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Global Shares - Compliance Officer & MLRO (MFSA Approved)

JPMorgan Chase &

Posted on: 19 Mar 2024

Job Location: Malta, US

Job Description:

JOB DESCRIPTION The Global Shares Transaction was announced on March 15, 2022. Founded in 2005, Global Shares is a leading cloud-based provider of share plan management software. Global Shares employee ownership solutions cover the entire company lifecycle, and caters to corporates worldwide. As a Compliance Manager within Global Shares, you will perform the Registered Compliance Manager role with the Malta Financial Services Authority. You will provide regulatory advice and guidance to line of business around MIFID II, Clients Assets Regulation, Market Abuse Regulation for equities/shares broker /dealing and trading activities. You will have an opportunity to lead and participate in regional group committees and projects, and to hold the role of registered MLRO for the company. You will be be the Company's registered compliance officer and MLRO and will need to be pre-approved by the MFSA for the role. Job Responsibilities Advise on client asset framework and the safe keeping of assets; Manage and support responses to regulatory information requests and visits/ inspections; Support and Oversight of complaints review and reporting to the regulator and the board; Identify, support and manage breaches and incidents to include escalation and reporting to the appropriate forums/ the boards to evaluate materiality Support regulatory filing and reporting Support internal audit reviews actions closures and reporting to the board; Support the roll out of the Monitoring & Testing plan to include advising on market conduct/market abuse monitoring and best execution monitoring. Engage and work collaboratively with JP Morgan internal control functions to support to controls implementation and advise on adherence to policies, regulation and internal organisational rules/code of conducts; Track and monitor regulatory change, undertake horizon scanning and work with the in-house forums and legal team to support and implement regulatory change; Identify compliance risk, assess and support the risk management framework and committee in ensuring risks are appropriately managed. Receiving and evaluating in a timely manner any internal reports of transactions or activities giving rise to a possible suspicion of ML/FT, and submitting within the applicable timeframes Suspicious Transaction Reports to the FIAU whenever they believe that there are reasonable grounds to suspect, suspicions or knowledge of ML/T, even in the absence of any internal report. Required Qualifications, Capabilities and Skills Experience in Compliance / Risk in Financial Institutions at managerial level is a must. Experience in compliance testing, results analysis, identifying improvements or remedial actions and presenting findings to senior management Responsible leadership experience in management or supervisory positions. MIFID II Compliance experience required. Risk identification, assessment and management experience Experience working in a regulated environment Compliance, Legal, Financial Services, Stockbroking or other relevant qualification such as ICSA, ACOI, ICA (International Compliance Association), Institute of Banking. A collaborative and adaptable approach to work. Proactive and innovative with excellent interpersonal skills Strong interpersonal, communication, leadership, presentation and influencing skills. Ability to prioritize multiple tasks, work under pressure and meet tight deadlines. Preferred Qualifications, Capabilities and Skills Knowledge of MFSA rules and regulations desirable. Ability to summarize complex topics concisely and drive practical outcomes. Ability to make sound decisions, including escalation when appropriate. To work without supervision and act on own initiative to identify tasks to be undertaken. Ability to build strong working relationships with central and business aligned functions across the region and co-ordinate delivery across functions. ABOUT US J.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 TEAM J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.

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