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Tailor your resume to this Chase Germany Compliance Officer (focus WpHG) – Vice President (all genders) role.

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About the Role

As a Compliance Officer, Vice President at JPMorganChase within the Germany Compliance team in Berlin, you will provide independent second line of defense compliance coverage for retail investment activities, with a focus on investor protection requirements under the German Securities Trading Act (Wertpapierhandelsgesetz) and the Markets in Financial Instruments Directive (MiFID II). You will also act as a broader compliance advisor across applicable German and European regulatory expectations, partnering across teams to drive strong customer outcomes and sustainable controls.

Responsibilities

• Provide timely, risk-based compliance advice and credible, constructive challenge for retail investment products, services, customer journeys, and operational processes
• Act as a subject matter expert on German and European investor protection requirements, including the German Securities Trading Act (Wertpapierhandelsgesetz) and MiFID II
• Interpret regulatory obligations and support translation into clear, practical, and sustainable processes and controls
• Advise on requirements relating to suitability and appropriateness, client disclosures, costs and charges, inducements, conflicts of interest, product governance, recordkeeping, and customer communications
• Review new products, material changes, and business initiatives to identify compliance risks and assess whether regulatory requirements have been addressed appropriately
• Participate in new business initiatives and change-governance processes, providing documented compliance advice, conditions, and challenge
• Support the business in evaluating complex regulatory questions and developing compliant, proportionate solutions focused on positive customer outcomes
• Provide broader retail investments compliance support beyond investor protection topics, including governance and policy implementation, regulatory change, market conduct topics (including the Market Abuse Regulation), and communications oversight

Requirements

• Experience providing compliance coverage and advisory support for retail investment activities and related operational processes
• Working knowledge of German and European investor protection expectations applicable to retail investments, including MiFID II
• Ability to interpret regulatory requirements and translate them into practical processes and control expectations
• Experience advising on customer-facing topics such as disclosures, communications, conflicts of interest, product governance, and recordkeeping
• Experience reviewing new products or material changes, identifying compliance risks, and providing clear, documented feedback
• Strong stakeholder management skills and ability to partner effectively across Product, Operations, Legal, Risk, Control Management, and Technology
• Ability to apply risk-based judgment, prioritize effectively, and deliver timely guidance in a complex, fast-moving environment
• Strong written and verbal communication skills, with the ability to provide credible and constructive challenge at senior levels

Skills

• German Securities Trading Act (WpHG) compliance
• Regulatory examinations
• Supervisory inquiries
• Interactions with the German Federal Financial Supervisory Authority (BaFin)
• Regulatory expectations for digital or self-directed retail investment platforms
• Market Abuse Regulation
• Surveillance
• Escalation
• Reporting expectations
• Generalist compliance advisory
• Regulatory change programs
• Remediation initiatives
• New market-entry projects
• New product approval processes

Location

• Berlin

Work Type

• Full-time

Experience Level

• Vice President

Education Level

• Relevant legal, compliance, risk, or financial services qualification

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 corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

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.