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VP, Hong Kong Compliance

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.

 

Hong Kong Compliance ensures the development and maintenance of a strong compliance culture in Hong Kong by developing and maintaining program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and rules that govern our business. 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.

  • JOB PURPOSE
    • To manage compliance risk for the HK market by providing advice, training, and managing relationships with regulators.

KEY RESPONSIBILITIES

 

  • ADVISORY
    • Provide regulatory advisory and compliance support to business, support functions and other compliance teams.

    • Assist in coordinating and managing consultation exercises and industry group discussions.

    • Assist to review and sign-off new business initiatives documents, operational procedures and major operational and system changes.

    • Assist in rolling out the new regulatory requirements across the impacted businesses.

    • Develop compliance policies and procedures

  • REGULATORS
    • Contact person with the HK regulators.

    • Drive HK regulatory projects, applications.

    • Assist in handling regulatory enquiries and investigations.

    • Assist in managing regulatory inspections

  • TRAINING
    • Provide training and promote compliance culture
  • OTHER
    • Develop a network of Compliance officers in peer institutions

    • Provide timely reporting on Compliance issues to business and internally as appropriate.

  • MAJOR ACCOUNTABILITIES

    • Prompt escalation of identified Compliance issues to Head of HK Compliance and business management.

    • Regular, effective delivery of training in accordance with the program.

  JOB DIMENSIONS

  • Internal Relationships:
    • Markets Compliance
    • Operations, Finance, IT.
  • External Relationships
    • HK Regulators - SFC, HKMA, HKEx, HK Clearing Houses
    • Counterparts at other Institutions

  • Language Skills:

    • English
    • Fluent Cantonese preferable, Mandarin an advantage.

  • Experience:
    • Minimum 8 years Hong Kong Markets compliance experience

    • Solid knowledge in the SFC regulations and financial products

    • Law degree or other closely-related professional qualification

    • Preferably good product knowledge
    • Strong communications skills in English and team work

    • Good analytical and problem-solving skills

Req #: 160039415
Location: Hong Kong, HK
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 40000 Hong Kong Dollar (HKD)

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