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Compliance Associate - Investment Banking And Research

JPMorgan Chase & Co. - Sydney, NSW

Banking & Finance
Source: uWorkin


With a diverse department of Compliance professionals supporting all lines of our business around the globe, the Compliance function is focused on delivering first class support to the business by advising internal stakeholders on the impact of regulatory requirements while balancing these with the firm's needs. The diverse mandate of the Compliance function also includes providing input on new business strategies, product lines, policies, training, operational processes, risk mitigation and controls and providing credible challenge where necessary. The Compliance function seeks to promote best practice, foster employee development and deliver the goals of the Firm wide Risk organisation.

To ensure ongoing support to the Investment Banking and Research businesses, the Compliance team is seeking a highly motivated Compliance Officer to provide compliance coverage to the Investment Banking and Research businesses which includes Equity and Debt Capital markets, M&A teams and Research Analysts . This position will report to the Compliance Director for Investment Banking and Research Compliance, Australia and New Zealand and will work closely with the Australian Compliance team and regional Compliance colleagues.

Your Key Responsibilities Will Include

  • Providing timely advice and interpretation of Compliance policies and procedures in response to enquiries from the business;
  • Assessing the impact of new laws, regulations and ASIC policy and developing appropriate Compliance policies and procedures;
  • Coordinating and liaising 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;
  • Accessing regulatory and compliance risks in existing and new product and business activities;
  • Designing and performing risk-based Compliance monitoring tests;
  • Preparing training materials and conducting Compliance training; and
  • Investigating and resolving incidents and Surveillance alerts.

  • A tertiary qualification in Law / Accounting / Business / Finance Degree preferred
  • 3+ years of experience within a financial institution (including investment banking), law firm or major accounting firm
  • Familiarity with Investment Banking and the regulatory regime in Australia including management of conflicts of interest, safeguarding of confidential information and the insider dealing regime.
  • Ability to analyse new or updated regulations and application to the business
  • Ability to manage relationships at all levels, including senior management
  • Ability to work independently and within timelines
  • Excellent communication and organisational skills
  • Strong analytical and problem-solving skills
  • Fluency and operational ability with PowerPoint, Excel, Tableau and other data management and visualization tools desirable.
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. 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.