Protecting market integrity starts with strong controls and clear guidance. You'll join a team that helps safeguard information barriers and supports responsible business activity. You'll build expertise at the intersection of investment banking and equity research while partnering with stakeholders across the region and globally. We'll support your growth through exposure to complex, time-sensitive matters and continuous learning. Your judgment and attention to detail will help reduce risk and strengthen trust.
As a Control Room Compliance Officer (Associate) within Compliance, Conduct and Operational Risk, you help maintain effective information barriers and manage conflicts and non-public information risk. You will support the review of investment banking transactions and equity research activity from a compliance and operational risk perspective. You'll advise stakeholders on permissible interactions and escalation paths, balancing responsiveness with sound risk judgment. You'll collaborate with global Control Room teams and regional partners to apply consistent processes and manage emerging risks. You'll work closely with Investment Banking, Equity Research, Sales and Trading, and Asset Management to support appropriate information flow and well-documented decisions. The team partners across regions to strengthen consistency, continuous improvement, and practical risk management. You'll contribute to training, procedure enhancements, and effective stakeholder engagement.
Job responsibilities
- Maintain and monitor the firm's information barriers / barrier crossings / flow of non-public information
- Pre-clearing permitted communication between Investment Banking and Equity Research
- Interact with the Banking, Sales and Trading, and Asset Management teams to ensure the Firm's Watch and Restricted lists are properly maintained
- Review Research publications to ensure compliance with legal and regulatory obligations
- Work proactively with other Control Room teams in the US and EMEA to create a cohesive global Control Room team operating model and applying consistent policies and procedures
- Participate in the conduct of internal and external enquiries and investigations as necessary
- Participate in policies and procedures updates, providing training to various business in specific areas of expertise
Required qualifications, capabilities, and skills
- Minimum 4 years of experience in Compliance, Risk, or related controls function
- Strong attention to detail with solid administrative skills and an analytical approach to problem solving
- Ability to meet tight deadlines and to make quick and reasoned decisions under pressure
- Strong interpersonal skills with a highly motivated and organised approach to work
- Ability to work effectively as a team player and operate under own initiative
- Awareness of regulatory and internal control requirements, particularly in relation to effective information barrier arrangements
ABOUT USJ.P. Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
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 TEAMOur 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.
