Compliance Investment Information Services - Associate

J.P. Morgans Compliance Reporting Services (CRS) is one of the largest providers of posttrade 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 posttrade 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 logicbased rules for effective compliance monitoring.
• Implement client requirements for prospectus and rule changes on the compliance platform ensuring accuracy and timeliness.
• Conduct meticulous rootcause 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 posttrade compliance providing insights and strategic recommendations to management.
• Collaborate with clients to review and implement changes in global posttrade 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 processrelated 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 posttrade compliance roles within investment banks asset management or brokerage firms.
• Demonstrate proficiency in software applications and systems for posttrade 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 posttrade 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 logicbased 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) SarbanesOxley Act (SOX) Investment Company Act ofAct) European regulations preferred.