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Asset Management, Sales Governance Officer, Vice President / Executive Director

Req #: 180001852
Location: Hong Kong, , HK
Job Category: Asset Management
Job Description:
The Business:
J.P. Morgan Asset & Wealth Management, with client assets of $2.4 trillion, is a global leader in investment and wealth management. Its clients include institutions, high-net-worth individuals and retail investors in every major market throughout the world. The division offers investment management across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. For individual investors, the business also provides retirement products and services, brokerage and banking services including trusts and estates, loans, mortgages and deposits.
The Role:
The Sales Governance Officer (SGO) will report into Asia CAO is a dedicated business aligned individual whose main responsibility is to provide general supervision of business activities around the region (ex-Japan). The SGO will partner with the Legal, Compliance, Risk, Technology, Operations, Oversight & Controls and Audit functions aligned to and supporting AM. 
Core Responsibilities:
1. Provide first level control and oversight of sales practices and conduct with the focus around the following key themes:
  • Conflicts of Interest / Fiduciary Duties
  • Suitability
  • Anti-bribery
  • Anti-trust
  • Sales Practices
  • Gifts & Entertainment
2. Implement and/or strengthen the control framework around sales conduct and cross sharing of best practices within the region
3. Conduct independent review/sample testing to ensure sales activities are in compliance with applicable laws/regulations/policies
4. Proactively seek opportunities to simplify control requirements for the sales force
5. Review client interaction (e.g., training events, sponsorships, marketing practices) for signs of unusual or unexpected sales activities
6. Produce, present and maintain materials which provide clear insight and analysis into the current risk issues and trends
7. Respond to ad hoc requests and client/sales issues
8. Collaborate with various control parties on the review of action plans to ensure material risks are properly mitigated and assist in validation of execution before action plan closure
9. Collaborate with various control parties on deep dive of errors and risk events to ensure all control gaps are highlighted and appropriate actions taken
10. Review and ensure sales related policies/procedures are up to date and training is in place for roll-out of new policies/procedures  
11. Serves as the key sales contact person for regulatory inspections, audits and compliance testing responses which impact the AM business in APAC
12. Coordinate sales related RCSA process, including testing, for AM business
13. Maintain and up keep sales control related documentations
Role Requirements:
  • 7-10 years’ experience in Asset management or in risk and control functions.
  • Verbal and written fluency in English and Chinese
  • Strong Business Analysis skills
  • Excellent organizational and follow through skills; detail oriented
  • Possesses a sense of urgency, intellectual curiosity and resourcefulness
  • Ability to directly address/identify conflict and obstacles and escalate as appropriate


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