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.
