Compliance Officer, Vice President – CIB Canada Markets
Employer not yet confirmed · Toronto, ON, Canada
Job Description
This role reports to the Chief Compliance Officer for the Canadian business of JPMorgan and carries primary responsibility for regulatory compliance coverage of broker-dealer activities, including equities sales and trading, research, futures & options execution and clearing, capital markets activities, and prime brokerage, on both a domestic and cross-border basis. The role requires strong working knowledge of Canadian securities laws, CIRO rules, and TSX and Montreal Exchange requirements, together with the application of privacy laws and AML requirements across Canadian investment dealer activities. The position involves independent front-end engagement with business management, controls, and senior counterparts across Compliance, Audit, Legal, and Risk Management, as well as external counsel, other advisors, and regulatory agencies.
Job Responsibilities
Business Coverage
- You will provide regulatory compliance coverage of local equities sales and trading, equity/debt capital markets, futures & options execution and clearing, derivatives, and prime brokerage.
- You will manage the firm's Canadian Electronic Trading compliance requirements.
- You will support new business initiatives for Canada Markets lines of business.
Regulatory and Advisory
- You will advise on regulatory compliance matters arising from new regulations, organizational developments, and new products, services, and initiatives, in coordination with AML and Risk Assessment colleagues.
- You will advise on Pre-Clearance / Anti-Corruption / Code of Conduct matters.
- You will manage regulatory requests, audits, surveys, inquiries, and reviews, including drafting responses as required.
Policy, Training and Coordination
- You will develop Canadian training programs across relevant lines of business to satisfy Canadian securities regulator expectations.
- You will maintain and update applicable Canadian Compliance policies, manuals, and procedures, contribute Canadian content to North American and global policies, liaise with the Canada Control Officer and business-line Control Officers, coordinate complaint reporting requirements, and participate in applicable Compliance and Control forums, committees, and industry working groups.
Required Qualifications, Capabilities and Skills.
- Bachelor's degree required; compliance and/or legal qualifications or comparable work experience also required.
- Minimum of 7 years of relevant investment industry compliance or legal experience.
- Solid investment industry compliance background with technical knowledge of capital markets, securities laws, and regulations.
- Highly motivated, independent professional capable of operating with minimal supervision.
- Excellent interpersonal, communication, resource management, organizational, and decision-making skills.
Preferred Qualifications, Capabilities and Skills.
- Canadian Securities Course and other investment industry qualifications considered an asset.
- Familiarity with Canadian AML and privacy laws considered an asset.