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Associate, Risk Assessment and Monitoring, Compliance, Singapore

Req #: 180023628
Location: Singapore, 01, SG
Job Category: Compliance
Potential Referral Amount: 8000 Singapore Dollar (SGD)


JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 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

J.P. Morgan is a place for talented people from all backgrounds and perspectives because our clients come from all backgrounds and perspectives. We encourage a culture of inclusion, where everyone's opinion counts and all employees have the freedom to deliver their absolute best. This is why we work hard and invest in attracting and developing a diverse workforce. Learn more about our Business Resource Groups in how they help our employees build successful careers and reach their greatest potential.


Global Compliance Practices


Global Compliance & Regulatory Management plays a critical role in the successful execution of the firm’s compliance mission.  The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and rules that govern our business globally. 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.

Compliance Risk Assessment and Reporting is one of the key Program components by which overall compliance risks are identified, analyzed and measured through a consistent global approach so as to:


  • Understand the impact and level of compliance risks across the Firm.
  • Facilitate the reporting of compliance risk ratings and supporting information to stakeholders; and
  •  Drive focus within the Annual Compliance Plans (ACPs), including risk based monitoring and testing and other Compliance Practice activities (e.g., Compliance Training and Awareness).

Risk-based monitoring is critical element of an effective Compliance Program. Monitoring activities are executed to evaluate compliance with legal obligations, and evaluate the adequacy and effectiveness of critical compliance control processes, as appropriate.



Position Description:



This position is part of the APAC Practices team and partners with Country & LOB Compliance and the global CRA and Monitoring Management teams in developing, implementing and executing the two key Compliance programs for the APAC region. The chosen candidate will report to the APAC Compliance Monitoring and CRA Manager based in Singapore.

Key part of this role is within the APAC Compliance Risk Assessment (CRA) team responsible for coordinating the execution of the regional and country CRAs. This will involve working closely with the APAC Compliance CRA Lead to review, coordinate, and collate the required information from the LOB Compliance and Location subject matter experts. You will be responsible for coordinating this work for APAC Compliance, working in conjunction with the project lead to drive efficiency of CRA while minimizing the impact on Compliance subject matter experts. You will also be providing guidance on the CRA framework and procedures. The role will provide considerable exposure to Country and LOB Compliance partners throughout APAC and the business.

The incumbent will also require to support the Monitoring Manager to work with the LOB and Country Compliance teams involved in the monitoring activities to develop, maintain and execute a coordinated regional monitoring plan and strategy.

This position will also include performing analysis, trending and reporting current and emerging issues arising in all the two Compliance programs for APAC.






  • Assist with the coordination of the CRA with the APAC Country and LOB Compliance subject matter experts to ensure timely assessment of the inherent and residual risks for the region and countries
  • Provide and resolve QA comments to the CRA assessors, especially to ensure consistency and quality of the rationales
  • Understand the CRA tool functionalities and work with the global teams to participate in UAT testing
  • Assist with country specific regulatory submissions that involve CRA
  • Assist with the day to day deliverables of the Compliance CRA Program for APAC

II. Monitoring


  • Understand the Monitoring procedure and help ensure QA testing around adherence to Monitoring Management frameworks is being completed.
  • Work with the global Monitoring Management team in ongoing enhancements to the Monitoring tool used by the firm and assist in the implementation of the tool to the region
  • Assist with the day to day deliverables and reporting of the Compliance Monitoring Program for APAC
  • Work closely with the MIS team to ensure monitoring metrics or reporting is reported accurately
  • Minimum 5 years Compliance experience in financial services institutions
  • Knowledge of the JPM RCSA risk hierarchy and general risk / control frameworks
  • Experience/knowledge of the APAC regulatory environment and of financial products highly desirable
  • Willingness to work as part of a tight Practices team, where interdependencies will be common and ongoing.
  • Strong analytical, communication and negotiation skills
  • Team player with ability to build strong relationships – proven flexibility, adaptability and reliability
  • Proactive approach to problem solving and owning of issues
  • Detail oriented, with a highly disciplined approach to process and quality control; attention to detail is critical in this role
  • Flexibility to handle multiple tasks, changing priorities, and monitor tight deadlines or unexpected requirement changes
  • Candidate needs to be comfortable working and partnering with people at all levels and across all functional areas
  • Excellent working knowledge of MS Excel
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