Associate, Employee Compliance, Hong Kong

Intermediate (3-6 years)

Technical Skills

  • Asset Allocation
  • Compliance
  • Internal Audit
  • Risk Management

Job Description

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.

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.  
  • 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
Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelBachelor
LanguageEnglish, Cantonese
JPMorgan Chase BankFinancial Services, Retail and Commercial Banking

1101-1102 & 1118-1120 Level 22 Tower 1, Grand Century Place, 193 Princess Edward Road West, Mongkok, Kowloon, Hong Kong

directions_walk18 mins walk from Prince Edward Station