Job ref no.: CT3131930-01#0115

Compliance Conduct Operational Risk - Fixed Income Markets- Associate

JPMorgan Chase Bank, N.A.

Our Compliance Department

With a diverse department of Compliance professionals supporting all lines of our business around the globe, the department is working diligently to present all business partners with innovative, thoughtful and tailored solutions to the challenges they face. The Compliance function has a strong culture which is focused on delivering first class support to the business while providing a credible challenge where necessary. It seeks to promote best practice, foster employee development and deliver the goals of the Firm wide Risk organisation.

Markets Compliance Team

The Markets Compliance team is responsible for setting policies, providing training and real-time interpretation of financial regulations to the APAC Markets businesses. The team forms part of the APAC Compliance Department which covers JPMorgan's Corporate and Investment Banking, Security Services, Asset Management and Private Banking businesses in the region.

Role Description

The team is recruiting for an Associate level position to join the Markets Compliance team, providing primary line of Business relationship management and regulatory support to the respective Sales and Trading functions of the APAC Currencies and Emerging Markets (CEM) Group.

The APAC CEM business is primarily located in Singapore and Hong Kong with significant presence in various countries including China, Korea, India, Taiwan, Indonesia and Malaysia. As the individual who takes on this role, you will assist us in managing the compliance risk associated with operating the Currencies & Emerging Markets (CEM) business in Asia, working closely with other functional partners and Compliance Officers across the region whilst coordinating globally. Your role is to provide compliance coverage to the CEM North Asia business with particular focus to its Northbound China business to ensure all the related country and global compliance requirement are adhered to, on the areas of cross border RMB business etc.

As a Markets Advisory Compliance Officer, you will be responsible for:

  • Assessing the impact of new financial regulations and developing appropriate Compliance policies and procedures, and keeping them up to date;
  • Accessing regulatory and compliance risks inherent in existing and new product and business activities;
  • Providing robust credible challenge to senior management and all relevant business stakeholders;
  • Providing timely regulatory compliance advice, real-time interpretation of internal Compliance policies and procedures in response to ad hoc enquiries from the business;
  • Coordinating and liaising with other compliance groups as well as control functions to initiate, and deliver control process enhancements where required;
  • Investigating and resolving escalation alerts from Compliance Surveillance and self-escalations from the business;
  • Designing and performing risk based Compliance monitoring tests;
  • Preparing and conducting Compliance training materials in Hong Kong and across Asia;
  • Representing APAC businesses in regional and global Compliance working groups to communicate APAC issues as well as stay abreast of Global Compliance Program; and
  • Coordination and liaison with APAC countries and corporate compliance groups as well as other corporate control functions such as business management, controls, audit, tax and finance as required.


  • The successful candidate should be familiar with FICC market structures, products (specifically FX and Rates products) and the applicable US and APAC laws and regulations.
  • Minimum 5+ years of experience within a financial institution in the Asia Pacific Region with coverage in relevant fixed income products;
  • Familiar with sales and trading compliance risks, such as management of conflicts of interest, prohibition of market manipulation and insider dealing, mis-selling;
  • The successful candidate will be expected to manage relationships with the businesses at all levels, including senior management. They must be able to think "on their feet", provide 'live' regulatory interpretation and decisions to the business, often in high profile and/or time constrained situations;
  • Able to work independently, and having sufficient experience to know when to escalate an issue is essential. Being proactive, able to think critically about the information presented to them, comfortable with subjective situations, and ready to ask appropriate questions and effectively challenge where needed;
  • The successful candidate must be a good team player and will be expected to provide cross coverage of the other areas covered by North Asia FICC Compliance;
  • Knowledge of China and Hong Kong banking regulations, including CBRC, PBOC, CSRC, SAFE and HKMA laws and regulations would be an added advantage;
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business leaders;
  • Strong analytical, problem-solving and organizational skills, as well as the ability to manage several multiple projects simultaneously;
  • Proven ability to communicate effectively in English at all levels, both orally and in writing; preferably fluent in Mandarin;
  • Strong sense of ownership and responsibility;
  • Ability to multi-task, prioritise and project manage complex issues; and
  • Inquisitive with an excellent keen eye for to detail.


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.

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More job information
Job ref no. CT3131930-01#0115
Job Function
Employment Term
  • Permanent
  • Full-time
  • 5 years - 10 years
Career Level
  • Non-management level
  • Degree