Vice President, Investment Management Compliance Advisory Manager - Singapore

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in Investment & Corporate Banking; Financial Services for consumers, small business and commercial banking; financial transaction processing; asset management and private equity. 

Reporting to: Head of Investment Compliance, Singapore 

Business Description 
Compliance plays a critical role in the successful execution of the firm's compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance control environment. Global IM Compliance has the responsibility for oversight of the consistent implementation of Global policies & practices whilst ensuring regional and country nuances are adopted to take into account local law and regulation. 

Job Description 
Major responsibilities include:

• Provide advice and support to the Sales and Marketing teams in respect of marketing materials for Singapore retail public and clients of the regional institutional businesses.
• Provide advice to the Sales and Marketing Teams on sales and marketing campaign for Singapore retail investors.
• Review and approve retail marketing materials in accordance with the MAS Advertising Guidelines, IMAS Code and applicable rules and regulations etc.
• Review and approve marketing materials for clients of regional institutional businesses through liaising with global teams and in accordance with the internal policies and any applicable regulatory guidelines, directives etc.
• Provide guidance and advice to the regional institutional businesses in respect of the cross-border activities.
• Provide regular training to Sales and Marketing staff on MAS Advertising Guidelines, related regulatory requirements, new regulations, internal policies, cross-border regulations etc.
• Advise, review and monitor staff activities with regard to company policies addressing conflict of interest matters (such as personal account trades, gifts and entertainment etc).
• Provide training to new hires on company policies, regulatory requirements etc.
• Advise and handle licensing related matters for staff
• Keep the Head of IM Compliance, Singapore updated of significant issues and provide consultation on a timely basis.
• Carry out ad-hoc compliance tasks as required.
• Handle inquiries and questionnaires from MAS in relation to marketing materials, websites and funds’ matters etc.
• Review relevant MAS consultation papers and study and consider impact to the business. Provide our comments to the MAS.

 

Qualifications 
Approximately 4 to 8 years relevant Investment Management Compliance or regulatory experience in relation to approval of retail and regional institutional marketing materials for SICAV funds and Hong Kong unit trusts.

• Degree in law, accounting or finance related subject
• Strong knowledge of Singapore rules and regulations applicable to investment management business e.g. SFA/SFR, FAA/FAR, MAS Code on Collective Investment Schemes, IMAS Code of Conduct, IMAS / MAS Advertising guidelines, regulatory directives, rules and regulations governing marketing activities in the region etc
• Strong attention to details and quality.
• Strong communication, report writing, interpersonal and influencing skills. The candidate should have the ability to establish credibility and strong partnerships with business leaders, control functions and corporate partners.
• Ability to work independently and under pressure.
• Fluent in English. Proficient in Mandarin is an advantage.

Job listing via singapore job bank wda.