AVP, TSS Compliance Manager — TSS Compliance Testing recruitment

BUSINESS DESCRIPTION

The office of the General Counsel ("OGC") at J.P. Morgan ("JPM") includes Legal and Compliance professionals who support the firm's various lines of business. Treasury Security Services ("TSS") Compliance supports the Treasury Securities Services business globally. TSS is a dynamic operating business that processes payments and securities and helps institutional investors to leverage their assets.

ROLE DESCRIPTION

The TSS Compliance testing team is responsible for the execution and management of the TSS Compliance testing program globally. The team engages and partners closely with the business and location Compliance Teams in order ensure the effective execution, management and build out of the global testing program.

The Hong Kong based members of the Testing team will be primarily responsible for the execution and management of APAC based testing, but will also be required to support testing performed globally.

The role responsibilities include;
· The development and execution of the TSS Global Testing Program.
· Working closely Corporate Compliance and Control Functions such as Internal Audit and Risk Management in order to ensure the continued effectiveness and alignment of the TSS Compliance testing program.
· Working proactively with line of business Compliance Managers to develop the testing model to capture risk and issue driven testing in addition to the core plan.
· Assisting Management and Line of Business Compliance officers to develop effective solutions to address findings arising as a result of Compliance Testing.
· Management and input to the Compliance Risk Assessment Process.
· Management of open issues and action plans relating to Compliance testing.
· Production, management and development of management information relating to the testing program.
· Co-ordination of audit, regulator and client enquiries and reviews relating to Compliance Testing.
· Involvement in TSS departmental projects.

Skills

ROLE REQUIREMENTS

The successful candidate should;
· Have a minimum of 3 years relevant Compliance experience or other related experience e.g. Legal, Risk Management, Audit , Operations Controls or similar.
· Demonstrate an ability to interpret regulatory requirements and assess operational Compliance with those requirements.
· Have a good appreciation of the regulations applicable to TSS in APAC.
· Audit/Industry Qualifications or a University Degree.
· Be motivated to deliver results as part of a geographically dispersed global Compliance team.
· Have strong interpersonal and influencing skills, with the ability to establish credibility and build strong and effective partnerships with senior management across Compliance, the business and other control functions.
· A proven history of effective networking and team promotion and development. Able to work with the broader Compliance teams, lines of business, external control functions and stakeholders whilst also retaining the ability to challenge and improve current processes.
· Excellent project management skills in order to manage delivery of the testing program in line with Corporate Standards.
· Demonstrate clear and concise communication, presentation and report writing skills.
· Have good organizational skills, with an ability to manage and prioritise deliverables in order to meet deadlines as required.
· Have flexibility regarding working hours due to the global nature of the role.
· Expect to travel to other locations as required.