Control Room Compliance Officer Job at JPMorgan Chase Bank, N.A. Paris (75)
Global Control Room
The Global Control Room has offices in London, 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.
Reporting to the Head of EMEA Control Room (Vice President)
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,
maintaining the firm’s insider lists
- Proactively working with other Control Room teams in the US and Asia-Pacific 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 2 years relevant Compliance experience and understanding of Control Room processes.
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 Chinese wall arrangements and management of conflicts of interest.
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.
About the Company
Company: JPMorgan Chase Bank, N.A.
Company Location: Paris (75)