Overview
In this role, you provide independent second-line compliance oversight for JP Morgan’s UK retail investment business, covering portfolios, brokerage, ETFs, ISAs, pensions and more. You will assess risks, challenge business initiatives, and track actions to protect customer outcomes. You collaborate across Compliance and control functions to support governance, policy, and regulatory change. You will help ensure products and services align with regulatory requirements while enabling thoughtful growth. This is an opportunity to shape compliance in a complex retail investment environment with cross-functional impact.
Responsibilities
- Provide risk-based second-line compliance oversight through monitoring, testing, and control reviews
- Assess operational risk events, issues and potential breaches, researching requirements and escalating where needed
- Offer clear, well-supported compliance input on new or amended products and business initiatives
- Support policy guidance, monitor regulatory developments, and assess impact on products and customer outcomes
- Prepare governance materials, maintain records, and track risks, issues and actions
- Collaborate across Compliance, the business and other control functions on strategic initiatives and knowledge sharing
Key requirements
- Experience in Compliance, Risk, Controls, Audit, Legal or related financial services role
- Knowledge of UK regulatory framework for retail investments (MiFID, COBS, CASS, Market Abuse Regulation, Consumer Duty) or ability to build expertise
- Strong analytical and problem-solving skills with ability to identify key issues and form well-supported conclusions
- Clear written and verbal communication and strong attention to detail
- Proactive, curious and collaborative approach with willingness to escalate when needed
- Ability to manage competing priorities and build relationships with stakeholders
- proactive
- curious
- collaborative
- Regulatory risk assessment
- Compliance monitoring and testing
- Regulatory change management
Compliance Associate Retail Investments in London employer: JP Morgan Chase
Morgan is an exceptional employer, offering a dynamic work culture that prioritises diversity and inclusion while fostering employee growth through comprehensive coaching and development opportunities. As a global leader in financial services, we empower our teams to drive impactful product management and AI enablement, ensuring that every employee can contribute meaningfully to our clients' success in a collaborative environment located at the heart of the financial sector.
