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Vice President, Personal Account Dealing Compliance, Hong Kong

Req #: 170096299
Location: Hong Kong, , HK
Job Category: Compliance
Potential Referral Amount: 40000 Hong Kong Dollar (HKD)
Purpose of Position and Function:
 
The Employee Compliance team is responsible for managing compliance risk management programs related to key employee related regulatory risk. The role includes reporting to relevant governance committees and/or senior management in relation to the Employee Compliance Program and/or employee related regulatory risks, designing and executing risk mitigation strategies, developing and conducting training, managing internal audit and relevant regulatory exams.  The function is also responsible for the provision of advice, implementation of policies and/or controls, development/provision of training and oversight of operational processes relating to Code of Conduct (CoC), Personal Account Dealing (PAD), Licensing and Registrations (L&R), Anti-Bribery and Corruption (ABC) and Consecutive Leave (CL) across all Line of Business (LOBs) and locations in APAC.  
 
The Asia Pacific Personal Account Dealing Group is a regional function within Asia Compliance. This group monitors employee personal trading to safeguard J.P. Morgan Chase & Co. and to prevent employees from trading on, or the appearance of trading on, material non-public information. 
 
Key Responsibilities:
As a Vice President, your key responsibilities as a Compliance Manager will include the following:
  • Lead and supervise the PAD Compliance team based in Hong Kong
  • Coordinate with global and regional Compliance teams on Policy rollout and strategic initiatives within Global Employee Compliance area.
  • Work with global PMO, Technology, and regional Compliance leads to implement the global strategic pre-clearance platform in APAC
  • Point of contact for escalation on monitoring employee trade data to determine compliance with the Firm's personal account dealing policies and Location/Line of Business requirements. This includes:
    • Process employees’ pre-clearance on personal trades and private investments
    • Investigate and follow-up with the Employee, Location/Line of Business Compliance and Management to ensure closure of potential violations, discrepancies and issues.
    • Tracking of personal account dealing violations and issuance of violation notification.
    • Report trading activity and violations to Location/Line of Business Compliance and Management.
  • Conduct employee training on personal account dealing policies and rules.

 

  • Experience in managing a team
  • Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff.
  • Demonstrated project management experience
  • Bachelor’s degree, preferably in business, finance, economics
  • 8-10 years’ experience in compliance, risk management, or regulatory related function in the financial services industry
  • Experience interpreting regulation and implementing regulatory controls
  • Ability to prioritize, multi-task, work under pressure and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment.
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with business leaders, control functions and corporate partners.

 

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