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Head of Disclosure of Interests (DOI) - EMEA Organisation JPMorgan Chase is a leading global financial services firm with operations in more than 50 countries. The firm is an established leader in investment banking, financial services for consumers and businesses, financial transaction processing, asset and wealth management, and private equity. The Investment Bank Compliance Department supports JPMorgan Chase's investment banking and treasury services operations. The department is responsible for:
- interpreting applicable rules and regulations;
- advising management in the development of policies and procedures;
- providing training to employees;
- reviewing and monitoring of business activities;
- liaising with regulators.
Role The Disclosure of Interest (DOI) teams in various regions ensure that JP Morgan Chase Co (the group) complies with all DOI obligations globally. The teams work closely with Control Rooms, Markets Compliance Teams, TSS Compliance as well as Investment Management and Wealth Management Compliance Departments across regions. The role of a DOI team member includes: (i) monitoring daily positions/trades and submitting necessary disclosures to issuers and/or regulators in accordance with major shareholding, sensitive industries, short selling and takeover reporting requirements, ; (ii) responding promptly to enquiries from regulators, issuers and the lines of business; (iii) building a network of contacts across the lines of business and Compliance; (iv) involvement in the implementation of system and procedural changes in response to new regulations; and (v) contributing to the specification and testing of changes to the monitoring system. Team members are supervised by their DOI team leaders across the region. An important part of the team's responsibilities includes keeping informed of the latest regulatory developments. Current items being discussed include the disclosure of short positions and the inclusion of cash settled derivatives in major shareholding disclosures. In addition, the teams provide substantial input with respect to upgrading the DOI monitoring and reporting system, data quality and related LOB systems. A significant programme of IT development designed to enhance the monitoring tool, is scheduled for 2013 and beyond. The EMEA Head of DOI will be responsible for overseeing and coordinating the DOI team in EMEA. This includes implementing and supervising daily procedures and controls, staying apprised of relevant regulatory developments and designing monitoring/disclosure practices in response. The EMEA Head of DOI will be the primary point of contact in the region and will liaise closely with the Global Head of DOI as well as regional counterparts. The role will also involve working closely with Technology Operations and sponsoring system development.