Compliance Conduct Operational Risk - Fixed Income Markets - Associate - Hong Kong
J.P. Morgan
Hong Kong

Job Description

Our Compliance Department

With a diverse department of Compliance professionals supporting all lines of our business around the globe, the department is working diligently to present all business partners with innovative, thoughtful and tailored solutions to the challenges they face.

The Compliance function has a strong culture which is focused on delivering first class support to the business while providing a credible challenge where necessary.

It seeks to promote best practice, foster employee development and deliver the goals of the Firm wide Risk organisation.

Markets Compliance Team

The Markets Compliance team is responsible for setting policies, providing training and real-time interpretation of financial regulations to the APAC Markets businesses.

The team forms part of the APAC Compliance Department which covers JPMorgan’s Corporate and Investment Banking, Security Services, Asset Management and Private Banking businesses in the region.

Role Description

The team is recruiting for an Associate level position to join the Markets Compliance team, providing primary line of Business relationship management and regulatory support to the respective Sales and Trading functions of the Asia Fixed Income Business.

The business is primarily located in Singapore and Hong Kong with significant presence in various countries including China, Korea, India, Taiwan, Indonesia and Malaysia.

As the individual who takes on this role, you will assist us in managing the compliance risk associated with operating the business in Asia, working closely with other functional partners and Compliance Officers across the region whilst coordinating globally.

Your role is to provide compliance coverage to the North Asia Fixed Income Business.

As a Markets Advisory Compliance Officer, you will be responsible for :

  • Assessing the impact of new financial regulations and developing appropriate Compliance policies and procedures, and keeping them up to date;
  • Accessing regulatory and compliance risks inherent in existing and new product and business activities;
  • Providing robust credible challenge to senior management and all relevant business stakeholders;
  • Providing timely regulatory compliance advice, real-time interpretation of internal Compliance policies and procedures in response to ad hoc enquiries from the business;
  • Coordinating and liaising with other compliance groups as well as control functions to initiate, and deliver control process enhancements where required;
  • Investigating and resolving escalation alerts from Compliance Surveillance and self-escalations from the business;
  • Designing and performing risk based Compliance monitoring tests;
  • Preparing and conducting Compliance training materials in Hong Kong and across Asia;
  • Representing APAC businesses in regional and global Compliance working groups to communicate APAC issues as well as stay abreast of Global Compliance Program; and
  • Coordination and liaison with APAC countries and corporate compliance groups as well as other corporate control functions such as business management, controls, audit, tax and finance as required.
  • Experience / Qualifications

  • The successful candidate should be familiar with FICC market structures, products (specifically FX and Rates vanilla and structure products) and the applicable US and APAC laws and regulations.
  • Minimum 5+ years of experience within a financial institution in the Asia Pacific Region with coverage in relevant fixed income products;
  • Familiar with sales and trading compliance risks, such as management of conflicts of interest, prohibition of market manipulation and insider dealing, mis-selling;
  • The successful candidate will be expected to manage relationships with the businesses at all levels, including senior management.
  • They must be able to think on their feet , provide live’ regulatory interpretation and decisions to the business, often in high profile and / or time constrained situations;
  • Able to work independently, and having sufficient experience to know when to escalate an issue is essential. Being proactive, able to think critically about the information presented to them, comfortable with subjective situations, and ready to ask appropriate questions and effectively challenge where needed;
  • The successful candidate must be a good team player and will be expected to provide cross coverage of the other areas covered by North Asia FICC Compliance;
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business leaders;
  • Strong analytical, problem-solving and organizational skills, as well as the ability to manage several multiple projects simultaneously;
  • Proven ability to communicate effectively in English at all levels, both orally and in writing;
  • Strong sense of ownership and responsibility;
  • Ability to multi-task, prioritise and project manage complex issues; and
  • Inquisitive with an excellent keen eye for to detail.
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