Asset Management Compliance, Conduct & Operational Risk (Singapore and South-East Asia) Vice President
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Monthly Salary:
Posted on:
2 days ago
Vacancies:
1 Vacancy
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Job Summary
As part of Compliance Conduct & Operational Risk (CCOR) you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company customers and communities. Our culture in CCOR is all about thinking outside the box challenging the status quo and striving to be best-in-class.
As a Vice President in Singapore and South-East Asia Asset Management CCOR you will play a key role in guiding our business through complex regulatory environment and supporting the business with respect to the offering of asset management products such as collective investment schemes (mutual funds ETFs etc) and discretionary management services (e.g. segregated accounts customized mandates). You will report into the Asset Management CCOR head based in Singapore who leads coverage for Singapore South East Asia and Australia & New Zealand. You will assess compliance and conduct risks provide guidance and training influence best practices and help cultivate a culture of personal accountability and high standards in governance and controls. Your work will entail collaborating with senior leaders building close interaction with global / other regional compliance teams as well as day-to-day engagement with the heads of business functions including but not limited to personnel in global product groups.
Job Responsibilities
- Advise and keep business personnel abreast of local and relevant US SEC regulatory changes and application of such requirements as well as partner with relevant 1st line business functional groups to implement associated controls
- Provide CCOR assessment of new products and new business initiatives tabled through the firms New Business Initiatives Approval process
- Support and coordinate with other teams on compliance and controls related initiatives to manage and mitigate compliance risks including Compliance Risk Assessment Monitoring & Testing planning process
- Implement the firms operational risk management (ORM) framework to independently assess the operational risks and control environments through qualitative and quantitative means by leveraging the support infrastructure of the offshore AM ORM teams.
- Review of surveillance escalations for disposition under applicable violation frameworks lead the CCOR effort in error resolutions and reporting review of adequacy of due diligence assessment on third party distribution channels etc.
- Manage ongoing regulatory interactions including but not limited to licensing onsite regulatory inspections and regulatory submissions and ad-hoc regulatory requests.
- Provide guidance on privacy outsourcing and information barriers requirements.
- Reviewing escalations of errors and other issues to provide a second line of defence assessment on robustness of controls remediation measures or root cause analyses
- Participate in industry associations as required.
Required Qualifications Capabilities and Skills
- Minimum 8 years of relevant experience in a compliance audit or control function within the asset management industry with good knowledge of the Singapore South East Asia and relevant US financial regulations as relate to asset management businesses and products.
- Ability in deploying technology tools (eg large language models) to derive process efficiency and to facilitate work tasks
- Strong communication skills demonstrable problem solving and analytical ability and able to work independently and as a team.
- Proven experience to partner with business leaders and drive a culture of compliance and control risk awareness
- Experience managing regulatory exams and engagements.
- Proactive self-motivated and open to professional growth and new responsibilities.
- Bachelors Degree or equivalent
Required Experience:
Exec
Key Skills
- Computer Science
- Operational Risk Management
- Risk Management
- Six Sigma
- Continuous Improvement
- Lean
- Process Improvement
- Pricing
- Customer Support
- Alteryx
- Kaizen
- Project Management Lifecycle
About Company
JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans ov ... View more
