Institutional Compliance Officer Vice President - Canada Derivatives (210386328)

Job Description

As a Compliance Officer Vice President within Operational Risk Management and Compliance, you will provide day-to-day compliance support for JPMorgan Chase entities operating in the derivatives markets in Canada, on both a domestic and cross-border basis. You will apply your knowledge of Canadian OTC and F&O derivatives laws, regulations, and rules to ensure the firm and its affiliates comply with all applicable legislation, regulations, and internal requirements, while supporting the firm's Compliance, Conduct and Operational Risk Framework in Canada. Based in Toronto, the role requires superior organizational skills and the ability to manage competing priorities.

Job Responsibilities

Business Oversight & Regulatory Engagement

• You will oversee Canadian activities of front office sales and trading personnel with respect to trading and clearing of OTC and listed derivatives, including compliance with requirements of provincial securities authorities and self-regulatory organizations (e.g., OSC, AMF, IIROC, MX, CDCC).
• You will work with internal and external industry groups on the regulatory development of derivatives rules by Canadian provincial securities authorities, including commenting and advising on proposed and final rules.
• You will assist in the management of regulatory inquiries, exams, and audits.

Compliance Framework & Governance

• You will support the Compliance Department and Chief Compliance Officer in Canada on implementation of the firmwide Compliance, Conduct and Operational Risk Framework, including governance, risk assessments, monitoring and testing, issue management, and reporting.
• You will participate in the firm's Canadian and regional governance and control forums and committees.

Cross-Functional Collaboration

• You will collaborate with Compliance and other control functions across multiple lines of business and regions.

Required Qualifications, Capabilities and Skills.

• Knowledge and experience of Canadian laws and regulations applicable to derivatives markets, specifically OTC derivatives and F&O.
• A minimum of 5 or more years of relevant compliance, risk, controls, or legal experience.
• Bachelor's degree, legal qualifications, or comparable work experience.
• Highly motivated, independent professional with a solid regulatory compliance background.
• Project management skills and experience.
• Excellent interpersonal, communication, resource management, organizational, and decision-making skills.
• Based in Toronto.

 

About Us

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

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. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our  FAQs for more information about requesting an accommodation.

About the Team

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.