The Hong Kong Compliance ensures the development and maintenance of a strong compliance culture in Hong Kong by developing and maintaining program infrastructure that identifies measures and monitors compliance with applicable laws, regulations and rules that govern our business. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance control environment. Hong Kong Compliance handles and provides regulatory advices, monitors compliance with applicable local regulatory requirements and manages relationships with regulators in Hong Kong.
The Licensing Team within the Hong Kong Compliance handles and provides regulatory advice on licensing and registration matters, monitors compliance with applicable local licensing regulatory requirements.
Perform day-to-day licensing and registration work covering temporary and permanent licence application and cessation.
Provide sound regulatory advice and compliance support on licensing needs and impact analysis for any ad hoc requests, inquiries and new business initiatives/projects.
Handle regulatory requests, inquiries, self-reporting incidents and investigations concerning licensing matters or licensed individuals.
Assist in Compliance Advisory team for regular and ad-hoc regulatory exams, requests, surveys, inquiries from the Exchanges, HKMA and SFC.
Assist in coordinating and preparing various compliance reporting, meeting documentations, training material, regulatory reporting, etc.
Assist in distributing the rules and regulations, assessing the impacts, and rolling out the new regulatory requirements across the impacted businesses.
Provide compliance support to business, corporate functions and other compliance teams in terms of projects, initiatives, reviews, audits, testing, etc.
Maintain good relationship with the regulators, HKMA and SFC.
Proactively engage relevant business stakeholders, line of business compliance, legal and HR where deems appropriate.
Assist in developing compliance procedures and bulletins.
Required Skills and Experience:
Internal Relationships: CIB businesses, various compliance teams, legal and other corporate and control functions within the JPMC Group.
External Relationships: The Hong Kong regulators - HKMA and SFC
Fluent written and spoken English
Native written and spoken Cantonese
Degree qualified with minimum 5 years of relevant experience gained within banking, financial, legal, compliance, regulatory or audit environment
Previous experience on HK licensing and/or business advisory an advantage
Sound knowledge of Hong Kong licensing rules and regulations, financial products, and awareness of financial regulatory environment
Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff
Strong analytical and problem-solving skills
Ability to work independently
A team-player, self-motivated fast learner
Control-focused, detail oriented, organized and efficient
Ability to determine priorities, multi-task, work under pressure and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment
Flexible and adaptable to dynamically changing work processes and environment
Proficient with Microsoft Excel, PowerPoint and Access database an advantage
Internal Number: 5243349
About J.P. Morgan
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