Institutional Compliance Officer

3 weeks ago

Toronto, Canada JPMorgan Chase Bank, N.A. Full time

Compliance Officer with knowledge and experience relating to domestic and authorized foreign derivatives activities in Canada. Demonstrates compliance knowledge relating to Canadian OTC and F&O derivatives laws, regulations and rules. The position requires superior organizational skills, the ability to multi-task and the ability to manage competing priorities in a timely manner.

**Duties and Responsibilities**

Responsible for providing day-to-day compliance support for the business activities of JPMorgan entities operating in the derivatives markets in Canada, on both a domestic and cross-border basis, as well as ensuring that the firm and its affiliates comply with all applicable legislation, regulations, rules and internal requirements. Provide support for the firm's Compliance, Conduct and Operational Risk Framework in Canada.

Specific responsibilities include:

- Overseeing 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).
- 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.
- Support the Compliance Department and Chief Compliance Officer in Canada on the implementation of the firmwide Compliance, Conduct and Operational Risk Framework, which establishes independent governance and oversight of lines of business and control functions, including governance, risk assessments, monitoring and testing, issue management and reporting.
- Collaborate with Compliance and other control functions across multiple lines of business and regions.
- Participate in the firm's Canadian and regional governance and control forums and committees.
- Assist in the management of regulatory inquiries, exams, and audits.

**Experience and Competencies -**
- Knowledge and experience of Canadian laws and regulations applicable to derivatives markets, specifically OTC derivatives and F&O, is required.
- Highly motivated, independent, and experienced professional with solid regulatory compliance background.
- Project management skills and experience.
- Bachelors' degree, legal qualifications or comparable work experience required.
- A minimum of 5 or more years of relevant compliance, risk, controls or legal experience.
- Must demonstrate excellent interpersonal, communication, resource management, organizational and decision-making skills.
- Based in Toronto or New York.

JPMorgan Chase & Co., 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. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

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