JPMorgan Chase Bank

Associate, Personal Account Dealing – Asia Pacific Regional Compliance, Hong Kong

JPMorgan Chase Bank
Full Time
Junior (less than 3 years)

Job Description

Associate, Personal Account Dealing – Asia Pacific Regional 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 $2.6 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 Employee Compliance team is responsible for managing compliance risk management programs related to key employee related regulatory risk, reporting to relevant governance committees and/or senior management in relation to the Employee Compliance Programme and/or employee related regulatory risks, designing and executing risk mitigation strategies, developing and conducting training, managing internal audit and relevant regulatory exams.  This includes 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 LOBs and locations in APAC.  

Summary of Job Responsibilities:


Support the APAC Compliance Manager for Personal Account Dealing (PAD) to:

  • Check employee personal trading requests in accordance with the Firm's personal account dealing policies.
  • Monitor 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.
  • Update and enhance PAD processes and procedures to reflect changes to the business and regulatory environment and synchronize policies across different businesses and regions. 
  • Work closely with APAC Compliance Operations to ensure policies can be supported from an operational and implementation standpoint.
  • Enhance PAD training and communication for new hires, newly subject employees/contractors, and senior executives.
  • Improve / enhance communications from the PAD group to the APAC employee population (e.g. window period reminders, blackout period reminders, PAD policy updates/bulletins, new PAD systems features, annual attestation requirements, targeted policy reminders, business specific policy/process changes, registration requirements).
  • Design improvements to personal account dealing surveillance processes.
  • Provide Personal Account Dealing policy advice to Lines of Business.
  • Handle enquiries and investigations for adverse/sensitive issues raised to Compliance that require liaison with Senior Compliance Managers, Employee Relations and Legal.
  • Oversee APAC Compliance Operations, working closely with the team to ensure processes are being followed



  • 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.
  • Significant relevant experience in compliance, risk management, or regulatory related function in the financial services industry.
  • Strong working knowledge of the applicable regulatory rules applicable to Personal Account Dealing.
  • Strong understanding of a wide range of financial instruments.
  • Strong problem solving and analysis skills.
  • Able to work to high standards of accuracy and efficiency.
  • Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff.


Technical Skills

  • Asset Allocation
  • Compliance
  • Corporate Communications
  • Employee Relations
  • Internal Audit
  • Risk Management
  • Training