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Compliance - Asia Control Room Compliance - Associate/Vice President

Req #: 180034956
Location: Hong Kong, , HK
Job Category: Compliance
Potential Referral Amount: 40000 Hong Kong Dollar (HKD)

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

The Asia Control Room ["ACR"] is a regional function of the Firm with staff members located in Hong Kong, Sydney, Tokyo and Mumbai.  The ACR monitors the Firm’s Information Barriers, which are designed to control the flow of material non-public information (MNPI), in the Asia Pacific region.

 

RESPONSIBILITIES

  • Performing day-to-day control room tasks, including but not limited to:

    • Maintenance of the Firm’s Watch and Restricted lists

    • Handling wall-crossing requests

    • Clearance of normal course and pre-deal research

    • Chaperoning relevant Investment Banking/Equity Research communications

    • Imposing dealing restrictions and responding to trade requests

    • Designation of private/public side employee statuses

  • Advising Research/Investment Banking/Capital Markets on research independence issues

  • Working with Legal and external counsels on transactional pre-deal research issues

  • Conducting Information Barriers (public/private designation) review

  • Working together with other LOB compliance on all control room matters (e.g. Information Barriers, MNPI, sales and trading) impacting them

  • Providing training

  • Updating procedural manuals

  • Working with Technology on enhancement projects

  • Minimum 3 years’ experience in Control Room or Research/Banking Compliance

  • University graduate

  • Good analytical skills

  • Good communication skills

  • Multi-tasking

  • Team player

  • Self-motivated, proactive, decisive

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