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Vice President/ Executive Director – Investment Banking Compliance – Hong Kong

Req #: 170098999
Location: Hong Kong, , HK
Job Category: Compliance
Potential Referral Amount: 0 Hong Kong Dollar (HKD)
J.P. Morgan Chase Bank is a leading global financial services firm, offering intelligent solutions across comprehensive and cutting edge global product platforms.  You will be surrounded by smart, driven people like yourself, who in line with the highest standards of integrity, combine innovation and analysis to achieve industry leading results and recognition in accordance with the business principles fundamental to our success.
 
In Asia Pacific, J.P. Morgan comprises of Corporate & Investment Bank (C&IB), Private Banking, Asset Management and Commercial Banking. C&IB services the world’s most important corporations, governments and institutions through banking, markets and investor services. Globally, with US$18 trillion of assets under custody and US$393 billion in deposits, the CIB provides strategic advice, raises capital, manages risk and extends liquidity in global markets. J.P. Morgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth individuals and families. The Private Bank addresses ever facet of wealth management from investment management and brokerage to tax and estate planning, credit, capital raising and speciality wealth advisory services. J.P. Morgan Asset Management is a global leader in asset management services, and with assets under management of over US$1.3 trillion, we are one of the largest asset and wealth managers in the world. Our Commercial Bank groups in Asia work closely with subsidiaries of our US Commercial Bank clients in delivering traditional corporate finance, risk management, operating and investment management services.
This role provides compliance coverage for Investment Banking in Hong Kong and regional M&A.
 
You will be responsible for providing real-time compliance advice and support. As this is an advisory role, the work is varied and time critical. The role will report to the Head of Banking Compliance for Asia Pacific who is based in Hong Kong and you will partner closely with a number of Compliance partners in Asia including Conflicts, Business Management, Legal and Risk.
 
The Head of Banking Compliance in Asia Pacific has overall compliance management responsibility for a number of banking related businesses in the region including Investment Banking, Corporate Banking, Commercial Banking, Treasury Services, Global Trade & Loan Products and Research. There are approximately 45 compliance professionals supporting Banking Compliance in Asia Pacific who are either part of the regional team or located in country.
 
Your key responsibilities will include:
 
  • Providing compliance and regulatory advice, including advising on existing and new banking laws and regulations as they impact the regional Investment Banking business. 
  • Representing Compliance at relevant business, governance and risk committees.
  • Evaluating compliance with relevant regulations, identifying issues and assessing the impact of regulatory change.
  • Working with business management to build and maintain control mechanisms to remain in compliance with laws and regulations and to protect the reputation and franchise of the firm.
  • Reviewing new business initiatives, operational procedures and major operational and systems changes from a regulatory perspective.
  • Supporting the compliance programme include regulatory risk assessments, establishment of policies, performing training and executing compliance testing (as needed). 
  • Interacting with regulators including handling of regulatory enquiries, exams and investigations.
To be successful, you will need:
  • A qualification in Law or a related discipline is preferred.
  • A minimum of twelve years compliance, regulatory, legal or risk management experience gained within a financial institution or a regulator.
  • Significant experience with investment banking products including M&A and ECM.
  • Working knowledge of the regulatory regime for IPO sponsors in Hong Kong.
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with business partners.
  • Strong analytical, problem-solving and organizational skills and the ability to manage several simultaneous projects.
  • Excellent business judgment and strategic thinking ability.
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