Compliance Surveillance Associate jobs at Jpmorgan in China, Hong Kong Island

• Language (Mandarin/Cantonese/Japanese preferable), since this role will engage with clients in the locations

Join J.P. Morgan’s Corporate Equity Derivatives Marketing team as an Associate, where you will play a crucial role in supporting the origination and execution of strategic equity derivative solutions for clients. This position offers an exciting opportunity for career growth and development within a collaborative and innovative team. You will work closely with internal partners to deliver comprehensive solutions and contribute to the development of innovative hedging and financing strategies.

As an Associate in the Corporate Derivatives Marketing team, you will be instrumental in supporting the team’s origination and execution efforts. You will assist in managing client relationships, collaborate with internal partners, and contribute to the development of innovative hedging and financing solutions for clients. This role is vital to the firm’s success and offers a chance to make a significant impact.

Job Responsibilities:

• Support the origination and execution of corporate equity derivative transactions.
• Assist in building and maintaining strong client relationships.
• Work closely with Corporate and Investment Banking, Wealth Management, and other internal teams to manage risks and deliver comprehensive solutions.
• Contribute to the preparation and delivery of client presentations and marketing materials.
• Conduct in-depth market research and analysis to support strategic decision-making.

Required Qualifications, Capabilities, and Skills:

• Bachelor’s degree required.
• 4 years of relevant experience in equity and/or equity derivatives.
• Strong understanding of equity derivatives and related financial products.
• Proven ability to support client relationship management.
• Excellent communication and teamwork skills.
• Ability to thrive in a fast-paced environment and adapt to market changes.
• Strong analytical and problem-solving capabilities with high attention to detail and accuracy in work.

Preferred Qualifications, Capabilities, and Skills:

• Experience in strategic marketing within the financial sector.
• Strong organizational skills and ability to manage multiple priorities.
• Familiarity with legal, tax, and accounting principles applicable to equity derivatives.

You will be part of a global organization providing 24-hour service across 37 markets, supporting both equity and fixed income securities lending. Our team is dedicated to operational excellence, innovation, and continuous growth. Your role will help us expand our reach and deliver outstanding results for our clients.

Job responsibilities

• Provide operational support for Securities Lending and Cash Reinvestment Trading desks
• Monitor client sales and ensure adequate inventory for settlement
• Assist trading desks with recalls, swaps, proxy events, buffer management, Morgan Stanley Capital International (MSCI) rebalance and client transitions
• Oversee securities lending trades to ensure timely settlement and resolve issues with counterparties and agent banks
• Manage corporate actions and manufactured income events, providing oversight and escalation for Asia Pacific
• Process and monitor reinvestment desk trades to ensure settlement
• Maintain sufficient collateral for stock on loan, including cash, non-cash collateral, and bilateral repurchase agreements
• Review and report daily compliance data
• Deliver metrics and commentary to senior operations managers
• Train and develop junior staff members
• Drive efficiencies and support automation using digital tools such as Alteryx, Xceptor, Tableau, and Python

Required qualifications, capabilities, and skills

• At least 4 years of experience in Securities Lending, Collateral Management, Corporate Actions, Settlements, Trade Support or Middle Office related roles
• Sound knowledge of global financial markets
• Proven ability to work in a dynamic operations environment under pressure and to strict deadlines
• Demonstrated history of process improvements
• Strong understanding of Microsoft Excel
• Controls-focused mindset
• Prior experience with workflows of a custodian
• Bachelor’s degree

Preferred qualifications, capabilities, and skills

• Bachelor's Degree will be beneficial
• Exposure to digital tools such as Alteryx, Xceptor, Tableau, and Python
• Strong analytical and problem-solving skills
• Experience driving automation and control improvements

Job responsibilities

• Lead the testing team effort in assessing and monitoring compliance and operational risks, ensuring compliance with firm standards, regulatory requirements, and industry best practices.
• Lead and develop the APAC TCOE team and ensure timely and accurate execution of the testing plan, including control evaluations and end-to-end process reviews.
• Navigate regulatory and compliance landscape when defining assessment approach and strategy; ensure compliance assessment requirements across a complex regulatory environment are addressed through testing results.
• Partner with key stakeholders in Business units to perform control evaluations, and testing efforts across multiple business groups and operational functions to identify control gaps as well as opportunities for effectiveness and efficiency improvements.
• Recruit, develop and retain top risk and control talent.
• Provide coaching and mentorship to a regional team of professionals, serving as leader to the organization.
• Collaborating with other business testing leads to ensure consistency and identify integration points.
• Participate in TCOE improvements and transformation as the organization develops and matures during its early stages.

Required qualifications, capabilities and skills

• Solid knowledge and experience of the multiple sub-lines of business across the APAC region, including their processes and controls.
• Demonstrated knowledge of risk management frameworks, regulations, and industry best practices within the APAC region.
• Solid experience or equivalent expertise in risk management, audit, compliance, control management or a related field with a strong understanding of industry standards.
• Experience in leading geographically diverse teams with a range of levels.
• Proven stakeholder management and ability to influence and drive at a senior executive level.
• Demonstrated ability to analyze complex issues, develop and implement risk mitigation strategies, and effectively communicate recommendations based on regulatory guidance and standards.
• Expertise in working with large sets of data and information to drive informed decisions.
• Ability to effectively provide team guidance and set clear direction to manage competing priorities while driving focus on targeted execution.

Preferred qualifications, capabilities, and skills

• Experience in Internal or External Audit, compliance or control management .
• Data analytical tools such as Tableau, Alteryx or Python.

Join J.P. Morgan's HK IPO Regulatory Oversight and Documentation team within Hong Kong IPO and Corporate Finance group as an Associate, where you will work alongside experienced professionals at a leading global investment bank. This role offers a unique opportunity to support high-profile HK IPO deals across various industries. As a key member of the team, you will assist in the deal life cycle, focusing on due diligence activities and regulatory requirements while helping to maintain J.P. Morgan's reputation in the marketplace. You will develop foundational skills in major areas of investment banking and contribute to strategic advice during the execution process. Become part of our inclusive teams and culture, unified by the firm’s mission and commitment to success.

Job Responsibilities:

• As key member in HK IPO Regulatory Oversight and Documentation team in ensuring compliance with regulatory requirements and internal governance and control frameworks with evolving regulatory expectations
• Participate in deal execution by assisting with due diligence scope and protocol during the execution process, with opportunities to engage directly with clients and participate in client meetings.
• Work with Sponsor Principals to identify and resolve specific issues during the execution process and assist in implementing new internal standards based on evolving market developments and regulatory frameworks.
• Support regulatory inspections and internal audits on behalf of the HK IPO and Corporate Finance team, ensuring compliance with all legal and regulatory requirements.
• Proactively develop internal documentation requirements and ensure high-quality documentation practices
• Support HK IPO and Corporate Finance team, focusing on the specific needs and objectives of the team.

Required Qualifications, Capabilities, and Skills:

• Bachelor’s degree in Finance, Economics, or other related fields.
• 4 years of work experience in an investment banking front office or related role.
• Close attention to detail and ability to deliver output of a high standard.
• Ability to work independently and as part of a team.
• Proficiency in Chinese and strong communication and written skills in English.
• Ability to deliver quality under pressure.
• Strong emphasis on good partnership and a control-conscious team-working environment.
• Demonstrate self-motivation and initiative, with a strong desire to learn the business.

Preferred Qualifications, Capabilities, and Skills:

• Proficient in PPT, Excel is a plus
• Prior experience in investment banking or related financial services.
• Demonstrated ability to develop and maintain strong client relationships.
• Experience in collaborating with cross-functional teams, including ECM, corporate finance, legal, and compliance teams.
• Knowledge of the regulatory backdrop and services related to IPOs is a plus.

As an Equity Research Associate/Vice President within the Basic Materials Team, you will collaborate with colleagues to provide thought leadership to institutional clients. Your role will involve maintaining valuation models, preparing research reports, and communicating with investors and company representatives. You will stay abreast of industry developments and handle client requests efficiently.

Job Responsibilities:

• Provide thought leadership to institutional clients in the Basic Materials sector.
• Maintain and update valuation models and databases.
• Prepare materials for regular publication of research reports.
• Contribute to writing research reports, including quarterly results alerts and stock reports.
• Communicate with institutional investors, company representatives, and internal clients.
• Stay informed about company and industry developments.
• Handle day-to-day client requests and needs efficiently.

Required Qualifications, Capabilities, and Skills:

• Bachelor's degree in Business, Finance, Engineering, or Journalism.
• 5 years of experience in Equity Research or a similar analytical role.
• Proven track record of relationship-building skills.
• Extensive experience in the materials or related sector.
• Strong understanding of financial statements analysis.
• Advanced proficiency with Microsoft Word, PowerPoint, and Excel.
• Strong work ethic and commitment to delivering high-quality results.
• Outstanding communication skills for producing high-quality reports and presentations.

Preferred Qualifications, Capabilities, and Skills:

• Ability to utilize AI tools and technologies for data analysis and insights.
• Existing client relationships will be highly valued.