible for the design and execution of a comprehensive Risk and Control framework. We are considered a second Line of Defense (LoD) function and proactively manage regulatory risk. This is a professional position with significant potential for career development for the right individual who can demonstrate the highest level of standards & integrity, relevant skill sets, aspiration to succeed as a compliance professional and who is determined to contribute in making a positive difference in the Markets Compliance team.

 As an Australia & New Zealand Markets Compliance Officer in the Markets Compliance team, you will be at the forefront of navigating the complex regulatory landscape. The Markets business is in an increasing complex regulatory environment. The Markets Compliance team helps navigate these complex rules, including by providing advice on ASIC Market Integrity rules and ASX Operating and Settlement rules, input on new business strategies, policies, training, operational processes, risk mitigation and controls and providing credible challenge where necessary. 

 Job responsibilities:

  • Provide timely advice and interpretation of applicable regulations and Compliance policies in response to business inquiries.
  • Understand and assess key and emerging risks for the Australia and New Zealand Markets business, including staying abreast of industry news and regulatory developments to facilitate proactive risk identification and mitigation.
  • Offer input on regulatory changes, compliance projects, and issues.
  • Lead the management of regulatory inspections and interact with key stakeholders and regulators regarding our Compliance program and regulatory requirements.
  • Prepare Compliance reporting for various control committees.
  • Manage compliance incidents, assess breaches, and handle regulatory reporting.
  • Prepare and deliver Compliance training.
  • Coordinate and liaise with other Compliance groups and stakeholders such as legal, business management, controls, audit, tax, and finance to initiate and deliver control process enhancements where required.
  • Investigate and resolve incidents and Surveillance alerts.
  • Participate in market conduct-related investigations.

Required qualifications, capabilities, and skills:

  • Degree-qualified with at least 3+ years of relevant experience in legal, regulatory, compliance or similar roles
  • Experience of Financial Markets (Equities or Fixed income) or other relevant wholesale financial services products
  • Ability to analyse new or updated regulations and application to the business;
  • Independent, analytical thinker with the ability to multi-task, prioritize and thrive in a fast-paced and evolving environment
  • Strong influencing skills and ability to drive change and deliver results
  • Strong team player and ability to communicate clearly and concisely in a fast-paced environment

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