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VP, Investment Management Compliance Advisory Manager - Singapore

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.
 
Business Description
 
Compliance plays a critical role in the successful execution of the firm's compliance mission.  The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and 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. Global IM Compliance has the responsibility for oversight of the consistent implementation of Global policies & practices whilst ensuring regional and country nuances are adopted to take into account local law and regulation. 
 
Job Description
 
Major responsibilities include:
  • Provide guidance on proper applications and interpretation of laws and regulations applicable to the sales and marketing activities for the investment management business
  • Advise, review and monitor staff activities with regard to company policies addressing conflict of interest matters (such as personal account trades, gifts and entertainment etc).
  • Execute and maintain the compliance monitoring program to ensure regulatory risks are effectively monitored
  • Conduct independent monitoring over marketing materials distributed to clients to ensure compliance with local advertisement rules, best practices and applicable internal and external requirements.
  • Advise and handle licensing related matters for staff and the business.
  • Assist Head of IM Compliance, Singapore, to establish and maintain effective processes to ensure that there are adequate controls to mitigate compliance and regulatory risks.
  • Keep the Head of IM Compliance, Singapore updated of significant issues and provide consultation on a timely basis.
  • Provide training to staff and new hires on company policies, regulatory requirements etc.
  • Handle inquiries and questionnaires from MAS in relation to marketing materials, websites and funds’ matters etc.
  • Monitor for regulatory reforms that may impact investment management business, and provide proactive and timely identification, dissemination and advice of regulatory changes and associated risks.
  • Review relevant MAS consultation papers and study and consider impact to the business. Provide our comments to the MAS.
  • Participate in new product or business initiatives to ensure that they are in compliance with regulatory requirements
  • Carry out ad-hoc compliance tasks as required.
  • Perform duties objectively and to support sustainable growth in an independent manner.
 
  • Approximately 6 to 10 years working experience in compliance function within the financial industry (preferably investment management firms)
  • Degree in law, accounting or finance related subject
  • Strong knowledge of Singapore rules and regulations applicable to investment management business such as but not limited to: Securities and Futures Act and its Regulations, Financial Advisers Act and its Regulations, CPF investment rules, MAS Code on Collective Investment Schemes, IMAS Code of Conduct.
  • Strong attention to detail and quality.
  • Strong communication, report writing, interpersonal and influencing skills.  The candidate should have the ability to establish credibility and strong partnerships with business leaders, control functions and corporate partners.
  • Ability to work independently and under pressure.
  • Fluent in English. Proficient in Mandarin is an advantage
Req #: 160045413
Location: Singapore, 01 SG
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 8000 Singapore Dollar (SGD)

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