Head of Compliance Morgan Bank Se Luxembourg
il y a 2 semaines
The Head of Compliance role is responsible for compliance oversight of all the Lines of Business (LOBs) operated by the branch in-country.
J.P.Morgan SE (JPMSE) Luxembourg Branch is a material branch forming part of one of the largest banking groups in Europe.
There are four LOBs booked in Luxembourg, namely Securities Services (largest hub in the EU), Private Banking (largest booking platform for EMEA), Payments and Commercial Banking.
The individual is to be resident in Luxembourg and will report to the Chief Compliance Officer for JPMSE.The branch compliance coverage strategy focuses on a three tiered coverage model comprising of:
Country expertise, the in-depth knowledge of the local regulatory environment, regulatory structures, local regulatory and market contacts, local market practices, industry groups, culture, language, etc.
Product and Line of Business expertise, the in-depth knowledge of a specific product/service, its structure, purpose, target clients, risks, deal/trade/process flow and settlement, exchanges, etc.
The individual is expected to execute the local compliance strategy through the management of the branch compliance function to best position it relative to the requirements, opportunities and threats of the firm's internal and external operating environment.
They will actively participate in relevant local governance and management for a as an effective challenge to the First Line of Defence on substantive regulatory matters and maintenance of the firm's culture and conduct standards within the Compliance function.
Responsibilities:
- Discharge the role of Branch Compliance Officer in line with corporate and regulatory requirements and manage, in partnership with relevant stakeholders, the provision of adequate resources to support compliance with corporate and regulatory requirements as well as continually reviewing the resources necessary to execute the compliance programme
- Lead and develop the Luxembourg Compliance team
- Manage compliance oversight of the activities of the branch both incountry, and in coordination with the JPMSE CCO and other branches to ensure consistent standards and support compliance with NCA and ECB requirements across the legal entity;
- Manage the regulatory relationships with the relevant incountry NCAs and ECB, and share management of other relevant regulatory relationships, in line with the firmwide regulatory management standards and protocols;
- Conduct regular reviews to monitor and verify policies and procedures conform with the latest regulations, specifically ensuring the Compliance manuals for the branch's activities are kept up to date;
- Support the branch implementation of the Financial Crime Compliance framework, through the branch MLRO, by way of establishing policies, monitoring risks and breaches and reporting suspicious activities to the relevant authorities;
- Periodically perform compliance and AML risk assessments (supporting the branch MLRO) to review the nature and scale of activities conducted within the branch;
- Represent Compliance in relevant local governance and management fora on Compliance priorities and issues;
- Oversight of outsourced services supporting the branch's Compliance activities to ensure they are performed and monitored in line with applicable local laws and regulations.
In addition to the Head of Compliance JPMSE Luxembourg Branch role, the individual will assume these three functional responsibilities for JPMSE and its branches and lead, oversee and manage as the following:
(1) JPMSE Private Bank Compliance Lead, (2) JPMSE Technology and Cyber Compliance Lead and (3)
JPMSE Prudential Compliance Lead- Oversee the JPMSE PB and Technology Compliance and Conduct Risk Management Framework including management of the JPMSE PB Compliance and Technology Compliance teams and oversight of the related JPMSE Compliance Monitoring and Testing programme, opining on issues raised including the severity rating.
- Provide Prudential Compliance oversight through constructive challenge relating to regulatory change identification and implementation in JPMSE as well as oversee the Prudential Compliance Monitoring and Testing programme, opining on issues raised including the severity rating.
Required qualifications, capabilities and skills
- Strong technical background and experience in a Compliance, Legal, Risk or Management environment, focusing on detailed regulatory and control requirements and their practical implementation;
- Highly developed executive leadership strengths, with the capability and willingness to lead by high example, and ensure appropriate discipline around management of risks, issues, budget, resourcing and people management;
- Good knowledge of key financial services regulations and the ability to swiftly research, interpret and assimilate information on areas of financial services regulation which may be less familiar to the firm;
- Strong team player willing
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