Business Description

Compliance plays a critical role in the successful execution of the firm’s compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm’s compliance control environment. Global AM Compliance has the responsibility for oversight of the consistent implementation of Global policies & practices whilst ensuring regional and country nuances are adopted to take into account local law and regulation.

Job Description

Major responsibilities include:

  • On-boarding and maintenance of employees’’ personal trading accounts
  • Personal Account Dealing (PAD) approval
  • Administer employee’s annual attestations for personal trading accounts and investment holdings
  • Review Gifts and Entertainment (G&E) record submitted by business
  • Identify, discuss and monitor compliance issues and related remediation activities to ensure timely resolution and implementation of effective remediation controls.
  • Substantiate and report results and findings of surveillance in a precise and concise report format
  • Advise business on PAD and G&E matters
  • Advise and support Compliance at various Asia location on PAD and G&E matters
  • Participate in regional / global projects on PAD and G&E initiatives
  • Assist JPMC Code Specialist to advise business Outsides Business and Conflicts matters
  • Carry out ad-hoc compliance tasks as required.


  • Approximately 3 to 5 years relevant Compliance, regulatory, audit experience or control/operational experience in financial institutions
  • Degree in accounting or finance related subject
  • Strong attention to detail and quality
  • Quick learner and ability to adapt to changes
  • Team player
  • Strong communication, report writing, interpersonal and influencing skills. Ability to work independently and under pressure.
  • Fluent in English and Cantonese. Proficient in Mandarin is an advantage.
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