JPMorgan APAC Asset & Wealth Management Compliance Conduct 

China, Hong Kong, Hong Kong Island 

381908726

Job Responsibilities:

• Lead a high-performing team that conducts Independent Second Line oversight over the HK business activities which include online direct retail sales, mutual funds (including ETFs) sales distribution through third party financial intermediaries and platforms, investment management and dealing activities across equity, fixed income, money market and multi-asset strategies.
• Act as the primary contact for regulatory engagement with Hong Kong Securities & Futures Commission (HKSFC), Mandatory Provident Fund Authority (MPFA) and other relevant regulatory bodies for day-to-day matters and onsite inspections.
• Represent JPMorgan Asset Management in industry associations such as Hong Kong Investment Funds Association, ASIFMA
• Partner closely with business personnel to ensure regulatory changes are implemented on a timely basis, including regulations impacting US Registered Investment Advisers
• Assess compliance and operational risks for new products and business initiatives through the New Business Initiatives Approval process.
• Engage with other regional or location CCOR counterparts to provide oversight over activities involving Mutual Fund Recognition programs (with China), cross-region investment delegation for segregated mandates etc
• Provide oversight of Korea onshore client advisors’ coverage of intermediaries and institutional clients.
• Implement the firm’s operational risk management framework to independently assess the operational risks and control environments, through qualitative and quantitative means, including periodic Hong Kong legal entity assessments, review of performance against key indicators and relevant deep dive reviews.
• Drive the CCOR monitoring program and collaborate closely with the first line of defence centralized Testing team to define the quarterly testing plans and testing approaches, including liaising with key business stakeholders on the results of any monitoring and testing activities.

Required Qualifications, Capabilities, and Skills:

• Minimum 15 years of experience in a compliance, control or audit role within an asset management business
• Extensive knowledge of relevant laws and regulations including but not limited to those issued by the HKSFC, MPFA, US Securities & Exchange Commission etc.
• Excellent interpersonal and communication skills including effective interaction with senior management
• Strong influencing and stakeholder management skills with the ability to drive change
• Solid command of written and spoken English

Preferred Qualifications, Capabilities, and Skills:

• Experience in managing or leading teams, or demonstrated ability in leadership roles would be preferred