Apply Now    

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

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

  • 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

Apply Now    

Join our Talent Community

Not ready to apply? Leave your information with us and we will keep you up to date with new career opportunities.

Things to note

Sign in to our application system to continue your job search or update your profile.

Current employees sign in here. Contractors sign in here.

Any information you provide is confidential and will only be viewed by our recruiters in an effort to fill open positions. In addition, the information you provide is subject to our privacy policy practices.

Please note that J.P. Morgan will not accept unsolicited approaches or speculative CVs, nor will J.P. Morgan be responsible for any related fees, from Third Party Firms who are not preferred suppliers.

The firm invites all interested and qualified candidates to apply for employment opportunities.

Need disability related assistance?

If you are a US or Canadian applicant with a disability who is unable to use our online tools to search and apply for jobs, please click here.

Important links

Click here to view the "EEO is the Law" poster.

Click here to view the "EEO is the Law" supplemental poster.

Click here to view our U.S. Pay Transparency Policy.

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.