Compliance Testing Officer - Associate
摩根大通银行(中国)有限公司
- 公司规模:150-500人
- 公司性质:外资(欧美)
- 公司行业:金融/投资/证券
职位信息
- 发布日期:2017-11-20
- 工作地点:北京
- 工作经验:无工作经验
- 学历要求:本科
- 语言要求:英语精通
- 职位类别:合规主管/专员 审计经理/主管
职位描述
职位描述:
PURPOSE OF POSITION AND FUNCTION
Compliance Testing is a part of compliance function. To fulfil the commitment made by JPM to the OCC, "Office of Contemptroller and Control", an independent compliance testing function is to be established. It is responsible to deliver a risk-based compliance testing framework to support the bank's compliance with laws, regulations and bank policies. According to CBRC's Guideline for Compliance Risk Management of Commercial Banks, compliance department should perform compliance testing as part of its function.
JOB RESPONSIBILITIES
Responsible for LIB compliance testing coverage to assess whether controls and procedures are designed to meet existing regulatory requirements and internal policies, and to ensure whether practices are carried out as required.
Responsibilities includes development and execution of compliance testing plan for LIB in coordination with country and regional compliance managers, in assisting various risk assessments, following up the status of prior issues/action plans and participation in location initiatives/special projects. In addition to China testing, there are opportunities to work on AP testing projects.
EXPERIENCE
Previous working experience in financial industry, ideally in audit [internal and external], risk management and/or compliance is preferred.
PURPOSE OF POSITION AND FUNCTION
Compliance Testing is a part of compliance function. To fulfil the commitment made by JPM to the OCC, "Office of Contemptroller and Control", an independent compliance testing function is to be established. It is responsible to deliver a risk-based compliance testing framework to support the bank's compliance with laws, regulations and bank policies. According to CBRC's Guideline for Compliance Risk Management of Commercial Banks, compliance department should perform compliance testing as part of its function.
JOB RESPONSIBILITIES
Responsible for LIB compliance testing coverage to assess whether controls and procedures are designed to meet existing regulatory requirements and internal policies, and to ensure whether practices are carried out as required.
Responsibilities includes development and execution of compliance testing plan for LIB in coordination with country and regional compliance managers, in assisting various risk assessments, following up the status of prior issues/action plans and participation in location initiatives/special projects. In addition to China testing, there are opportunities to work on AP testing projects.
EXPERIENCE
Previous working experience in financial industry, ideally in audit [internal and external], risk management and/or compliance is preferred.
职能类别: 合规主管/专员 审计经理/主管
公司介绍
J. P. Morgan is a leading global financial services firm. We are committed to deliver the best financial services solutions through our lines of business: Investment Bank, Asset Management and Treasury and Securities Services. Today, we serve one of the largest client franchises in the world, including many of the most prominent corporate, institutional and government clients. J. P. Morgan is part of JPMorgan Chase & Co., a leading global financial services firm with assets of over $2.0 trillion and operations in more than 60 countries.
联系方式
- Email:adwaith.naimpally@jpmchase.com
- 公司地址:地址:span上海