Investment Compliance

Job Description

Introductory market language

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 Summary

As an Investment Compliance in J.P. Morgan's Compliance Reporting Services, you will be responsible for interpreting guidelines, building investment rules, and managing potential violations. This role provides an opportunity to work with a wide range of financial products and collaborate with various teams to ensure compliance and risk reduction. As a member of Investment Information Services (IIS) function, you will be exposed to a wide gamut of financial products, including Equities, Fixed Income securities and Complex Assets. You will be responsible for interpreting guidelines, building investment rules, investigating potential violations and partnering with the investment manager and/or the client to assess their needs and provide solutions.

Job Responsibilities

• Interpret guidelines & investment mandates to build logic-based rules for compliance monitoring.

• Conduct meticulous root-cause analysis of investment exceptions which includes analysis of portfolio holdings, composition, historical transactions & data to verify compliance.

• Close of exceptions on the compliance platform through communication with the client/fund manager for true exceptions and upstream teams for data / coding gaps.

• Stay abreast on regulatory developments and industry trends related to post-trade compliance, providing insights and recommendations to management.

• Collaborate with the client to review changes in post trade monitoring regulations worldwide and implement standard set of regulatory rules.

• Manage client Mailbox monitoring and ensuring all queries are resolved with a sense of urgency and rule coding requests are being routed to be worked upon per timelines.

• Interface with Controls, Audit, and risk teams to review and analyze all process related controls.

Required qualifications, capabilities and skills

• Extensive experience in post-trade compliance roles within investment banks, asset management firms, or brokerage firms.

• Exhibit knowledge of asset management industry including operation of mutual, pension, insurance, and hedge funds.

• Have an in-depth understanding of complex instruments, fixed income, and equity products.

• Strong knowledge of global regulatory requirements impacting post-trade activities e.g., UCITS, IRS, 1940 Act, Money market regs, etc.

• Outstanding analytical skills to create logic-based investment rules.

• Excellent communication & interpersonal skills to build trusted relationship with internal stakeholders, regulators, and external stakeholders.

• Excellent organization skills - ability to prioritize workloads and adhere to stringent timelines.

Preferred qualifications, capabilities and skills

• Graduate/Post graduate degree with minimum of 8-10 years' work experience in financial services industry, Mutual fund, Stock broking or related industry

• Advanced degree or professional certification including but not limited to CA, CPA, CFA, CS, FRM qualifications preferred.

• Certification course in CRD, SOX, 1940 Act, European regulations preferred.

• Proficiency in relevant software applications and systems used for post-trade compliance monitoring and reporting.

Industries: Banking, Financial Services, Investment Banking