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Vice President, Compliance Surveillance (Equities Lead), APAC

Req #: 180015893
Location: Hong Kong, , HK
Job Category: Compliance
Job Description:
JPMorgan Chase is a global leader in the financial services industry, offering intelligent solutions across comprehensive and cutting edge global product platforms.  You will be surrounded by talented and self driven individuals like yourself, who in line with the highest standards of integrity, combine innovation and analysis to achieve industry leading results and recognition in accordance with the business principles fundamental to our success.
The Asia Pacific Regional Compliance Department is seeking a high calibre individual to join our Compliance Surveillance team.  Reporting to the APAC Trade Surveillance Lead in Hong Kong, the candidate, utilizing the surveillance tools, will be responsible for conducting communications and trade surveillance on Equities.  The candidate will be empowered (within the boundaries of a case officer) to exercise sound business judgments and take ownership to ensure his/her cases are adequately managed in accordance with the operational level of agreement.  The surveillance service footprint in Asia Pacific includes, but not limited to Australia, Hong Kong, India, Japan and Singapore. 
This is a professional position with significant potential for career development within the Asian franchise of JPMorgan Chase and it is only offered to the chosen few who possess the highest level of standards & integrity, relevant skill sets, aspire to succeed as a compliance professional and are determined to contribute in making a positive difference in the Regional Compliance Surveillance team.
The key roles and responsibilities would include but not limited to:
  • As equities surveillance product lead, you will be managing  a team of surveillance analysts in conducting surveillance in accordance with JPM’s global and regional procedures.
  • Use trade/communication surveillance tools to analyze system generated alerts across various platforms within the firm and escalate any potential breaches of policies applicable relevant laws and regulations. 
  • Partner effectively with the other Surveillance leads within the region and globally covering equities and other asset classes.
  • Use management skills to develop and implement consistent processes and disciplined controls, as well as being informed around regulatory / exchange rules.
  • In consultation with the Team and Surveillance Lead, refer or escalate any unusual or suspicious cases during the course of alert reviews to the relevant LOB / Country Compliance officers and/or other counterparties in accordance with the defined operational process.
  • Ensure escalated cases are followed up and documentations are updated in our case register in a timely manner.
  • Participate in market conduct related investigations, systems UAT testing and occasional night-calls as required.
  • Attend meetings and present escalated cases as required.
  • Assist in establishing internal control processes and developing/updating procedures.
Communication and Trade Surveillance System Analysis, Testing and Design
AP Compliance Surveillance team uses proprietary, third party vendor and ad hoc targeted review schemes as part of the broader function. These processes and systems require regular maintenance that might involve system upgrades, modifications, and occasionally UAT testing as a result of technical issues, prevailing business or market conditions. All members of the team are expected to render either individual or joint effort with other team members’ contribution to systems analysis, testing and report design depending on the specific area of coverage.  In addition, the candidate is expected to exercise own discipline to attend regular or ad-hoc audio conferences where required.
General Admin, Reporting, and Process Document Maintenance
In addition to owning the normal BAU (business as usual) activities, there are other tasks that are administrative in nature to be assigned to the candidate such as documentation, quality control & report administration for the team. These are generally executed as part of the extended tasks or areas of responsibilities.
 Scope of potential contacts and stakeholders      
  • Regional LOB/Core Functional Compliance Teams
  • Various Country Compliance
  • US and  EMEA Surveillance Teams
  • Senior Business Management
  • Technology and Operations
Key Skills & Experience
  • You will have 4 to 5 years’ experience in equities trade surveillance at a Tier 1 bank, broker or regulator.
  • You will have some management experience, ideally within a surveillance or equity markets compliance role.
  • Proven expertise using SMARTs as well as a good working level knowledge of Bloomberg or Reuters.
  • Good knowledge of trade and communications surveillance processes and systems  - knowledge of Actimize and HP Supervisor would be an advantage.
  • Appreciation of risk and escalation and the need for timely and accurate investigations/alert closure.
  • Good understanding of market abuse and surveillance scenario’s used for detection of market misconduct.
  • Understanding of trading jargon and market commentary/color to complement Ecom surveillance.
  • Strong knowledge of investment bank operating model.
  • Strong product knowledge over Equities and FnO.
  • Strong analytical skills and the ability to manage several simultaneous tasks.
  • A self-motivated fast learner with the ability to work independently
  • A strong team player and able to engage people across all corporate hierarchies.
  • Flexible and adaptable to dynamically changing work processes and environment
  • Adaptability to work under time pressure and resiliency to provide stable and consistent performance
  • Excellent computer skills especially in standard Microsoft Office applications and Sharepoint.
  • Proven ability to communicate effectively in English at all levels both orally and in writing
  • Competent in non English languages is an advantage
  • Related professional qualification helpful
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