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Associate, Global Investment Banking Compliance, Hong Kong

Req #: 180016448
Location: Hong Kong, , HK
Job Category: Compliance
Potential Referral Amount: 20000 Hong Kong Dollar (HKD)

J.P. Morgan Chase Bank is a leading global financial services firm, offering intelligent solutions across comprehensive and cutting edge global product platforms. You will be surrounded by smart, driven people like yourself, who in line with the highest standards of integrity, combine innovation and analysis to achieve industry leading results and recognition in accordance with the business principles fundamental to our success.

In Asia Pacific, J.P. Morgan comprises of Corporate & Investment Bank (C&IB), Private Banking, Asset Management and Commercial Banking. C&IB services the world’s most important corporations, governments and institutions through banking, markets and investor services. Globally, with US$18 trillion of assets under custody and US$393 billion in deposits, the CIB provides strategic advice, raises capital, manages risk and extends liquidity in global markets. J.P. Morgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth individuals and families. The Private Bank addresses every facet of wealth management from investment management and brokerage to tax and estate planning, credit, capital raising and speciality wealth advisory services. J.P. Morgan Asset Management is a global leader in asset management services, and with assets under management of over US$1.3 trillion, we are one of the largest asset and wealth managers in the world. Our Commercial Bank groups in Asia work closely with subsidiaries of our US Commercial Bank clients in delivering traditional corporate finance, risk management, operating and investment management services.

This role provides support to the regional Banking Compliance team which includes coverage of Investment Banking (M&A, ECM and DCM) and Research in APAC. As part of the Banking Compliance team, you will be responsible for providing real-time compliance advice and support. As this is an advisory role, the work is varied and time critical.

Your key responsibilities will include:

  • Providing compliance and regulatory advice, including advising on existing and new laws and regulations as they impact the regional Investment Banking and Research businesses.

  • Reviewing and documenting all the processes by which Banking Compliance provides credible challenge to the Banking business in Asia

  • Assisting the team respond to ad hoc queries from the Investment Banking and Research teams in Asia

  • Assisting the team to evaluate compliance with relevant regulations, identifying issues and assessing the impact of regulatory change.

  • Working with business management to build and maintain control mechanisms to remain in compliance with laws and regulations and to protect the reputation and franchise of the firm.

  • Reviewing new business initiatives, operational procedures and major operational and systems changes from a regulatory perspective.

  • Supporting the compliance programme include regulatory risk assessments, establishment of policies, performing training and executing compliance testing (as needed).

  • Supporting country compliance teams in interacting with regulators including handling of regulatory enquiries, exams and investigations.

  • Liaising with colleagues in monitoring and surveillance, licensing, control room and other core compliance functions to consider LOB issues and provide interface with the Investment Banking and Research businesses.

  • Supporting the Research Compliance in Asia in covering the research business.

To be successful, you will need:

  • A qualification in Law or a related discipline is preferred.

  • A minimum of two years compliance, regulatory, legal or risk management experience gained within a financial institution or a regulator.

  • Some exposure to investment banking products and services and/or the provision and distribution of equity research and/or to control room practices and processes is preferred.

  • Good interpersonal and influencing skills, with the ability to establish credibility and strong partnership with business and compliance partners.

  • Good analytical, problem-solving and organizational skills and the ability to manage several simultaneous projects.

  • Strong organizational skills and the ability to drive projects and processes to conclusion.

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