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VP, Compliance Manager, GWM Product Advisory Compliance - Fiduciary

Job Description

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.

Global Wealth Management (GWM) is part of the J.P. Morgan Asset Management business segment and offers customized solutions and client service to solve the complex needs of wealthy individuals and their families around the world. Global Wealth Management serves various client types through its Private Bank and J.P. Morgan Securities sub-lines of business.

The successful candidate will work with various business partners and control functions to identify fiduciary related regulatory requirements for the GWM Asia discretionary management activities, develop an appropriate compliance control framework and work with the respective control functions to implement monitoring programs.

Primary Responsibilities
  • Advise on applicable rules and regulations and coordinate regulatory relationships and inquiries
  • Interact closely with counterparts in EMEA and the US to develop policies and procedures in order to comply with the regulatory requirements
  • Provide policy guidance to the business and conduct requisite Compliance training
  • Review new discretionary mandates as part of New Product Approval
  • Partner with control functions to implement monitoring programs and advise on issues identified via monitoring and testing or audit reviews
  • Represents GWM Asia Compliance in the Asia Discretionary Oversight Committee
  • At least 8-10 years of relevant experience in a Legal, Compliance/Regulatory or Product Management role in an asset management capacity
  • Knowledge of OCC regulatory requirements relating to fiduciary activities is preferred but not mandatory
  • An individual who is motivated and able to work independently
  • A team player who is able to interact with other control functions to deliver on goals and objectives
  • Ability to manage multiple projects simultaneously with minimal supervision
Req #: 150127629
Location: Hong Kong, HK
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 40000 Hong Kong Dollar (HKD)

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