The Asia Pacific Regional Compliance Department is seeking a high calibre individual to join our Compliance Surveillance team.
Reporting to the Surveillance Manager in Hong Kong, the candidate, utilizing the surveillance tools, will be responsible for conducting communications and trade surveillance across various Lines of Business (LOB).
The candidate will be empowered (within the boundaries of a case officer) to exercise sound business judgments and take ownership to ensure his / her cases are adequately managed in accordance with the operational level of agreement.
The role also offers the candidate excellent opportunities to forge professional relationships with various stakeholders and further develop their knowledge on various products such as Equities, Futures & Options, Fixed Income, Commodities, FX offered by JPMorgan Chase.
The surveillance service footprint in Asia Pacific includes, but not limited to Australia, Hong Kong, India, Japan and Singapore.
This is a professional position with significant potential for career development for the right individual who can demonstrate the highest level of standards & integrity, relevant skill sets, aspiration to succeed as a compliance professional and who is determined to contribute in making a positive difference in the Regional Compliance Surveillance team.
The key roles and responsibilities would include but not limited to :
Communication and Trade Surveillance System Analysis, Testing and Design
APAC Compliance Surveillance team uses proprietary, third party vendor and ad hoc targeted review schemes as part of the broader function.
These processes and systems require regular maintenance that might involve system upgrades, modifications, and occasionally UAT testing as a result of technical issues, prevailing business or market conditions.
All members of the team are expected to render either individual or joint effort with other team members’ contribution to systems analysis, testing and report design depending on the specific area of coverage.
In addition, the candidate is expected to exercise own discipline to attend regular or ad-hoc audio conferences where required.
General Admin, Reporting, and Process Document Maintenance
In addition to owning the normal BAU (business as usual) activities, there are other tasks that are administrative in nature to be assigned to the candidate such as document & report administration for the team.
These are generally executed as part of the extended tasks or areas of responsibilities.
Scope of potential contacts and stakeholders
a good understanding of the FICC products is desirable but not essential.