Equities Compliance

1 month ago

Singapur, Singapore JPMorgan Chase & Co. Full time

As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

This is a great opportunity to be a part of the Equities (futures and options) compliance team

Job Summary:

As the individual who takes on this role, you’ll be centrally involved in all aspects of the financial product sales, trading and clearing. You’ll work as part of a team that gives advice to internal stakeholders on the impact of regulatory requirements. You’ll also provide input on new business strategies, product lines, policies and education, operational processes, risk mitigation and control. This role will have a specific focus on assisting the regional Equities Compliance team cover Futures and Listed Options Execution and Clearing business, which has its hub in Singapore with significant presence across Asia locations.

Job responsibilities

Compliance coverage responsibility for the Equities business regionally, with a general focus on Futures and Listed Options Execution and Clearing; Ongoing assessment of regulatory and compliance risks inherent in existing and proposed business activities and initiating, coordinating and delivering process enhancements where required. Deal with regulatory updates, development and inquiries in the region; Liaise with Global Compliance counterparts in order to communicate APAC issues as well as stay abreast of global initiatives; Review new products and initiatives from Compliance perspective; Assist in the design, development, implementation and ongoing operation of the Compliance program; Prepare and deliver Compliance training materials in Hong Kong and across Asia; Draft and manage the roll out of Compliance policies, procedures and guidelines and any associated requirements. Liaise with country and corporate compliance groups as well as other corporate control functions such as Operations, Technology, Finance, Tax and Legal as required.

Required qualifications, capabilities, and skills

Bachelor’s Degree in Finance, Economics or other related disciplines Minimum 8 years of experience within a securities firm, bank or an equivalent financial institution in the Asia Pacific Region, with experience in equities products Familiarity with Futures and Options Execution and Clearing business and knowledge of related regulations highly preferred Excellent interpersonal and influencing skills, with the ability to establish credibility and partnership with senior business leaders Analytical, problem-solving and organizational skills, as well as the ability to manage several simultaneous projects Ability to multi-task, prioritize and project manage complex issues Ability to work independently and as part of a team Inquisitive with a keen eye for detail.

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