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Associate, Monitoring and Surveillance - Hong Kong / 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.


JPMorgan Chase is a global leader in the financial services industry, offering intelligent solutions across comprehensive and cutting edge global product platforms.  You will be surrounded by talented and self driven individuals 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.
The Asia Pacific Regional Compliance Department is seeking a high calibre individual to join our Monitoring & Surveillance (M&S) team.  Reporting to the Monitoring & Surveillance Manager in the respective location, the candidate, utilizing the surveillance tools, will be responsible for conducting communications and trade surveillance across various Line of Business (LOB). The candidate will be empowered (within the boundaries of a case officer) to exercise sound business judgments and take ownership to ensure his/her cases are adequately managed in accordance with the operational level of agreement.  The role also offers the candidate excellent opportunities to forge professional relationships with various stakeholders and develop a good understanding on various products such as Equities, Fixed Income, Commodities, FX, Futures & Options offered by JPMorgan Chase.  The monitoring and surveillance service footprint in Asia Pacific includes, but not limited to Australia, Hong Kong, India, Japan, Singapore and South Korea. 
This is a professional position with significant potential for career development within the Asian franchise of JPMorgan Chase and it is only offered to the chosen few who possess the highest level of standards & integrity, relevant skill sets, aspire to succeed as a compliance professional and are determined to contribute in making a positive difference in the Regional Compliance M&S team.
The keys roles and responsibilities would include but not limited to:
  • Use surveillance tools to analyze system generated alerts across various platforms/products within the firm and locate any potential breaches of policies and/or where applicable relevant laws and regulations. 
  • Support analysis conducted through Bloomberg and Internet research, and by maintaining awareness of regional markets and regulatory activity.
  • Where necessary, jointly work with members of the Coverage Strategy and Investigations team by rendering functional expertise to support ongoing investigative cases.
  • In consultation with the Team and Team Manager, refer or escalate any unusual or suspicious cases during the course of alert reviews to the relevant LOB / Country Compliance officers and/or other counterparties in accordance with the defined operational process.
  • Ensure escalated cases are followed up and documentations are updated in our case register in a timely manner.
  • Attend meetings and present escalated cases as required.
  • Assist in MIS reports preparation as required.
  • Assist in establishing internal control processes and developing/updating procedures.
Communication and Trade Surveillance System Analysis, Testing and Design
AP Compliance M&S uses proprietary, third party vendor and ad hoc monitoring schemes as part of the broader function. These processes and systems require regular maintenance that might involve system upgrades, modifications, and occasionally UAT testing as a result of technical issues, prevailing business or market conditions. All members of the team are expected to render either individual or joint effort with other team members contribution to systems analysis, testing and report design depending on the specific area of coverage.  In addition, the candidate is expected to exercise own discipline to attend regular or ad-hoc audio conferences where required.
General Admin, Reporting, and Process Document Maintenance
In addition to owning the normal BAU (business as usual) activities, there are other tasks that are administrative in nature to be assigned to the candidate such as document & report administration for the team. These are generally executed as part of the extended tasks or areas of responsibilities.
 Scope of potential contacts and stakeholders      
  • Regional LOB/Core Functional Compliance Teams
  • Various Country Compliance
  • US and  EMEA Surveillance Teams
  • Senior Business Management
  • Technology and Operations
  • Minimum 4-6 years experience in financial services compliance monitoring role, Trade and Communications Surveillance, Middle/Back Office environment, Broker Support or Audit
  • Strong knowledge of trade and communications surveillance systems and processes
  • Strong knowledge of investing bank operating model.
  • Strong knowledge in financial products especially in FX and Fixed Income is a plus
  • Strong analytical skills and the ability to manage several simultaneous tasks.
  • Structured & fact-based decision making style
  • A self-motivated fast learner with the ability to work independently
  • A strong team player and able to engage people across all corporate hierarchies.
  • Flexible and adaptable to dynamically changing work processes and environment
  • Adaptability to work under time pressure and resiliency to provide stable and consistent performance
  • Excellent computer skills especially in standard Microsoft Office applications and Sharepoint.
  • Proven ability to communicate effectively in English at all levels both orally and in writing,
  • Competent in non English languages an advantage
  • Related professional qualification helpful

Req #: 160040103
Location: Hong Kong, HK
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 20000 Hong Kong Dollar (HKD)

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