Compliance and Risk Management - Associate
Compliance and Risk Management - Associate
Posted on :
20-08-2025
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1 Vacancy
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Job Description
Description
Job summary:
As an Associate in the Compliance team you will be supporting Regulatory Compliance Coverage for JP Morgan India Pvt. Ltd. (JPMIPL).
Job responsibilities:
Round-up and LRR
- Support JPMIPL compliance officer in tracking reg changes relating to all the 3 licenses. Update the weekly round-up in line shared by compliance.
- Responsible for administrative support of updating LRCM for applicable and non-applicable entries.
PAD related
- Responsible for administrative task of iComply updates and attestations for individual certifications (NISM)
- Support in managing the Eholdings database and annual roll-out to all JPM relevant employees.
RACER
- Updating and managing the entries in RACER for inspections/ request/ meetings managed for SEBI regulated businesses.
L&R
- Managing the entire Licensing and Registration updates and attestation (L&R system for Eq FNO GIB Research & DCC and offline for CEM FX accredition)
Equities/IB related
- Support in managing NSE Dashboard of Alerts
- Support in managing surveillance related queries from exchanges and regulators.
- Support in performing monitoring activities (RNA) for JPMIPL
- Support in submission of RBS reports to the exchanges (final reports received from the Controls team)
- Responsible for collation of data for reg inspections and queries
- Engage with exchanges to resolve operational queries relating to compliance matters.
- Support the compliance officer in reviewing and issuing compliance policies applicable to JPMIPL LOBs.
GFCC related
- Disseminating the FIU Alerts to relevant teams and co-ordinating confirmation for responses back to FIU on those Alerts.
- Supporting the team in compiling the data for adhoc regulatory requests or internal asks.
Required qualifications capabilities and skills:
- Bachelors Degree in Finance Economics Statistical Mathematics Data Science or equivalent/related disciplines
- 5-7 yearsof experience in the Financial Services Industry with a demonstrated track-record experience and knowledge ofStock Broking / Research compliance including basic understanding of India AML/CFT regulations and requirements
Preferred qualifications capabilities and skills:
- Chartered Accountant Masters degree LL.B Company Secretaryor other closely related professional qualification will be beneficial.
Competencies:
- Ability to develop and maintain productive relationships with key internal clients.
- A solution driven approach with exemplary problem solving skills;
- Good analytical ability.
- Ability to work effectively alone and as part of a team
- Strong inclination to automation and technology driven solutions to ease processes.
- Good written and verbal communication skills.
Required Experience:
IC
Employment Type
Full-Time
Department / Functional Area
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