Join our European hub and help build innovative investment products and services, supported by the scale and expertise of a leading global financial services firm. This is an opportunity to shape a growing business while helping to protect customers, strengthen controls, and enable sustainable, risk-balanced growth.
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.
Your coverage will include retail investment products, services, customer journeys, and supporting operational processes, with regular engagement across senior stakeholders and governance forums. You will collaborate closely with partners including Product, Operations, Legal, Risk, Control Management, Technology, and other Compliance teams.
Job responsibilities
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Provide timely, risk-based compliance advice and credible, constructive challenge for retail investment products, services, customer journeys, and operational processes
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Act as a subject matter expert on German and European investor protection requirements, including the German Securities Trading Act (Wertpapierhandelsgesetz) and MiFID II
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Interpret regulatory obligations and support translation into clear, practical, and sustainable processes and controls
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Advise on requirements relating to suitability and appropriateness, client disclosures, costs and charges, inducements, conflicts of interest, product governance, recordkeeping, and customer communications
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Review new products, material changes, and business initiatives to identify compliance risks and assess whether regulatory requirements have been addressed appropriately
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Participate in new business initiatives and change-governance processes, providing documented compliance advice, conditions, and challenge
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Support the business in evaluating complex regulatory questions and developing compliant, proportionate solutions focused on positive customer outcomes
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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
Required qualifications, capabilities and skills
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Experience providing compliance coverage and advisory support for retail investment activities and related operational processes
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Working knowledge of German and European investor protection expectations applicable to retail investments, including MiFID II
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Ability to interpret regulatory requirements and translate them into practical processes and control expectations
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Experience advising on customer-facing topics such as disclosures, communications, conflicts of interest, product governance, and recordkeeping
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Experience reviewing new products or material changes, identifying compliance risks, and providing clear, documented feedback
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Strong stakeholder management skills and ability to partner effectively across Product, Operations, Legal, Risk, Control Management, and Technology
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Ability to apply risk-based judgment, prioritize effectively, and deliver timely guidance in a complex, fast-moving environment
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Strong written and verbal communication skills, with the ability to provide credible and constructive challenge at senior levels
Preferred qualifications, capabilities and skills
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Experience working within, or closely supporting, a German Securities Trading Act (WpHG) compliance function
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Experience supporting regulatory examinations, supervisory inquiries, or interactions with the German Federal Financial Supervisory Authority (BaFin)
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Knowledge of regulatory expectations applicable to digital or self-directed retail investment platforms in Germany and Europe
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Familiarity with the Market Abuse Regulation, including surveillance, escalation, and reporting expectations
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Experience operating as a generalist compliance advisor across multiple regulatory topics, stakeholders, and priorities
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Experience with regulatory change programs, remediation initiatives, or new market-entry projects, including new product approval processes
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Relevant legal, compliance, risk, or financial services qualification
#ICB
About UsJ.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 first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.Skills Required
- 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 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 across Product, Operations, Legal, Risk, Control Management, and Technology
- Ability to apply risk-based judgment, prioritize effectively, and deliver timely guidance in a complex environment
- Strong written and verbal communication skills, including credible and constructive challenge at senior levels
- Experience working within or closely supporting a German Securities Trading Act compliance function
- Experience supporting regulatory examinations, supervisory inquiries, or interactions with BaFin
- Knowledge of regulatory expectations for digital or self-directed retail investment platforms in Germany and Europe
- Familiarity with the Market Abuse Regulation, including surveillance, escalation, and reporting expectations
- Experience operating as a generalist compliance advisor across multiple regulatory topics and stakeholders
- Experience with regulatory change programs, remediation initiatives, new market-entry projects, or new product approval processes
- Relevant legal, compliance, risk, or financial services qualification
JPMorganChase Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about JPMorganChase and has not been reviewed or approved by JPMorganChase.
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Healthcare Strength — Medical, dental, vision, and mental-health coverage are broad, with wellness incentives, on-site or virtual care, and an EAP offering coaching and counseling. Plan materials emphasize accessible options, including multiple medical choices and tools to manage costs.
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Parental & Family Support — Paid parental leave extends up to 16 weeks for all parents, supplemented by paid Critical Caregiver Leave. Family resources include backup childcare via Bright Horizons, lactation support and milk-shipping, family-building assistance, and even a free five-month SNOO rental for newborns.
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Retirement Support — Retirement programs include a 401(k) with an annual company match and automatic pay credits for most employees, with a legacy pension available to earlier hires. An Employee Stock Purchase Plan at a 5% discount further supports long-term savings.
JPMorganChase Insights
What We Do
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $3.7 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small businesses, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world’s most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Technology fuels every aspect of our company and is at the heart of everything we do. With over 50,000 technologists globally and an annual tech spend of $12 billion, we are dedicated to improving the design, analytics, development, coding, testing and application programming that goes into creating high quality software and new products. Learn more about technology at our firm, explore resources from our Distinguished Engineers, AI & ML researchers, and other experts; access the latest episode of our TechTrends podcast, and more at www.jpmorgan.com/technology. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com. ©2023 JPMorgan Chase & Co. All rights reserved. JPMorgan Chase is an Equal Opportunity Employer, including Disability/Veterans.
Why Work With Us
Our technologists work on a diverse range of solutions that include strategic technology initiatives, big data, mobile, electronic payments, machine learning, cybersecurity, enterprise cloud development, and other state-of-the-art technologies.
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