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.
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
Updating procedural manuals
Working with Technology on enhancement projects
Minimum 3 years’ experience in Control Room or Research/Banking Compliance
Good analytical skills
Good communication skills
Self-motivated, proactive, decisive
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