VP, Hong Kong Compliance

Full-time
Intermediate (3-6 years)

Technical Skills

  • Asset Allocation
  • Audit
  • Compliance
  • Corporate Communications
  • Financial Advising
  • Regulatory Reporting
  • Training

Job Description

VP, Hong Kong Compliance

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 www.jpmorganchase.com

Hong Kong Compliance ensures the development and maintenance of a strong compliance culture in Hong Kong by developing and maintaining program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and rules that govern our business. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm’s compliance control environment.

  • JOB PURPOSE
    • To manage compliance risk for the HK market by providing advice, training, and managing relationships with regulators.

KEY RESPONSIBILITIES

  • ADVISORY
    • Provide regulatory advisory and compliance support to business, support functions and other compliance teams.

    • Assist in coordinating and managing consultation exercises and industry group discussions.

    • Assist to review new business initiatives documents, operational procedures and major operational and system changes.

    • Assist in rolling out the new regulatory requirements across the impacted businesses.

  • REGULATORS

    • Contact person with the HK regulators.

    • Drive HK regulatory projects, applications.

    • Assist in handling regulatory enquiries and investigations.

    • Assist in managing regulatory inspections

  • TRAINING

    • Provide training and promote compliance culture.

  • OTHER

    • Provide timely reporting on Compliance issues to business and internally as appropriate.

  • MAJOR ACCOUNTABILITIES

    • Prompt escalation of identified Compliance issues to Head of HK Compliance and business management.

    • Regular, effective delivery of training in accordance with the program..

 JOB DIMENSIONS

  • Internal Relationships:
    • Markets Compliance
    • Operations, Finance

 

  • External Relationships
    • HK Regulators - SFC, HKMA, HKEx, HK Clearing Houses
    • Counterparts at other Institutions

Qualifications

  • Language Skills:
    • English
    • Fluent Cantonese preferable, Mandarin an advantage.

  • Experience:
    • Minimum 5 years Hong Kong Markets compliance experience

    • Solid knowledge in the SFC and HKMA regulations and financial products

    • Law degree or other closely-related professional qualification

    • Preferably good product knowledge
    • Strong communications skills in English and team work

    • Good analytical and problem-solving skills

Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelBachelor
LanguageEnglish, Cantonese, Mandarin (Putonghua)
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