We are seeking a Comlpiance Analyst to join JP Morgan in Bournemouth on an initial 6 months contract. The role will involve reviewing all relevant current and ex-employee documentation as to whether they adhere to the FCA and PRA rules and regulations. You will therefore require excellent analytical skills and strong excel skills.
The Licensing and Registrations team provides ongoing operations oversight of the implementation and administration of the registration/licensing policies applicable to all employees in the UK under the Rules and Regulations of the Financial Conduct Authority/Prudential Regulatory Authority (FCA/PRA) and a number of Global Exchanges.
The team provides coverage across all UK business units including: Corporate & Investment Bank, Commercial Bank, Asset Management, and Corporate Bank.
The position is within the Global Compliance Operations organization and provides the opportunity to join a critical growth area in the Corporate Sector. The successful candidate will be a team player who is responsible for the successful monitoring & processing of all relevant documentation/tasks for any new on/off boarded covered employees. The candidate will have a positive attitude, control mind-set, a strong appetite to learn and be delivery focused.
Any employee who will be advising/arranging or dealing on investments will require FCA/PRA registration and is considered covered.
- Exchange registration/certification/withdrawal and administration for UK employees and a small proportion of US and Asia employees whose role is regulated and or requires access to various Exchanges
- Perform compliance due diligence in readiness for individuals registration/certification
- Managing the on boarding and off boarding of trader and back office access for JPMorgan employees to certain Exchanges
- Action IBID/EURC request approvals
- Dealing with various exchange queries from both the business and the exchange
- Ensure the accurate collection, storage and reconciliation of all registration related records, new and withdrawn, for covered individuals in the EMEA region, for CF30 FCA registration.
- Liaise closely with HR, Global Security and Exam vendors in respect to new joiners, leavers & transfers.
- Inquiry management, Investigation and escalation process for in flight requests.
- Collation, analysis and distribution of Operational Metrics / Key Performance Indicators
- Interact and collaborate with internal support groups (Tech, Ops, Compliance, Legal, HR) to achieve business priorities
- Support business resiliency & contingency process across regional department
- Assist in the development and enhancement of processes to deliver highly effective services through best practices and training
- Business Control Committee/Stakeholder Governance
- Project / Change Management support
- Documentation of controls / procedures /process flows
Required Skills & Knowledge:
The successful candidate for this position will be a team player who thrives on challenge. The individual will need to be proactive and action orientated with good analytical skills and a proven ability for problem solving. In addition they will demonstrate:
- Some experience in either, Operations, Legal or Compliance within the Financial Services industry is preferable but entry level candidates will be considered.
- Client centric focus - Work as a trusted client partner and advocate.
- Controls/Risk management focus - Ensure we remain adaptable and responsive to the changing regulatory landscape and always maintain high standards of control.
- Exceptional standards of data organization and maintenance - must be detail oriented
- Able to work to high standards of accuracy and efficiency
- Able to work both independently and as part of a team at all times
- Comfortable user of Microsoft Office (i.e. MS Excel; Word, Visio, PowerPoint ) - Intermediate Excel preferable
- Strong and positive personality
- Execution skill - Able to deliver results/ meet deadlines under pressure
Preferred Skills & Knowledge:
- Build effective relationships quickly & able to influence at all levels - role often requires individuals to communicate and liaise with senior individuals.
- Must be detail oriented and able to produce high standards of work under pressure with a desire to become subject matter expert.
- Operations experience within the Financial Services industry is preferable.
- Due to tight reporting deadlines, candidates must be prepared to sometimes work outside normal business hours or on public holidays to meet obligations.
This job was originally posted as www.totaljobs.com/job/76052450