JPMorgan Chase & Co. (NYSE: JPM) is a leadingglobal financial services firm with operations worldwide. The firm is a leaderin investment banking, financial services for consumers and small business,commercial banking, financial transaction processing, and asset management. Acomponent of the Dow Jones Industrial Average, JPMorgan Chase & Co. servesmillions of consumers in the United States and many of the world's mostprominent corporate, institutional and government clients under its J.P. Morganand Chase brands. Information about JPMorgan Chase & Co. is available at http://www.jpmorganchase.com/ .
Our Compliance Function
With a diverse team of Complianceprofessionals supporting all areas of our business around the globe, the teamis working diligently to be innovative and present all business partners withthoughtful and unique solutions to the challenges they face. TheCompliance function has a robust set of priorities in place focused on bestpractice and employee development to ensure goals are delivered.
As the individual who takeson this role, you will assist us in managing the compliance risk associatedwith operating the Equities business in Asia, working closely with ComplianceOfficers across the region whilst coordinating globally. The Equities businessin Asia has its hub Hong Kong withsignificant presence in across AsiaPacific locations This role will have a specific focus on assisting theregional team cover China related activities, including QFII, HK China StockConnect, .establishment of a local securities entity, and related cross borderactivities.
In conjunction withCompliance Officers across the region and other functional partners (includingLegal, Internal Audit, Risk, Controls), you will be responsible for driving themanagement of compliance and regulatory risks, as well as ensuring themaintenance of relationships with senior business management. Simultaneously,you will ensure consistent adherence with all elements of our global complianceprogram, including transactions and program advice relating to new and existingproducts, key policies, marketing methods, booking structures and the impact ofregulatory change. In addition you will work with business management to buildand maintain control mechanisms in compliance with local laws and regulations.
Specifically, your role isto provide compliance advice and guidance to the Equities business related toChina to ensure all the related country and global compliance requirement areadhered to, in particular on the areas of various investment regimes andquotas, trading venues, cross border RMB business, etc.
The successful candidatemust be able to think on their feet, often providing 'live' regulatoryinterpretations and decisions to the business in high profile and/or timeconstrained situations.
Compliancecoverage responsibility for the Equities related business with its Chinabusiness;
Ongoing assessment of regulatory and compliance risks inherent inexisting and proposed business activities and initiating,coordinating and delivering process enhancements where required.
Liaise with Global Compliance counterparts in order to communicate APACissues as well as stay abreast of global initiatives;
Review new products and initiatives from Compliance perspective; and
Assist in the design, development, implementation and ongoing operationof the Compliance program
Preparation anddelivery of Compliance training materials in Hong Kong and across Asia.
Drafting andmanaging the roll out of Compliance policies, procedures and guidelines and anyassociated training requirements.
Coordination andliaison with country and corporate compliance groups as well as other corporatecontrol functions such as business management, controls, audit, tax and financeas required.
Required Skills and Experience:
Minimum 3to 5 years of experience within a financial institution in the Asia Pacific Region with coverage in relevant fixed income products
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 simultaneous projects
Proven ability to communicate effectively in English and Mandarin at all levels, both orally and in writing
Knowledge of China securities related regulations, in particular of a cross border nature such as QFII, QDII, HK China Stock Connect, and related SAFE laws and regulations
Ability to work independently and as part of a team.
Strong sense of ownership and responsibility.
Ability to multi-task, prioritise and project manage complex issues.
Inquisitive with an excellent keen eye for to detail.