Asset Management Compliance is part of Compliance, Conduct and Operational Risk (CCOR) within the Risk Management and Compliance organization. It works with the management, business teams and control parties to ensure business activities satisfy pertinent regulatory requirements; also assesses compliance risks and provides guidance and training to employees to facilitate compliance with applicable conduct-of-business regulations and policies governing Asset Management's different businesses.
Our organization is focused on cultivating a stronger, unified culture that embraces a sense of personal accountability for developing the highest corporate standards in governance and controls across the firm. Business priorities are built around the need to strengthen and guard the firm from the many risks we face, financial rigor, risk discipline, fostering a transparent culture and doing the right thing in every situation. We are equally focused on nurturing talent, respecting the diverse experiences that our team of professionals bring and embracing an inclusive environment.
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Job Responsibilities
- Coordinating regulatory engagements (surveys/enquires/ad hoc requests), analyzing implication of regulatory developments (consultation papers/regulatory changes) and consolidating feedbacks from business teams.
- Performing licensing registration & associated filing to regulators and providing day-to-day advice on personnel licensing requirements to businesses and senior managers.
- Conducting monitoring to review key processes and identify control gaps/process improvements.
- Keeping abreast of regulatory matters relating to products and liaising with counterparties to follow-up regulatory reporting items where necessary.
- Contributing and coordinating the compliance self-assessment program to be in compliant with relevant regulations.
- Facilitating the preparation and delivery of relevant compliance trainings.
- Assist in providing responses to internal audit/review and or regulatory exam requests.
Required qualifications, capabilities, and skills
- Bachelor’s degree in Law, Business, Finance and / or related fields.
- 5 + years of work experience in Compliance, Risk, Audit or Business Control Functions of Asset Management Company, Bank or Securities firm.
- Taiwan Senior Securities Specialist License or SITE & SICE Personnel License.
- English and Mandarin Proficiency
- Good communication skills, detail-oriented, organized attitude and working manner with teamwork spirit.
- Superior problem solving and analytical skills, capable to work independently and also be a team player.
- Ability to gain partnership with the business and challenge the status quo.
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. In accordance with applicable law, we make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as any mental health or physical disability needs.
ABOUT THE TEAM
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.
