Asset Management - Investment Compliance - Associate
JPMorganChase
Compliance / Regulatory
Shanghai, China
Posted on May 14, 2026
Key Responsibilities:
- Regulatory Implementation: Promote the implementation of regulatory requirements within the Investment/Research/Trading teams and provide input on procedures related to investment, research, and trading operations.
- Related-Party Management: Maintain the list of product-related parties, conduct pre-approval reviews of related-party transactions, and submit a summary of such transactions to the Board.
- Ongoing Monitoring: Conduct monthly post-monitoring, including centralized mobile phone management, authorization management, investment decision-making committee reviews, and FM System Access Request reviews. Identify potential risks and recommend mitigation strategies.
- Advisory: Provide compliance support to the Investment/Research/Trading teams by collaborating with compliance team, identify potential risks and operational issues at the front line, and promptly issue alerts and corrective actions.
Requirement
- Bachelor degree or above with major in finance, risk, investment related areas
- More than 3 years of working experience in an asset manager, securities firm, in any of the functions such as investment research, compliance, risk control, etc.
- Outstanding communication and collaboration skills, a good team player
- AMAC qualification obtained
岗位职责：
- 监管实施：促进在投资/研究/交易团队内实施监管要求，并为与投资、研究和交易运营相关的程序提供意见。
- 关联方管理：维护产品关联方名单，对关联方交易进行预先审批审核，并将该等交易的摘要提交给董事会。
- 持续监控：每月进行事后监控，包括集中式手机管理、授权管理、投资决策委员会审查和设施管理系统访问请求审查。 识别潜在风险并推荐缓解策略。
- 建议：通过与合规团队合作，为投资/研究/交易团队提供合规支持，识别一线的潜在风险和运营问题，并及时发出警报和纠正措施。
任职资格：
- 金融、风险、投资相关专业本科学历或以上
- 3年以上在资产管理公司、证券公司等金融机构从事投资研究、或合规、风险控制等职能工作
- 出色的内外部沟通和协作技能，优秀的团队合作者
- 获得 基金从业资格
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.
J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.
We are looking for an experienced investment compliance candidate for AMC to be based in Shanghai. As a bridge between the Investment/Research/Trading teams and the Compliance team, this role is embedded within the investment team on a daily basis, supporting the CIO, Head of Research, Head of Trading Room, and BM. The objective is to enhance the Investment/Research/Trading teams’ understanding of regulatory requirements and compliance policies, while also feeding back any regulatory blind spots encountered in daily investment activities to the Compliance team. This supports improved business efficiency and strengthened compliance.