Associate/ Vice President, Compliance Officer/ Manager, Employee Compliance, Hong Kong

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • J.P. Morgan
  • 15 Nov 18

Associate/ Vice President, Compliance Officer/ Manager, Employee Compliance, Hong Kong


Purpose of Position and Function:
The Employee Compliance team is responsible for managing compliance risk management programs related to key employee related regulatory risk. The role includes reporting to relevant governance committees and/or senior management in relation to the Employee Compliance Program and/or employee related regulatory risks, designing and executing risk mitigation strategies, developing and conducting training, managing internal audit and relevant regulatory exams. The function is also responsible for the provision of advice, implementation of policies and/or controls, development/provision of training and oversight of operational processes relating to Code of Conduct (CoC), Personal Account Dealing (PAD), Licensing and Registrations (L&R), Anti-Bribery and Corruption (ABC) and Consecutive Leave (CL) across all Line of Business (LOBs) and locations in APAC.

Key Responsibilities:

As an Associate, your key responsibilities will include the following:

  • Covers various advisory functions related to Personal Account Dealing, Licensing & Registration, and Consecutive Leave.
  • Coordinate with global and regional Compliance teams on Policy rollout and strategic initiatives within Global Employee Compliance area.
  • Work with global PMO, Technology, and regional Compliance leads to implement the global strategic platforms in APAC
  • Monitoring employee trade data to determine compliance with the Firm's personal account dealing policies and Location/Line of Business requirements. This includes:
    • Process employees' pre-clearance on personal trades and private investments
    • Investigate and follow-up with the Employee, Location/Line of Business Compliance and Management to ensure closure of potential violations, discrepancies and issues.
    • Report trading activity and violations to Location/Line of Business Compliance and Management.
  • Conduct employee training on the Employee Compliance related policies and rules.
  • Demonstrated project management experience
  • 5-8 years' experience in compliance, risk management, or regulatory related function in the financial services industry
  • Experience interpreting regulation and implementing regulatory controls
  • Bachelor's degree, preferably in law, business, or finance
  • Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff.
  • Ability to prioritize, multi-task, work under pressure and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment.