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 firm's 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
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Required Qualifications, Capabilities, and Skills
- Bachelor's 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
ABOUT US
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. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
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.
Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm's needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.
Perks and Benefits
Health and Wellness
Parental Benefits
Work Flexibility
Office Life and Perks
Vacation and Time Off
Financial and Retirement
Professional Development
Diversity and Inclusion