VP - Global Wealth Management Compliance - J.P. Morgan - Hong Kong

Job description
Job Purpose
To manage Banking Compliance function for the Private Banking Asia Regional offices by preparing relevant Compliance policies, providing regulatory advice/ interpretations, Compliance training, managing the overall business relationships with regulators and perform surveillance monitoring and testing.

Advisory

Provide compliance and regulatory advisory on an ongoing basis, focusing on investment products [such as Equities, Derivatives, Fixed Income, Funds, Alternative investments, Foreign Exchange], Credit, Deposits, Trusts etc. for Asia Private Banking region
Knowledge of the Hong Kong and Singapore regulations [e.g. SFC and HKMA, MAS regulations] and provide advice to business, support functions and other core compliance team on existing and new regulations
Review and provide Compliance approval for new business initiatives, operational procedures and major operational and system changes
Develop compliance policies and procedures

Training

Provide training to Private Banking Asia regional business staff and promote compliance culture

Monitoring/ Testing

Conduct periodic surveillance monitoring program
Participation in self assessment and testing reviews
Review and approve external marketing materials

Regulators

Assist in handle regulatory enquiries and investigations
Assist in coordination/ management of regulatory inspections

Other

Develop a network of Compliance officers in peer institutions to compare and contrast best practices and industry focus
Provide timely reporting on Compliance issues to business and Compliance management, as appropriate

Job Dimensions

Internal Relationships:

Private Bank business staff throughout Asia, with primary offices in Hong Kong and Singapore
Risk Management, Technology and Operations, Finance and Audit
Private Bank L&C in Asia, US, EMEA and LATAM

External Relationships:

Counterparts at other Institutions
Securities Regulators - SFC, HKEx, MAS
Banking Regulators - HKMA, MAS

Qualifications

Language Skills:

English
Fluent Cantonese preferable, Mandarin an advantage

Experience:

4-6 years investments market experience, either at SFC, HKMA, MAS or at a significant financial institution in Asia
Law degree or other closely-related professional qualification preferred
Preperably good product knowledge
Strong communications skills in English
Good Analytical and problem-solving skills
Project management skills
Control-focused

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