Asset Management Investment Advisory Compliance - Vice President - Hong Kong
JPMorgan Chase and Co
Hong Kong

Job Description

Asset Management Compliance :

The Hong Kong Asset Management Compliance team is part of Asset and Wealth Management (AWM) Compliance, supporting the business with respect to the offering of asset management products such as collective investment schemes (mutual funds, ETFs etc) and discretionary management services (eg segregated accounts, customized mandates).

These products and services are offered from a full spectrum of investment strategies from equity, cash management, fixed income, currency and asset allocation to alternative asset classes such as private equity and real estate.

The Compliance team is the independent second line function driving and implementing the firm-wide Compliance, Conduct and Operational Risk programs.

Responsibilities :

Driving and executing the independent Second Line oversight over the firm’s investment management / trade related process with a focus on Fixed Income, Money Market products and ESG investment strategies.

This role will involve close engagement with global / other regional compliance leads and the APAC business functions, including but not limited to personnel in investment teams, dealing desks, trade support and guideline monitoring.

The scope of second line oversight includes :

  • Advising and keeping business personnel abreast of regulatory changes and application of such requirements, as well as partner with relevant business functional groups to implement associated controls
  • Provide compliance assessment of new products and new business initiatives tabled through the firm’s New Business Initiatives Approval process
  • Support / co-ordinate with other teams on compliance and controls related initiatives to manage and mitigate compliance risks including Compliance Risk Assessment, provide independent credible challenge and error remediation efforts
  • Provide additional advice in relation to investment compliance to the onshore China business.
  • In addition, this role will be expected to work closely with the onshore China compliance team on products / initiatives that involve China-Hong Kong touch points, such as QDII, QFII, etc to ensure robust implementation of controls and second line program across the differing regulatory regimes and the end-to-end process.

    Qualifications :

  • 10+ years of relevant experience in a compliance or control role, with demonstrable technical knowledge in Asset Management compliance
  • Solid knowledge of SFC and MPFA regulations applicable to investment management and with a strong ability to interpret regulations
  • Strong analytical, communication and negotiation skills. The candidate should have the ability to establish credibility and strong partnerships with business leaders, control functions and corporate partners.
  • Good working knowledge and understanding of compliance function activities
  • Fluent in English and Chinese. Proficient in Mandarin is an advantage due to working with clients and stakeholders in mainland China
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