Current jobs related to Compliance Investment Information Services - Sydney, New South Wales - J.P. Morgan
-
Compliance Investment Information Services
3 weeks ago
Sydney, New South Wales, Australia JPMorganChase Full timeCompliance Investment Information Services - Associate2 weeks ago Be among the first 25 applicantsJob DescriptionJ.P. Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and...
-
Compliance Investment Information Services
3 weeks ago
Sydney, New South Wales, Australia JPMorganChase Full timeCompliance Investment Information Services - Associate2 weeks ago Be among the first 25 applicantsJob DescriptionJ.P. Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and...
-
Investment Compliance Professional
2 days ago
Sydney, New South Wales, Australia beBeeCompliance Full time $100,000 - $130,000Investment Compliance SpecialistThis role involves daily monitoring of investment rules and regulations, ensuring quality service delivery by responding to queries, resolving issues, and participating in client meetings and reviews.The successful candidate will have the opportunity to assist clients with related monitoring activities such as Substantial...
-
Investment Compliance Analyst
5 days ago
Sydney, New South Wales, Australia Buscojobs Full timeInvestment Compliance AnalystThe Investment Compliance Analyst role involves daily monitoring of rules within client IMA's and assisting in the investment process. This role requires direct interaction with clients and investment managers to ensure quality service delivery by responding to queries, resolving issues, and participating in client service...
-
Investment Compliance Analyst
4 days ago
Sydney, New South Wales, Australia Ambition Full timeInvestment Compliance AnalystDirect message the job poster from AmbitionRecruitment Consultant- Banking & FinanceInvestment Compliance AnalystThe Investment Compliance Analyst role involves daily monitoring of rules within client IMA's and assisting in the investment process. This role requires direct interaction with clients and investment managers to...
-
Sydney, New South Wales, Australia beBeeCompliance Full timeJob Title: Risk and Compliance Specialist – Investment ServicesWe are seeking a skilled professional to join our team in Sydney or Melbourne. This role is designed to be a hybrid, with a requirement of working at least three days a week in the office.The successful candidate will assist with various aspects of risk management, focusing on process,...
-
Investment Compliance Specialist
3 days ago
Sydney, New South Wales, Australia beBeeCompliance Full time $180,000 - $210,000Job DescriptionThis is a unique opportunity for a talented investment compliance professional to join our team. The role will be based in Melbourne or Sydney and involves working as a hybrid, with at least three days a week spent in the office.Key ResponsibilitiesProvide regular production and accurate compliance monitoring for Mercer Investments (Australia)...
-
Senior Investment Compliance Professional
19 hours ago
Sydney, New South Wales, Australia beBeeCompliance Full time $100,000 - $130,000Job OverviewInvestment Compliance Officer RoleThe Investment Compliance Officer plays a vital role in ensuring the organization's adherence to regulatory requirements and industry standards. This position involves monitoring client portfolios, identifying potential issues, and collaborating with stakeholders to resolve any concerns.This individual will be...
-
Compliance Analyst | Investment Role
6 hours ago
Sydney, New South Wales, Australia beBeeInvestment Full time $100,000 - $120,000Compliance Analyst | Investment RoleThis key role supports the investment compliance monitoring process ensuring adherence to client mandates.Daily monitor investment compliance rules within client agreements.Engage with clients and managers on guideline monitoring, respond to queries and resolve issues efficiently.Assist in related activities including...
-
Investment Compliance Specialist
4 days ago
Sydney, New South Wales, Australia beBeeInvestment Full time $100,000 - $150,000Compliance Analyst - Investment Suitability The Compliance Control Analyst plays a vital role in enhancing the effectiveness of business-critical processes and controls to safeguard UBS. Drive or work as a team member on investment suitability and cross-border controls review and testing of UBS Global Wealth Management division.Analyze and assess risks...
Compliance Investment Information Services
4 weeks ago
J.P. Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and demonstrating industry best practices. Our mission is to support our clients - investment process by providing market leading services across the investment risk, return, analytics and post-trade investment compliance spectrum.
As an Associate in the Investment Information Services team, you will be responsible for interpreting guidelines, building investment rules, investigation of potential violations and partnering with the investment manager and/or the client to assess their needs and provide solutions. In your new role, you will be exposed to a wide gamut of financial products, including Equities, Fixed Income securities and Complex Assets.
Job Responsibilities
- Interpret guidelines and investment mandates to develop logic-based rules for effective compliance monitoring.
- Implement client requirements for prospectus and rule changes on the compliance platform, ensuring accuracy and timeliness.
- Conduct meticulous root-cause analysis of investment exceptions, including portfolio holdings, composition, historical transactions, and data verification for compliance.
- Resolve compliance exceptions by communicating with clients, fund managers for true exceptions, and upstream teams for data or coding gaps.
- Prepare and deliver comprehensive manual regulatory and client reports, ensuring accuracy and compliance with standards.
- Stay informed on regulatory developments and industry trends in post-trade compliance, providing insights and strategic recommendations to management.
- Collaborate with clients to review and implement changes in global post-trade monitoring regulations, establishing a standard set of regulatory rules.
- Monitor client mailbox, ensuring all queries are resolved urgently and rule coding requests are routed and addressed within set timelines.
- Interface with Controls, Audit, and Risk teams to review, analyse, and enhance all process-related controls for compliance assurance.
- Participate in client calls to review services and discuss ongoing projects, ensuring alignment with client expectations and requirements.
- Support new client onboarding by providing functional expertise and developing customised compliance solutions tailored to client needs.
Required qualifications, capabilities, and skills
- Hold a graduate or postgraduate degree with at least 8 years of experience in financial services, mutual funds, or stock broking.
- Possess extensive experience in post-trade compliance roles within investment banks, asset management, or brokerage firms.
- Demonstrate proficiency in software applications and systems for post-trade compliance monitoring and reporting.
- Have working knowledge in guideline coding on compliance systems like Charles River, Sentinel, and Aladdin.
- Exhibit strong knowledge of global regulatory requirements affecting post-trade activities.
- Understand complex instruments, fixed income, and equity products in depth.
- Exhibit knowledge of the asset management industry, including mutual, pension, insurance, and hedge funds operations.
- Demonstrate outstanding analytical skills for creating logic-based investment rules.
- Maintain a high standard of accuracy and attention to detail.
- Exhibit excellent organisational skills to prioritise workloads and meet stringent timelines.
- Communicate effectively with internal and external stakeholders, building trusted relationships.
Preferred qualifications, capabilities, and skills
- Advanced degree or professional certification including but not limited to Chartered Accountant (CA), Certified Public Accountant (CPA), Chartered Financial Analyst (CFA), Company Secretary (CS), Financial Risk Manager (FRM) qualifications preferred.
- Experience with automation tools (Alteryx, Artificial Intelligence (AI), Machine Learning (ML), Python, etc.) to create efficiencies will be preferred.
- Certification course in Credit Risk Management (CRD), Sarbanes-Oxley Act (SOX), Investment Company Act of 1940 (1940 Act), European regulations preferred.
