Compliance Investment Information Services

Compliance Investment Information Services - Associate

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Job Description

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.

Job Description

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.
  
  

ABOUT US

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.

About The Team

J.P. Morgan's Commercial & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.Seniority level

• Seniority levelNot Applicable

Employment type

• Employment typeFull-time

Job function

• Job functionOther

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