JPMorganChase
Institutional Compliance Officer Vice President – Canada Derivatives
Job Description
You are a Compliance Officer Vice President within Operational Risk Management and Compliance, providing day-to-day compliance support for JPMorganChase entities operating in the derivatives markets in Canada on both a domestic and cross-border basis. Based in Toronto, you apply knowledge of Canadian OTC and F&O derivatives laws, regulations, and rules to help ensure the firm and its affiliates comply with applicable legislation, regulations, and internal requirements, while supporting the firm’s Compliance, Conduct and Operational Risk Framework in Canada. You partner across Compliance and control functions, support governance and controls activities, and help manage the compliance lifecycle through risk assessments, monitoring and testing, issue management, and reporting.
Job Responsibilities
Business Oversight & Regulatory Engagement
- You will oversee Canadian activities of front office sales and trading personnel related 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 engage with internal and external industry groups on the regulatory development of derivatives rules by Canadian provincial securities authorities, including commenting on and advising on proposed and final rules.
- You will assist in managing regulatory inquiries, exams, and audits.
Compliance Framework & Governance
- You will support the Compliance Department and Chief Compliance Officer in Canada in implementing the firmwide Compliance, Conduct and Operational Risk Framework, including governance, risk assessments, monitoring and testing, issue management, and reporting.
- You will participate in 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 to support consistent derivatives compliance coverage for Canada and cross-border activity.
Required Qualifications, Capabilities and Skills.
- Knowledge and experience of Canadian laws and regulations applicable to derivatives markets, specifically OTC derivatives and F&O.
- 5+ years of relevant compliance, risk, controls, or legal experience.
- Bachelor’s degree, legal qualifications, or comparable work experience.
- Highly motivated, independent professional with a regulatory compliance background.
- Project management skills and experience.
- Excellent interpersonal, communication, resource management, organizational, and decision-making skills.
- Based in Toronto.
JPMorganChase, 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. 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.
