China Securities Company VP, Compliance, Equities

Job Description

Join a team where your attention to detail and passion for compliance will help shape the future of financial markets. You will have the opportunity to work alongside experienced professionals develop your expertise and make a meaningful impact. We value diverse perspectives and encourage innovative thinking. If you are looking to grow your career in a dynamic collaborative environment this is the place for you.

As a Vice President in the Compliance team you play a key role in supporting the business by advising on regulatory requirements and helping to ensure robust compliance practices. You will work closely with colleagues across the legal entity and lines of business contribute to the development and implementation of compliance programs and help maintain the integrity of our operations. Your work will directly support the firms commitment to responsible growth and risk management.

Job Responsibilities

• Supervise and lead compliance coverage for the Equities business in J.P. Morgan Securities (China) Company Limited with a focus on Cash Equities
• Monitor and review equity trading activities to ensure compliance with applicable regulatory requirements
• Assess regulatory and compliance risks in existing and new business activities
• Conduct regular compliance review and analysis to identify potential compliance issues
• Investigate and resolve compliance-related incidents and breaches
• Monitor and communicate regulatory updates and developments relevant to the business
• Participate in the review of new products and business initiatives from a Compliance perspective
• Contribute to the design development and implementation of Compliance programs and controls
• Prepare and deliver Compliance training materials
• Draft and update Compliance policies procedures and guidelines
• Liaise with regulatory bodies and ensure timely reporting and responses to inquiries and examinations
• Maintain accurate records and documentation related to compliance activities
• Maintain up-to-date knowledge of industry regulations and best practices

Required Qualifications Capabilities and Skills

• Bachelors degree in Finance Economics Law or a related discipline
• Experience in compliance within a reputable financial institution
• Familiarity with China equities markets and relevant regulations
• Strong analytical and problem-solving skills
• Excellent communication and interpersonal skills
• Ability to work collaboratively in a team environment
• High attention to detail and organizational skills
• Ability to manage multiple tasks and prioritize effectively
• Cross products and/or lines of business and managerial experience is a plus