Associate, Employee Compliance, Hong Kong
Location: HK-Hong Kong-Hong Kong-One Island East / 31141
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.
- Perform thorough, timely, and effective investigation of employee’s related matters and ensure complete resolution of these matters.
- Conduct research and investigations to identify the reason for staff potential violations, areas including e.g. Code, Data Privacy, Licensing & Registration, Outside Business Activities, Conflicts etc.
- Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements.
- Prior experience in approving personal trade requests, Outside Business Affiliation requests and Private Investment requests a plus.
- Identification of issues and trends from the management information, propose and manage implementation of further enhancements and process remediation where required
- Knowledge of Chinese Walls, information barriers and handling of material non-public information preferred;
- Ability to manage senior management expectations and competing priorities and follow up proactively on issues;
- Develop, implement, and monitor Employee Compliance improvement initiatives within APAC in conjunction with various stakeholders.
- Assist the leadership team in identifying and assessing high compliance risk areas and develop improvement plan to mitigate the risks.
- Bachelor’s degree, preferably in business or law
- 5+ years related work experience, preferably in a compliance or legal role at an investment bank, securities company or a law firm
- Ability to multi-task and work well under pressure and have a positive, hands-on, “can do” attitude
- Excellent oral and written communication skills, able to coordinate and seek information from different parts of the firm
- Asset Allocation
- Internal Audit
- Risk Management