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VP, Coverage Strategy Investigations Monitoring and Surveillance

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

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.

Job Description

  • Work with the head of CS&I to develop and execute a Surveillance Coverage Strategy and Investigations plan for the region and lead investigations from a Surveillance perspective
  • Conduct thematic/ focused reviews based on analysis of market conduct risks and work with the Alert Surveillance team to adapt the program as required
  • Engage and challenge the team, developing and ensuring breadth and depth of bench strength
  • Develop and implement consistent procedures and disciplined controls
  • Drive reviews/ investigations through to conclusion while enhancing and developing the control culture of the firm

This is a newly created position in response to J.P. Morgan’s continued expansion of its monitoring and surveillance team in Hong Kong. The role will suit a Senior Vice President with a passion to work in the monitoring and surveillance space and a talent for identifying and managing market conduct issues. You will be an experienced manager with a track record in monitoring and surveillance, or a demonstrated risk environment.


Within Compliance your key relationships will be with Line of Business (LOB) 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 regional head of CS&I
  • global liaison with leads in other regions
  • deep markets knowledge across asset classes in APAC and strong awareness of other key global markets
  • champions risk-based surveillance approach to identify breaches of law, regulation or policy
  • disciplined control focus to execution in compliance with relevant policies and procedures
  • dynamically adjust risk priorities based on enforcement actions, market and JPM structure changes and feedback from other groups
  • work closely with Asset Mgmt and Private Bank surveillance teams
  • provide input into development of business and Compliance policies 

Essential Skills/Experience:

  • Minimum 10 years product, regulatory or risk management experience gained within a financial institution or regulator
  • Strong knowledge of surveillance systems and processes
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with compliance colleagues across the region
  • Demonstrated knowledge of the investigation process
  • Strong analytical, problem-solving and organizational skills and the ability to manage several simultaneous projects
  • Well developed leadership skills with a demonstrated ability to grow and encourage career development within the team
  • Excellent business judgment and strategic thinking
  • Proven ability to communicate effectively in English at all levels both orally and in writing,
  • Ability to deliver high quality results as part of a geographically dispersed global compliance team
  • Familiar with the three lines of defence model and focused on culture and conduct issues

Education/professional qualifications:

  • Law degree or other closely related professional qualification helpful

Language Requirements:

  • English
  • Knowledge of Asian languages an advantage
Req #: 160026056
Location: Hong Kong, HK
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 40000 Hong Kong Dollar (HKD)

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