Job ref no.: CT3114386-01#7754

Vice President, Hong Kong Compliance

JP Morgan Chase

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com

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.
  • JOB PURPOSE
    • To manage compliance risk for the HK market by providing advice, training, and managing relationships with regulators.

KEY RESPONSIBILITIES
  • ADVISORY
    • Provide regulatory advisory and compliance support to business, support functions and other compliance teams.
    • Assist in coordinating and managing consultation exercises and industry group discussions.
    • Assist in reviewing new business initiatives documents, operational procedures and major operational and system changes.
    • Assist in rolling out the new regulatory requirements across the impacted businesses.
    • Conduct compliance risk assessments and assist in compliance tasks/projects/initiatives, etc.
  • REGULATORS
    • Contact person with the HK regulators.
    • Drive HK regulatory projects and applications.
    • Assist in handling regulatory enquiries, reporting and investigations.
    • Assist in managing regulatory inspections.
  • TRAINING
    • Provide training and promote compliance culture.
  • MAJOR ACCOUNTABILITIES
    • Provide strong compliance advisory and regulatory supports timely.
    • Prompt escalation of identified compliance issues to HK Compliance Head and business management.
    • Deliver regular and effective training in accordance with the program

JOB DIMENSIONS
  • Internal Relationships:
    • Line of Business
    • Line of Business Compliance
    • GFCC
    • Corporate/Control Functions
  • External Relationships
    • HK Regulators - SFC, HKMA, HKEx, HK Clearing Houses
    • Counterparts at other Institutions
  • Language Skills:
    • English
    • Fluent Cantonese preferable, Mandarin an advantage.
  • Experience:
    • Minimum 5 years Hong Kong Markets/Banking compliance experience
    • Solid knowledge in the SFC and HKMA regulations and regulatory landscape
    • Strong product knowledge in Markets/Banking
    • Law degree or other closely-related professional qualification
    • Strong written and verbal communication skills in English
    • Strong analytical and problem-solving skills
    • Ability to manage priorities and work under pressure
    • A teamwork approach with results driven
    • Take the initiative in seeking out opportunities for effectiveness and efficiency

 

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More job information
Job ref no. CT3114386-01#7754
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Senior management level
Education
  • Degree