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ED, Head of Regional Testing and Risk Assessment

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 Compliance Practices
Global Compliance Practices 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 program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and rules that govern our business globally. 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.

Compliance Practices is responsible for the definition and execution of core practices and associated standards, which are the primary elements of the Compliance Program strategy. Compliance Practices has 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. Such practices will include a common approach and framework for risk assessment, monitoring, testing and surveillance activities. This team, in partnership with Chief Compliance Officers across the region will design the approach to the firm's compliance work and centrally manage and continually enhance these core compliance processes.

Position Description
This leadership position encompasses leading a best in class regional compliance risk assessment and testing function. The chosen candidate will report directly to the regional head of Core Compliance.


  • Lead a regional risk assessment, monitoring and testing team of 12 people including discipline experts to serve as a resource to business, regional and location compliance teams.
  • In conjunction with global Practices leads, champion the design and enhancement of a strong and dynamic compliance risk assessment program for the region, which is maintained consistently by/for each country across the regional footprint and underpins (inter alia) compliance monitoring, testing, training and advisory activities, and presentation to local regulators.
  • Define and prosecute a dynamic programme of testing that is derived form the risk assessment process and which adequately supports the needs of the country compliance teams across the regional footprint.
  • Work collaboratively across the global and regional practices team(s) to ensure that the risk assessment and testing solution remains dynamically linked to (inter alia) the monitoring, policy, training, regulatory change and issue management practices programmes.
  • Build and maintain key relationships across the wider regional and global Compliance department and with key partner control functions; establishing a culture of engagement.
  • Support and creatively influence needed discipline change and champion critical change initiatives; help others to anticipate and manage through change.
  • Minimum 10 years experience in overseeing Compliance, Risk or Audit activities within a business
  • In-depth knowledge and understanding of compliance practices and methodologies, including risk assessment, testing and surveillance
  • Past experience executing a (compliance) risk assessment and testing program within a challenging environment of regulatory change
  • Experience managing and developing a strong team
  • Willingness to work as part of a tight practices team, where interdependencies will be common and ongoing.
  • Proven track record in building good working relationships and influencing change
  • Professional maturity and confidence in expressing a point of view with senior management peers
  • Strong analytical, communication and negotiation skills
  • Track record of building relationships across global organizations and operating through influence
  • Ability to build rapport, garnering respect and appropriately exercise authority in a collaborative cross-cultural environment
Req #: 160043193
Location: Hong Kong, HK
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 40000 Hong Kong Dollar (HKD)

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