Compliance Officer - Securities Services - Fixed Term Contractor (9 Months)

Last updated an hour ago
Location:Sydney
Job Type:Full Time

J.P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With $26 trillion of assets under custody and $485 billion in deposits, the Corporate & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world. Further information about J.P. Morgan is available at www.jpmorgan.com.


The Securities Services Australia & New Zealand business provides a full suite of products to institutional clients, including Global and Direct Custody & Clearing, Fund Accounting and Administrative Services, Middle Office and related Trading Services.

To ensure ongoing support of the current and expanding Securities Services business strategy in Australia & New Zealand, the Compliance team is seeking a highly motivated and experienced Compliance Officer to join the Securities Services compliance advisory team. The team is responsible for providing real-time advice and support on regulatory matters pertaining to the Securities Services business. As this is an advisory role, the work is varied and time critical. You will liaise closely with Business Management, Legal and Risk as well as colleagues located in other regions, primarily HK, London & New York. You will also have the opportunity for some broader country franchise and regional project involvement.

Your key responsibilities will include:

  • Providing compliance and regulatory advice, including advising on existing and new Australian and New Zealand banking and securities laws and regulations
  • Evaluating compliance with relevant regulations, identifying issues and assessing the impact of regulatory change
  • Reviewing new business initiatives, operational procedures and major operational and systems changes from a regulatory perspective
  • Supporting the Securities Services compliance programme including participating in regulatory risk assessments, providing input of policies, performing training and designing and executing compliance desk reviews
  • Interacting with regulators including handling of regulatory enquiries, exams and investigations (ASIC/APRA), industry regulatory group interactions (ACSA/ASLA) and clients on due diligence matters.
  • Preparing management and governance reports as required as well as presenting Compliance training and assist with Privacy Law related questions for the Australia/New Zealand franchises

To be successful, you will need:

  • Tertiary qualification in Law, Commerce or a related discipline preferred along with a minimum of five years’ compliance/regulatory (or legal or risk management experience gained within a financial institution or regulator
  • Experience of Custody and Fund Services or other relevant wholesale financial services products
  • Knowledge or experience of Corporations Act, Banking Act and APRA Prudential Standards and their practical application in operational process or product features
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with business partners and work cohesively in a team environment
  • Strong analytical, problem-solving and organizational skills and the ability to manage several simultaneous projects
  • Excellent business judgment and strategic thinking ability