ED, Investment Banking Compliance, Hong Kong

Lead (more than 10 years)

Technical Skills

  • Compliance
  • Derivatives
  • ECM
  • Mergers & Acquisitions
  • Risk Assessment
  • Risk Management
  • Training

Job Description

ED, Investment Banking Compliance, Hong Kong

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
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 primary regional compliance coverage to Investment Banking (M&A, ECM and DCM).

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, ECM, DCM and Corporate Derivatives.
  • 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.
Employment TypeFull-time
Career LevelLead (more than 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