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The EMEA Wealth Management Compliance coverage strategy requires:
Product expertise, the in-depth knowledge of a full range of products, including the development, marketing, launch and retirement of UCITS vehicles and segregated managed accounts; and
Core expertise, the in-depth knowledge and application of firm policy and regulatory requirements across multiple product, service and jurisdictions. Examples include product governance, suitability, marketing and financial promotions and fund governance.
The successful candidate will report directly to the EMEA Head of Investments Compliance and will be a key member of a small but highly regarded team. The individual will provide general support to the Private Bank businesses in EMEA excluding Switzerland conducted in the region and will focus on support for the development, launch and marketing of JPMorgan and third party strategies and fund products. The individual will:
Assess and analyse Compliance and Regulatory issues in respect of proposed new products and services and procedures with specific reference to JPMorgan and third party strategies and fund products;
Assist business management in the development of policies and procedures designed to achieve and ensure compliance with firm and regulatory requirements;
Provide clear advice on the application of UK and EU rules and firm policy;
Provide input into the Compliance Risk Assessment, Testing, Monitoring and Surveillance processes;
Work with global and regional compliance management;
Identify and investigate potential rule and policy breaches, conduct investigations, coordinating corrective action with other control functions as necessary/required; and
Keep abreast of industry trends and anticipate areas of focus and attention of regulators, keeping business management and Compliance colleagues informed.
Qualifications and Skills
Educated preferably to Degree Level, possibly with appropriate accounting or legal qualification/background
Significant experience working in a similar role
Good working knowledge of FCA Handbook, EU regulations and US securities laws
Excellent working knowledge of Private Banking investment products and, in particular, mutual funds and UCITS vehicles
Previous work experience in Investment Banking, Private Banking or Asset Management
Ability to work in a fast-paced, dynamic and demanding environment.
Attention to detail and control/quality awareness
Good communication skills especially the ability to articulate complex issues to a range of audiences, including business management, other Legal and Compliance colleagues, Audit and regulatory authorities