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About the Role

The Control Room and Disclosure of Interests (DOI) Team reviews research reports, investment banking transactions, and global positions of securities from a compliance and operational risk perspective. This role helps the firm operate responsibly by anticipating risks and solving real-world challenges.

Responsibilities

• Coordinate with global and regional Compliance teams on rules, regulations, and strategic initiatives for the Control Room and Disclosure of Interests.
• Interact with Banking, Sales and Trading, and Asset Management teams to ensure the Firm’s Information Barriers are properly maintained.
• Monitor, aggregate, and report global positions in Japan and Asia Pacific securities according to jurisdictional reporting requirements.
• Review Research publications to ensure compliance with legal and regulatory obligations.
• Provide training to various stakeholders related to the Control Room and DOI, including training on relevant policies and procedures.

Requirements

• Compliance or controls related experience.
• Prior Control Room, DOI, Research Compliance, or Investment Banking Compliance is a plus.
• Strong communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff.
• Excellent analytical and problem-solving skills.
• Motivated and proactive with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments.
• Highly organized, detail-oriented, and energetic individual with the ability to manage complex tasks simultaneously in a deadline-intensive environment.

Skills

• Japanese and English language abilities

Location

• Tokyo

Work Type

• Full-time

Experience Level

• Mid-level

About the Company

• 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 professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing.
• Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs.
• Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation, and control.

Equal Opportunity

• 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.