Investment Compliance Senior Associate

If you are enthusiastic about Investment Guidelines and Regulations, in a client facing role - check our new opportunity!

As an Investment Compliance Senior Associate within the Data Solutions team, you will be exposed to a wide range of financial products, including Equities, Fixed Income securities and Complex Assets. 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. This is an exciting position for a client-focused and solution-driven individual who thrives on new challenges, possesses intellectual curiosity and entrepreneurial spirit, and enjoys working in a fast-paced yet flexible environment.

Job responsibilities

• Understands client requirements on prospectus/rule changes and work with the client to leverage to functionality in the platform to solution their reporting/data requirements
• Analyses root-cause of investment exceptions which includes analysis of portfolio holdings, composition, historical transactions & data to verify compliance
• Interprets guidelines & investment mandates to build logic based rules for compliance monitoring
• Participates in client calls for service reviews, Due Diligence Meetings and projects undertaken
• Ensures all client queries are resolved with adherence to timeliness and accuracy requirements
• Ensures the closure of exceptions on the compliance platform through communication with the client/fund manager for true exceptions and upstream teams for data / coding gaps
• Works with Global peers to define Best Practice and remediate any manual/bespoke processes
• Maintains a thorough understanding of industry, market and regulatory developments related to all regulatory reporting, engagement and disclosure requirements for asset owners and asset managers
• Maintains and updates standard regulatory rule sets and collaborate with the client to review changes in post trade monitoring rules
• Connects with Controls, Audit, and risk teams to review and analyse all process related controls
• Participates in new client onboarding process by providing market knowledge and functional expertise

Required qualifications, capabilities, and skills

• Experience in post-trade compliance roles within Financial services industry
• Working knowledge of guideline coding on compliance systems e.g : TRAC, Charles River, Sentinel, Aladdin
• Excellent communication and interpersonal skills to build trusted relationship with clients, internal and external stakeholders
• Strong knowledge of global regulatory requirements impacting post-trade activities e.g., UCITS, IRS, 1940 Act, Money market regs, etc.
• Ability to articulate complex issues in a clear and concise manner
• Collaborative approach to problem solving
• Proven leadership skills with the ability to drive results in a fast-paced environment
• Have an in-depth understanding of complex instruments, fixed income and equity products
• Excellent written communication skills with proven client engagement expertise
• High standard of accuracy and strong attention to detail
• Excellent organisation skills - ability to prioritize workloads and adhere to stringent timelines

Preferred qualifications, capabilities, and skills

• Professional certification, including but not limited to CFA, FRM, 1940 Act, European regulations
• Experience with automation tools (Alteryx, AI, ML, Python, etc.)

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.