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EMEA Head of Corporate & Investment Bank Equities and Credit Markets Compliance – Executive Director
senior · Audit & Accounting
Lead the EMEA Corporate & Investment Bank (CIB) Equities and Credit Markets Compliance function, providing primary line of business advisory and regulatory support to the Equities (Equity Derivatives and Cash Equities (including Prime and F&O)) and Credit businesses. This role is pivotal in setting policies, delivering training, and providing real-time regulatory interpretation to the sales and trading desks, ensuring robust compliance across all business activities and new initiatives. The team forms part of the EMEA Compliance Department which covers JPMorgan’s Corporate and Investment Banking, Security Services, Asset Management and Private Banking businesses in the region.
As an EMEA Head of CIB Equities and Credit Markets Compliance in the EMEA Compliance Team you will be responsible for the compliance strategy and execution across Equities and Credit within the Commercial & Investment Bank. The Equities and Credit businesses are leading global businesses that provide a wide range of services to corporate, institutional and government clients in EMEA. You will directly supervise the Equities and Credit teams as well as close liaison with other Markets Compliance team members and the wider CCOR department (Control Room, Surveillance, Testing), ensuring seamless coverage and escalation of compliance risks. The remit includes direct engagement with senior business leaders, front-office personnel, and cross-product initiatives.
Job Responsibilities:
- Lead, manage, and develop the Equities and Credit Compliance teams, ensuring clear accountability, technical excellence, and a proactive culture of challenge and escalation. Set strategic objectives for each team aligned to CCOR objectives and the risk profile of Equities (including derivatives and cash) and Credit and ensure robust succession planning and talent development.
- Provide EMEA-wide coverage, supporting country compliance officers on Markets queries and partnering with them to deliver consistent, coordinated regional coverage. Partner with Markets compliance teams in other regions to preserve and execute a consistent global operating model.
- Set and maintaining internal compliance policies and procedures tailored to the unique risks of the coverage areas.
- Regularly assess team structure, resource allocation, and skills mix to ensure optimal coverage of all business lines and emerging risks and drive continuous improvement in team performance and control effectiveness.
- Assess the impact of new financial regulations (e.g., MiFID II, MAR, EMIR, Dodd-Frank) and ensure timely updates to compliance frameworks, with a focus on market abuse, insider dealing, mandatory trading and clearing of derivatives, and fair client treatment.
- Provide real-time interpretation of compliance policies and procedures, supporting front and middle office in high-profile, time-constrained trading situations.
- Deliver critical input to new product and business initiatives, regulatory changes, monitoring, and surveillance escalations, ensuring controls are fit-for-purpose and responsive to evolving market practices.
- Investigate and resolve escalation alerts from Compliance Surveillance and self-escalations from sales and trading desks, proactively identifying gaps and vulnerabilities in desk practices.
- Represent compliance in regional and global working groups, collaborating with CCOR and other control functions to ensure comprehensive coverage and escalation of regulatory risks.
- Provide cross-coverage and support for other areas within Markets Compliance as needed, ensuring a unified approach to risk management and regulatory engagement and coverage of cross-Markets programs as needed.
- Maintain vigilance on emerging risks and adapt compliance frameworks accordingly; Proactively address identified issues and gaps.
Required Qualifications, Capabilities, and Skills:
- Extensive experience in Markets Compliance, with deep subject matter expertise in Markets topics, ideally Equities (derivatives and cash) and Credit.
- Ability to manage relationships with the businesses at all levels, including senior management.
- Proven track record of managing relationships with trading businesses at all levels, including senior management, and providing critical, actionable compliance advice.
- Strong knowledge of UK, EU, and US regulations relevant to Equities and Credit Trading, including MiFID II, MAR, EMIR, Dodd-Frank, and local equivalents.
- Ability to work independently, escalate issues appropriately, and provide live regulatory interpretation and decisions in high-pressure trading environments.
- Proactive, critical thinker, comfortable with subjective situations, and ready to challenge senior management where needed.