Equities Compliance Advisory, Associate
Join a team where your attention to detail and passion for compliance will help shape the future of financial markets. As an Associate in Equities Compliance, 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 an Associate in the Equities 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 region, 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.
Want more jobs like this?
Get jobs in Hong Kong delivered to your inbox every week.
Job Responsibilities
- Support compliance coverage for the Equities business in Hong Kong and across Asia Pacific, with a focus on Syndicate coverage and/or Cash Equities.
- Assist in assessing regulatory and compliance risks in existing and new business activities
- Monitor and communicate regulatory updates and developments relevant to the business
- Collaborate with global and regional Compliance teams to share information and best practices
- 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
- Help prepare and deliver Compliance training materials for staff in Hong Kong and the region
- Assist in drafting and updating Compliance policies, procedures, and guidelines
- Liaise with country and corporate compliance groups, as well as other control functions such as Operations, Technology, Finance, Tax, and Legal
- Support responses to regulatory inquiries and examinations
- Maintain accurate records and documentation related to compliance activities
Required Qualifications, Capabilities, and Skills
- Bachelor's degree in Finance, Economics, Law, or a related discipline
- Experience in compliance within a financial institution
- Familiarity with Asia equities markets and relevant regulations
- Knowledge of banking / syndicate activities including Hong Kong market sounding regime
- 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
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