Corporate - Compliance Manager, Asset & Wealth Management - Vice President
J.P. Morgan is a global leader across banking, markets, securities services and asset and wealth management. The world's most important corporations, governments, financial institutions, pensions, sovereign wealth organizations, states and municipalities entrust us with their business.
J.P. Morgan Asset Management is a leading asset manager for institutions, financial intermediaries and individual investors, worldwide. With a heritage of more than two centuries, a broad range of core and alternative strategies, and investment professionals operating in every major world market, we offer investment experience and insight that few other firms can match. Locally, the Asset Management business provides investment solutions to institutions, financial intermediaries and corporate entities in the Australian market.
Global Compliance plays a critical role in the successful execution of the firm's Compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and rules that govern our business globally.
The Compliance Manager will provide support to the ongoing enhancement and execution of the Australia and New Zealand Compliance Programme, with a specific focus on Asset & Wealth Management (AWM). You will also assist with non-business specific compliance matters, including licencing and registration, reporting/MIS, regulatory management, Compliance policies and Compliance Governance. Your key responsibilities will include:
To be successful, you will need:
- Providing compliance and regulatory advice, including advising on existing and new Australian and New Zealand banking and securities laws and regulations as they relate to the AWM business and more generally.
- Evaluating compliance with relevant regulations, identifying issues and assessing the impact of regulatory change.
- Reviewing new business initiatives, operational procedures and major operational and systems changes from a regulatory perspective.
- Supporting the AWM compliance programme including participating in regulatory risk assessments, providing input of policies, performing training and designing and executing compliance desk reviews.
- Maintaining liaison and coordination with the AWM businesses.
- Liaising with AWM Compliance in APAC and other locations and Legal and Audit teams, etc.
- Responding to requests from global and regional Compliance and provide information and report as appropriate.
- Interacting with regulators including handling of regulatory enquiries, exams and investigations, industry regulatory group interactions.
- Preparing management and governance reports as required and attending management and governance committees as required.
- Plan and conduct compliance induction and business specific compliance training.
- A tertiary qualification in Law, Commerce or a related discipline preferred.
- At least six years of compliance or related risk management experience gained within a financial institution or regulator.
- Experience of asset management or other relevant wholesale financial services products.
- Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with business partners and work cohesively in a team environment.
- Strong analytical, problem-solving and organizational skills and the ability to manage several simultaneous projects.
- Excellent business judgment and strategic thinking ability.
We are open to conversations about flexible working for this position. This could range from ad hoc flexibility in a full time position, to a more formal Flexible Work Arrangement.
J.P. Morgan is an equal opportunity employer and is committed to providing a working environment that embraces and values diversity and inclusion. We are proud to achieve Bronze Employer status in the 2019 Australian Workplace Equality Index (AWEI). If you have any support or access requirements, we encourage you to advise us at time of application.