Posted on 2022-08-03

CIB Markets Legal and Regulatory Change Management - Vice President

JPMorgan Chase Bank, N.A.

This position is for a Vice President to join the APAC Markets Legal and Regulatory Change Management (LRCM) function. It is part of a global department covering all Sales, Trading & Research businesses and sits within the Markets Business Controls Management department in the 1st Line of Defense (1LOD).

The Markets LRCM function is responsible for mitigating the operational risk associated with regulatory change, by applying a rigorous and consistent process to the end-to-end management of change. This end-to-end view includes horizon scanning, capture, impact assessment and finally overseeing the implementation of business changes necessary to demonstrate adherence.

The incumbent will be joining a critical function in the Markets Business Control Management department. Key activities and competencies to succeed in the role include:
  • Business and control mindset - Determining potential impacts of regulatory changes and proposing courses of action to ensure compliance, including changes to existing Markets Front Office processes and controls.
  • Stakeholder engagement - Partnering with business representatives, Legal Compliance and other stakeholders to facilitate effective and comprehensive implementation of necessary changes
  • Sensitive to risk and control - Ensuring business documentation is updated to reflect adherence and mitigate associated operational or regulatory risks.
  • Agile and open to change - Be open to challenges that may arise from operating in a highly dynamic environment, such as internal business model changes, regulatory landscape changes, market horizon changes etc.
  • Process reengineering - Identify and implement improvements to the existing LRCM process
  • Be a subject matter expert - Providing knowledge and advice in their country coverage portfolio, including local business activities, applicability of rules and regulations, the local legal and regulatory framework, and connectivity to local Regulatory Change Forums.

The LRCM function is closely linked to the Global Office of Legal Obligations Programme (OLO), which has implemented a process that documents JPMC's obligations arising from material laws and regulatory requirements, and maps these to policies and procedures which support compliance with those requirements. The successful candidate may also be required to support OLO as necessary.

The role reports to the APAC Markets LRCM Lead, based in Hong Kong.

  • Minimum 10 years of working experience in business controls, operational risk, business management, compliance, legal, audit or similar function in financial markets with coverage of Markets Sales / Trading businesses
  • Previous experience in Markets products and businesses would be beneficial.
  • Experience in business controls, operational risk, business management, Compliance, Legal, Audit or similar function with coverage of Markets Sales / Trading businesses
  • Basic knowledge of the APAC regulatory landscape including key regulators and regulations.
  • Comfortable with and adept at reading and interpreting legal and regulatory texts as a layperson (note: formal legal qualifications are not required)
  • Strong personal and organisational management skills, ability to work under pressure and handle high volume of throughput without compromising quality
  • Strong business analytical skills to enable efficient, accurate and objective decision making
  • Good project management skills and ability to instill structure, process and accountability to meet delivery targets whilst maintaining quality standards
  • Detail oriented, with a disciplined approach to process and quality control
  • Strong written and verbal communication skills.
  • Bachelor's degree or equivalent in Finance, Economics or other related discipline

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. 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. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

Medical authorities agree that being vaccinated is the best way to protect yourself, loved ones, colleagues and communities from COVID-19. To protect the health and safety of our employees, in line with the Hong Kong Monetary Authority and Securities and Futures Commission guidance, only vaccinated employees are able to enter our offices. In light of this, in order for the successful candidate to be able to enter the office, they must be either fully vaccinated against COVID-19 (as defined by the Hong Kong Department of Health at the time of commencing employment) or be certified by a medical practitioner as being medically ineligible to be fully vaccinated.

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More job information
Job Function
Employment Term
  • Permanent
  • Full-time
  • 10 years - 15 years
Career Level
  • Senior management level
  • Degree