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.
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.
- Lead the Compliance Surveillance program for the product in the APAC region, co-ordinating across jurisdictions as necessary
- Manage a small team of analysts and supervise the daily alert process arising from both trade surveillance and electronic communications surveillance for the product.
- Partner with the Line of Business Advisory Compliance teams in dispositioning of escalations resulting from alerts generated.
- Coordinate with the Compliance Surveillance Coverage Strategy and Investigations team for thematic/focused reviews and investigations
- Partner with US/EMEA product leads to ensure that the model is globally consistent as appropriate
- Develop a risk-based approach whilst maintaining a disciplined consistent approach
- Be responsible for the development and update of relevant standard operating procedures
- Develop a training program for the product
You will work alongside a number of other product leads for the region. The role may suit an existing VP in Compliance Monitoring & Surveillance or a VP in another role in Compliance, another control function or potentially with a previous background in trading/sales. You should have a strong control mindset and a passion to learn. Ideally you should be an experienced manager.
Within Compliance your key relationships will be with Line of Business and Country Compliance leads. You will also partner with Legal, Global Security & Investigations, Human Resources/Employee Relations, as well as Global Financial Crime Compliance.
Key job dimensions
- reporting to the Executive Director, Head of Compliance Monitoring & Surveillance Alert Operations for Hong Kong/Singapore
- drive the implementation of surveillance process control enhancements
- disciplined control focus to execution in compliance with relevant policies and procedures
- work closely with other regional surveillance leads and global Project Management Officers
- work with Internal Audit, Compliance Testing and other control teams.