Asset Management Investment Compliance Associate

JPMorganChase

Job Location:

Shanghai - China

Monthly Salary: Not Disclosed

Posted on: 8 hours ago

Vacancies: 1 Vacancy

Department:

Compliance

Job Summary

Description

Key Responsibilities:

Regulatory Implementation: Promote the implementation of regulatory requirements within the Investment/Research/Trading teams and provide input on procedures related to investment research and trading operations.
Related-Party Management: Maintain the list of product-related parties conduct pre-approval reviews of related-party transactions and submit a summary of such transactions to the Board.
Ongoing Monitoring: Conduct monthly post-monitoring including centralized mobile phone management authorization management investment decision-making committee reviews and FM System Access Request reviews. Identify potential risks and recommend mitigation strategies.
Advisory: Provide compliance support to the Investment/Research/Trading teams by collaborating with compliance team identify potential risks and operational issues at the front line and promptly issue alerts and corrective actions.

Requirement

Bachelor degree or above with major in finance risk investment related areas
More than 3 years of working experience in an asset manager securities firm in any of the functions such as investment research compliance risk control etc.
Outstanding communication and collaboration skills a good team player
AMAC qualification obtained

岗位职责

监管实施促进在投资/研究/交易团队内实施监管要求并为与投资研究和交易运营相关的程序提供意见
关联方管理维护产品关联方名单对关联方交易进行预先审批审核并将该等交易的摘要提交给董事会
持续监控每月进行事后监控包括集中式手机管理授权管理投资决策委员会审查和设施管理系统访问请求审查识别潜在风险并推荐缓解策略
建议通过与合规团队合作为投资/研究/交易团队提供合规支持识别一线的潜在风险和运营问题并及时发出警报和纠正措施

任职资格

金融风险投资相关专业本科学历或以上
3年以上在资产管理公司证券公司等金融机构从事投资研究或合规风险控制等职能工作
出色的内外部沟通和协作技能优秀的团队合作者
获得基金从业资格

Required Experience:

DescriptionKey Responsibilities:Regulatory Implementation: Promote the implementation of regulatory requirements within the Investment/Research/Trading teams and provide input on procedures related to investment research and trading operations.Related-Party Management: Maintain the list of product-r...

Description

Key Responsibilities:

Regulatory Implementation: Promote the implementation of regulatory requirements within the Investment/Research/Trading teams and provide input on procedures related to investment research and trading operations.
Related-Party Management: Maintain the list of product-related parties conduct pre-approval reviews of related-party transactions and submit a summary of such transactions to the Board.
Ongoing Monitoring: Conduct monthly post-monitoring including centralized mobile phone management authorization management investment decision-making committee reviews and FM System Access Request reviews. Identify potential risks and recommend mitigation strategies.
Advisory: Provide compliance support to the Investment/Research/Trading teams by collaborating with compliance team identify potential risks and operational issues at the front line and promptly issue alerts and corrective actions.

Requirement

Bachelor degree or above with major in finance risk investment related areas
More than 3 years of working experience in an asset manager securities firm in any of the functions such as investment research compliance risk control etc.
Outstanding communication and collaboration skills a good team player
AMAC qualification obtained

岗位职责

监管实施促进在投资/研究/交易团队内实施监管要求并为与投资研究和交易运营相关的程序提供意见
关联方管理维护产品关联方名单对关联方交易进行预先审批审核并将该等交易的摘要提交给董事会
持续监控每月进行事后监控包括集中式手机管理授权管理投资决策委员会审查和设施管理系统访问请求审查识别潜在风险并推荐缓解策略
建议通过与合规团队合作为投资/研究/交易团队提供合规支持识别一线的潜在风险和运营问题并及时发出警报和纠正措施

任职资格

金融风险投资相关专业本科学历或以上
3年以上在资产管理公司证券公司等金融机构从事投资研究或合规风险控制等职能工作
出色的内外部沟通和协作技能优秀的团队合作者
获得基金从业资格

Required Experience:

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About Company

JPMorganChase

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

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