Compliance Officer, Vice President - CIB Canada Markets

Job Description

This role reports to the Chief Compliance Officer for the Canadian business of JPMorgan and carries primary responsibility for regulatory compliance coverage of broker-dealer activities. The successful candidate will demonstrate strong working knowledge of Canadian securities laws, CIRO rules, and TSX and Montreal Exchange requirements, together with the application of privacy laws and AML requirements across Canadian investment dealer activities — including equities sales and trading, research, futures & options execution and clearing, and derivatives. The position demands superior organizational skills, the ability to multi-task, and the ability to manage competing priorities in an effective and timely manner, with independent front-end involvement with business management, controls, and senior counterparts across Compliance, Audit, Legal, and Risk Management, as well as external counsel, other advisors, and regulatory agencies.

Duties and Responsibilities

The Compliance Officer is responsible for providing day-to-day compliance support for the business activities of the Canadian dealer — including equities sales and trading, research, futures & options execution and clearing, capital markets activities, and prime brokerage — on both a domestic and cross-border basis, ensuring the firm complies with all applicable rules, regulations, and statutory and internal requirements.

The role also provides expert advice on regulatory and compliance matters relating to the Canadian dealer, participates in the review and approval of operating policies, procedures, and products to ensure regulatory issues are adequately addressed, and integrates compliance requirements into line-of-business policies, procedures, controls, and training. The incumbent participates in and/or manages compliance and line-of-business projects as assigned and provides timely reporting on significant control and compliance issues to management.

Specific responsibilities include:

• Provide regulatory compliance coverage of local Equities sales and trading, Equity/Debt Capital Markets, futures & options execution and clearing, derivatives, and prime brokerage.
• Liaise with Core Compliance teams regarding Canadian-specific requirements, rules, regulations, business conduct, and metrics reporting as they relate to Markets lines of business.
• Manage the firm's Canadian Electronic Trading compliance requirements.
• Develop Canadian training programs across relevant lines of business to satisfy Canadian securities regulator expectations.
• Advise on Pre-Clearance / Anti-Corruption / Code of Conduct matters.
• Liaise with the Canada Control Officer and individual business-line Control Officers on domestic and cross-border Markets activity.
• Manage regulatory requests, audits, surveys, inquiries, and reviews, including drafting responses as required.
• Coordinate complaint reporting requirements, both internally and externally.
• Maintain and update applicable Canadian Compliance policies, manuals, and procedures, and contribute Canadian content to North American and global policies.
• Advise on regulatory compliance matters arising from new regulations, organizational developments, and new products, services, and initiatives, in coordination with AML and Risk Assessment colleagues.
• Participate in applicable Compliance and Control forums and committees.
• Support new business initiatives for Canada Markets lines of business.
• Participate in industry working groups and forums.

Experience and Competencies

Education and Qualifications

• Bachelor's degree required; compliance and/or legal qualifications or comparable work experience also required.
• Canadian Securities Course and other investment industry qualifications considered an asset.

Experience

• Minimum of 7 years of relevant investment industry compliance or legal experience.

Technical Knowledge

• Solid investment industry compliance background with technical knowledge of capital markets, securities laws, and regulations.
• Familiarity with Canadian AML and privacy laws considered an asset.

Soft Skills and Competencies

• Highly motivated, independent professional capable of operating with minimal supervision.
• Excellent interpersonal, communication, resource management, organizational, and decision-making skills.

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.