AVP - Asia Equities Compliance

Equities Compliance, Associate

As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities.  Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

Who we are:

Our Compliance, Conduct and Operational Risk (“CCOR”) organisation is at the forefront of managing risk in a complex and changing regulatory environment. Joining our department, you’ll help to safeguard the firm’s business by developing solutions that balance risk and regulatory requirements with the firm’s business needs.                       

Our Compliance teams work globally, across all lines of business. Compliance is part of the 'second line of defence' and is a critical part of the firm's control framework. We will provide input on new business strategies, product lines, policies and education, operational processes, risk mitigation and control.

Your future team:

As the individual who takes on this role, you will be part of the Asia Equities Compliance team based in Hong Kong and Singapore. You will assist us in assessing and managing the compliance risk and controls associated with operating the Equities business in Asia, and working closely with Compliance Officers and other control functions across the region whilst coordinating globally to build and maintain control mechanisms in compliance with relevant laws and regulations. 

What you will be responsible for:

• Assist with the compliance advisory and coverage responsibility for the Equities business in APAC
• Participating in the planning, executing, and reporting of regular or thematic compliance reviews and monitoring on APAC Equities business;
• Identifying compliance issues through the reviews, ensuring that appropriate actions are being taken by the business or other relevant stakeholders to correct the deficiencies noted;
• Assist in collating regulatory updates, development and inquiries in the region;
• Assist in the design, development, implementation and ongoing operation of the Compliance program;
• Coordinate with relevant Compliance and control functions to prepare regular Management Information reports for various internal governance forums;
• Liaise with country and corporate compliance groups as well as other corporate control functions such as Business Controls, Operations, Technology, and Legal as required.

What skills and experiences we are looking for:

• Bachelor’s degree; minimum 5 years of experience within a financial institution in the Asia Pacific Region;
• Familiarity with Asia markets, and Equities business activities and processes preferred;
• Experience in planning, executing, and reporting on compliance monitoring and regulatory issue validation activities is a plus;
• Proven ability to communicate effectively in English with people across all corporate hierarchies, both orally and in writing; 
• A self-motivated fast learner with the ability to work independently and as part of a team;
• Strong analytical, problem-solving and organizational skills, as well as the ability to manage several simultaneous projects;
• Strong sense of ownership and responsibility;
• Inquisitive with a keen eye for details.

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.