Posted on 2021-11-10

Vice President - Compliance - Global Investment Banking - Hong Kong)

JPMorgan Chase Bank, N.A.

We are seeking a Compliance, Conduct and Operational Risk (CCOR) Associate who will effectively partner with ICB/Global Investment Banking and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions. This position requires knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices.


  • Provide compliance coverage to the regional ICB business including coverage bankers, Equity and Debt Capital markets and M&A teams to ensure all the related country and global compliance requirements are adhered to in the provision of investment banking services to clients in APAC
  • Familiar with the investment banking business and the regulatory regimes in HK and SG which govern that business including capital markets focusing on initial public offerings (IPOs)
  • Knowledge and experience of corresponding US and EMEA laws and regulations in investment banking is an advantage
  • Identify potential concerns and control issues, determine the root cause of issues and ensure stakeholders develop and implement appropriate corrective actions
  • Execute on key strategic Compliance initiatives within the context of the firm's global compliance mandate
  • Work collaboratively with team members across LOBs and staff areas and participate actively in working groups


  • 8+ years of experience within a financial institution (including investment banking) in the APAC Region
  • Audit, Regulatory &/or Testing experience a plus
  • Demonstrated ability to identify key issues and obtain appropriate information for further analysis
  • Must be highly analytical with experience in collecting, analyzing, and synthesizing information on various subjects
  • Must possess excellent written and oral communications skills
  • Teamwork skills; you must be flexible in work style and be able to work appropriately with stakeholders and colleagues at all levels
  • Strong PC Skills including Microsoft Excel, SharePoint, Word, PowerPoint and other reporting tools
  • Ability to establish credibility and strong partnerships with senior business leaders, control functions, and corporate partners globally
  • Ability to manage numerous reviews and confidential and sensitive information in a professional manner in a fast-paced, deadline-driven environment
  • MBA or Bachelor's degree with professional certification preferred


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
  • 8 years - 13 years
Career Level
  • Senior management level
  • Degree