Posted on 2021-10-08

Compliance Conduct Operational Risk - Regulatory Compliance - Associate

JPMorgan Chase Bank, N.A.

Hong Kong Compliance

The Hong Kong Compliance ensures the development and maintenance of a strong compliance culture in Hong Kong by developing and maintaining program infrastructure that identifies measures and monitors compliance with applicable laws, regulations and rules that govern our business. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance control environment. Hong Kong Compliance handles and provides regulatory advices, monitors compliance with applicable local regulatory requirements and manages relationships with regulators in Hong Kong.


Depending on the background and preference of the successful candidate, he/she will join one of the following teams:

  • Advisory team over securities regulations; or
  • Advisory team over technology related area from regulatory perspective.

Both teams report to the Head of Hong Kong Compliance and they share similar responsibilities, though they have different expertise and focus areas. The key responsibilities include:

  • Handle regulatory requests, inquiries, self-reporting incidents and investigations.
  • Provide regulatory advice and compliance support and impact analysis for any ad hoc requests, inquiries, market consultation and new business initiatives/projects.
  • Assist in regular and ad-hoc regulatory exams, requests, surveys, inquiries from the Exchanges, HKMA and SFC.
  • Assist in coordinating and preparing various compliance reporting, training material, regulatory reporting, etc.
  • Assist in distributing the rules and regulations, assessing the impacts, and rolling out the new regulatory requirements across the impacted businesses.
  • Provide compliance support to business, corporate functions and other compliance teams in terms of projects, initiatives, reviews, audits, testing, etc.


  • Degree qualified with 3-5 years of relevant experience gained within banking, financial, legal, compliance, technology or regulatory environment
  • Sound knowledge of financial products and Hong Kong regulatory environment /technology development.
  • Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff
  • Strong analytical and problem-solving skills
  • A team-player, self-motivated fast learner
  • Control-focused, detail oriented, organized and efficient
  • Ability to determine priorities, multi-task, work under pressure and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment
  • Flexible and adaptable to dynamically changing work processes and environment


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 Function
Employment Term
  • Permanent
  • Full-time
  • 3 years - 8 years
Career Level
  • Non-management level
  • Degree