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Compliance Testing Associate - Hong Kong

Req #: 180014809
Location: Hong Kong, , HK
Job Category: Compliance
Job Description:
JP Morgan Chase
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at http://www.jpmorganchase.com/.
 
Our Compliance Function
With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face.  The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.
 
Compliance Testing
The Compliance Testing Team is responsible for the management and execution of the Compliance testing program. Compliance Testing is is a risk-based point-in-time assessment of the effectiveness of key preventative and detective controls, and output of key compliance related processes owned and executed by Line of Businesses and Corporate Groups including those performed and managed by third parties where applicable, to mitigate Compliance-relevant Risk.
 
The Asia Pacific Compliance Testing Team is established in the region with presence in Hong Kong, Singapore, Australia, China, India, and Japan. We are looking for an experienced manager to cover Corporate and Investment Bank (CIB) and its supporting functions based in Hong Kong.  Main responsibilities include: 
  • Timely execution of the CIB Compliance Testing program
  • Conduct planning and scoping for compliance tests to identify key risk and key controls to be assessed and tested
  • Perform control design assessment and operating effectiveness testing to identify control issues
  • For identified control issues, determine the root cause and work with stakeholders to develop and implement appropriate corrective actions
  • Preparing and discussing the compliance test reports with Compliance and stakeholders in the business or control functions
  • Following up status of corrective actions to address the issues arising from testing
 
Qualifications
  • At least 6 years of audit, compliance testing or monitoring, or other relevant experience such as Compliance, risk management
  • Excellent written skills with an ability to produce well written reports and present findings to senior management
  • Strong risk and control mindset and pay attention to details
  • Ability to interpret regulations and assess compliance with the rules
  • Strong communication, interpersonal and influencing skills
  • Ability to establish credibility and strong partnerships with business stakeholders and control functions
  • Strong time management skills and able to complete tasks before deadlines
  • Highly self-motived, able to work independently under minimum supervision, and a good team player
  • Has flexibility regarding working hours as candidate might have to work with global teams or stakeholders
  • Expect to travel to other locations as required
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