JPMorgan Asset Management (\"JPMAM\") is a global leader in investment management, offering world-class products and services to institutional and individual investors. Our diverse portfolio includes Fixed Income, Equity, Alternatives, Passive Investments, Multi Asset Solutions, and Currency. We are committed to delivering exceptional results and innovative solutions to our clients.
As a Vice President/Senior Associate within the Investment Compliance team, you will play a pivotal role in ensuring the integrity, compliance, and accuracy of our investment guidelines in the APAC regions covering Hong Kong, Japan, and Taiwan. You will collaborate closely with portfolio managers, traders, compliance and risk team and client advisors, driving strategic programs and overseeing the end-to-end guideline process. This is an exciting opportunity to make a significant impact on our investment operations and contribute to our global success.
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Job responsibilities:
- Lead, mentor, and develop a high-performing team responsible for investment guideline monitoring coding
- Provide expert guidance on guidelines interpretation and control frameworks across various investment product types
- Perform daily pre trade and post trade compliance and control checks to ensure guideline accuracy, regulatory adherence, and risk mitigation across Taiwan, Hong Kong, and Japan
- Communicate effectively, record potential compliance and control issues, and swiftly identify resolutions
- Conduct root cause analysis and develop action plans to mitigate compliance risks, control deficiencies, and business impacts/errors
- Stay updated on financial regulations, compliance standards, and control best practices, suggesting appropriate actions to ensure adherence
- Manage and drive project initiatives, fostering a culture of continuous improvement, risk awareness, and robust controls
- Assist with audit-related activities, ensuring compliance with internal and external standards, and analyse/report compliance and control trends.
- Identify opportunities for process efficiency in compliance and control practices and present findings to the team
- Collaborate with regional teams in Hong Kong, Japan, and global counterparts to ensure alignment and consistency
- Manage people by fostering a positive team environment, providing regular feedback, and supporting professional development
Required qualifications, capabilities, and skills:
- At least 8 years of relevant experience in the financial services industry, with a focus on risk, compliance, and controls
- Excellent interpersonal skills with the ability to build strong stakeholder relationships
- Adaptability to shifting priorities and demands in a compliance and control-focused environment
- Securities Investment Trust & Advisory Association of Taipei, R.O.C. (SITCA) License or Senior Broker License is required
- Proven team player, and self-starter with strong operational, compliance, and control skills
- Strong analytical skills with attention to detail and sound judgment in risk assessment and control evaluation
- Creative thinking and a track record of implementing innovative compliance and control solutions
- Effective problem-solving abilities in a compliance and control context
- Proficiency in spoken and written English
Preferred qualifications, capabilities, and skills:
- Experience in Asset Management or Securities Services with a focus on compliance and controls
- At least 5 years work experience in Guideline monitoring/Investment compliance experience related roles
- Experience of managing a team
ABOUT US
J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
ABOUT THE TEAM
J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.