ED, Compliance Monitoring and Surveillance (Equities, Futures & Options)

Senior (6-10 years)

Technical Skills

  • Asset Allocation
  • Audit
  • Compliance
  • Equities
  • HR
  • Investment Management
  • Microsoft Exchange Server
  • Risk Management
  • Tax
  • Wealth Management

Job Description

ED, Compliance Monitoring and Surveillance (Equities, Futures & Options)

Location: HK-Hong Kong-Hong Kong-One Island East / 31141

About J.P. Morgan Chase & Co.

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.4 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small businesses, 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 J.P. Morgan is available at www.jpmorganchase.com

Business Description

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.

Job Description

  • Lead a team of approximately 10 staff based primarily in Hong Kong within the Alert Surveillance team. A key success criterion will be to partner effectively with the other Alert Surveillance leads within the region covering other products.
  • Strong trade surveillance skills across both exchange-based and OTC products (particularly Equities/F&O) and an ability to identify potential market misconduct risks and drive a risk-based surveillance program
  • Management skills to lead a team based in both Hong Kong with coordination across the region
  • Develop and implement consistent procedures and disciplined controls
  • Ability to work under pressure and execute in a fast-changing environment
  • Partnering with the Coverage Strategy & Investigation team as well as Platform Control within Monitoring & Surveillance.

The role will suit an existing ED/senior VP with a passion to work in the monitoring and surveillance function. You will be an experienced manager with a track record in monitoring and surveillance/Compliance advisory, or a demonstrated risk environment.

You will work with the ED responsible for the leading the Alert Surveillance team in Hong Kong/Singapore as well as coordinate with the Surveillance leads in Japan and Australia and the Coverage Strategy and Investigation Team.
Within Compliance your key relationships will be with Line of Business (LOB) and Country Compliance leads as well as Compliance Surveillance staff in other regions.

Key job dimensions

  • Preferably based in Hong Kong
  • Global liaison with other Compliance Surveillance staff in other regions
    Partnering with Business, Legal, HR, Global Security and Investigations.


Essential Skills/Experience:

  • Minimum 8-10 years product, regulatory or risk management experience gained within a financial institution or regulator
  • Strong controls experience, preferably from audit or regulatory background
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with Compliance colleagues across the region
  • Strong analytical, problem-solving and organizational skills and the ability to manage several simultaneous projects.
  • Well developed leadership skills with a demonstrated ability to grow and encourage career development within the team
  • Excellent business judgment and strategic thinking
  • Proven ability to communicate effectively in English at all levels both orally and in writing,
  • Ability to deliver high quality results as part of a geographically dispersed global compliance team
  • Familiar with the three lines of defence model

Education/professional qualifications:

  • Law degree or other closely related professional qualification helpful

Language Requirements:

  • English
  • Knowledge of Asian languages an advantage
Employment TypeFull-time
Career LevelSenior (6-10 years)
Education LevelBachelor
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