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Corporate Compliance – Research Compliance - APAC Head of Research Compliance – Executive Director – Hong Kong

Req #: 180033209
Location: Hong Kong, , HK
Job Category: Compliance
Potential Referral Amount: 40000 Hong Kong Dollar (HKD)

Job Overview

 

J.P. Morgan's Compliance Department is seeking a highly motivated individual to serve as APAC Head of Research Compliance. In this role, you will provide day-to-day management and oversight of the APAC Research Compliance Team, form part of the management team for the Global Research Compliance function and the APAC Banking & Research Compliance team, assist and advise Senior Management on major regulatory developments and policy requirements, and provide second-line of defence oversight of regulatory controls that exist within the business. You also will work closely with Investment Banking, Capital Markets, Fixed Income, and Control Room Compliance and partner with Legal and the Firm’s control functions to assess risk, create pragmatic solutions, and develop common standards and practices.

 

The APAC Research business is part of the Global Research Department. J.P. Morgan’s Global Research team has more than 900 employees in 27 countries. The team provides actionable insights across every major asset class, including Equity Research, Credit Research, Emerging Markets, Economics, FX, Rates, Currencies, Asset Allocation, Commodities, Technical Analysis, Derivatives, and Strategy. JPM’s Global Research franchise is ranked among the finest in the industry.

 

Key Duties and Responsibilities 

  • Provide management oversight of the APAC Research Compliance team

  • Work within a Global Research Compliance Team to develop best practices and consistent global standards

  • Work as part of the management team for the wider Investment Banking, Research and Control Room Compliance function to drive effective relationships between the different teams and ensure consistent and holistic coverage of relevant issues

  • Provide pro-active and re-active day-to-day advisory services to Research Management and Research Analysts regarding regulatory requirements (including MIFID II requirements), internal policies and procedures, best practice guidelines, and reputational matters that impact the APAC Research business, both generally and on a transaction-specific basis

  • Ensure business-related compliance policies and procedures manuals are maintained across all relevant asset classes and provide induction and ongoing training on regulatory requirements, firm policies and best practice issues, using one-to-one and classroom methodologies as appropriate

  • Assess new products, services and systems in light of new and existing policies and procedures, before, during and after their design and structuring, in line with JP Morgan’s New Business Initiative Approval process

  • Represent APAC Research Compliance at weekly Senior Management meetings, risk forum and other meetings, as appropriate

  • Work with Research Business Management, the Research Business Control team and the Supervisory Analysts to facilitate a cohesive control environment within APAC Research

  • Liaise with Compliance colleagues in other regions develop and maintain consistent policies and procedures and approaches; attend monthly Global Compliance calls, as appropriate

  • Partner with Internal Audit and the Compliance Testing Team in connection with audit reviews and compliance testing of the APAC Research business

 Knowledge, Skills and Experience Required 

  • Ideal candidate will currently be a Head of or Senior Manager in a Research, Investment Banking or Markets Compliance role. Direct experience in Research Compliance is highly desirable

  • Detailed knowledge of regulatory and internal control requirements relating to the preparation and dissemination of research and the interaction of Research Analysts with non-Research personnel

  • Excellent presentation skills and presence, with a strong ability to articulate regulatory issues within a commercial context across all levels of the firm

  • The candidate, who will be based with the business, should possess strong interpersonal/client-handling skills and must be responsive; a team player, but able to operate under own initiative

  • Strong and effective communication and collaboration skills

  • Self-starter, action-oriented and effective listening skills

  • Ability to prioritize in a fast-moving, high-pressure, constantly changing environment, and be flexible in working across internal functions and across regions

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