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Associate / Vice President - Compliance Monitoring and Testing

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 & Corporate Banking; Financial Services for consumers, small business and commercial banking; financial transaction processing; asset management and private equity.


Business Description

Global Compliance & Regulatory Management 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.


Policies and Practices is a newly constructed unit within the Asia Compliance & Regulatory Management team with 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. The Compliance Testing Team is established in the region with presence in Australia, China, Hong Kong, India, Japan and Singapore.


Job Description

The Compliance Testing Team is responsible for the timely and effective management and execution of the Regional Compliance testing program.  As a member of the Asia Pacific Compliance Testing team, the individual reports into the Asia Pacific Head of Risk Assessment, Monitoring and Testing, and is based in Hong Kong.  The individual would have an audit or compliance monitoring/testing background with a strong risk and control mindset, and is responsible to assess compliance with regulations and policies through reviews across the Corporate and Investment Banking division. Main responsibilities include:

  • Designing work programs and executing steps, meeting deadlines to evaluate compliance with rules and regulations.
  • Interacting with senior heads of business and compliance as part of scoping, control design assessment, reporting findings and offering solutions to address control gaps or enhance processes.
  • Working on several projects at any one time with different individuals.
  • At least 6 years of audit, compliance testing or monitoring, or relevant Compliance experience.
  • While not a prerequisite, fluency in written and spoken English and Korean or Mandarin will be highly advantageous.
  • Passion for technical compliance and be interested in conducting wide-scale investigative reviews.
  • Have a good appreciation of the regulations applicable in APAC.
  • Highly detail-oriented, motivated, intellectually curious individual with outstanding time-management, analytical and communication skills
  • Quick and sharp individual who relishes the challenges of understanding and interpreting regulations and processes across different businesses and jurisdictions.
  • Strong communication, interpersonal and influencing skills.  The candidate should have the ability to establish credibility and strong partnerships with senior business leaders, control functions and corporate partners globally.
  • Excellent written skills, and ability to prepare clear, concise reports with minimal supervision.
  • Expect to travel to other locations as required.
  • Have an audit and / or relevant industry qualifications, or a university degree.
Req #: 150117116
Location: Hong Kong, HK
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 20000 Hong Kong Dollar (HKD)

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