Investment Compliance Specialist at JPMorgan Chase & Co.

Role Overview:

Join J.P. Morgan's Compliance Reporting Services (CRS), a leading provider of post-trade compliance reporting for global asset owners and asset managers. Our service helps clients detect and manage investment rule violations efficiently, reducing risk and showcasing industry best practices. Our mission is to support our clients by offering market-leading services across investment risk, return analytics, and post-trade compliance.

As a member of the Investment Information Services (IIS) function, you will engage with a wide range of financial products such as Equities, Fixed Income securities, and Complex Assets. Your responsibilities include interpreting guidelines, building investment rules, investigating potential violations, and collaborating with investment managers and clients to assess their needs and provide solutions.

Job Duties and Responsibilities:

Core Functional Tasks

• Interpret guidelines & investment mandates to develop logic-based compliance monitoring rules.
• Understand client requirements on prospectus/rule changes and implement them on the platform.
• Conduct meticulous root-cause analysis of investment exceptions, including portfolio holdings, composition, historical transactions & data to verify compliance.
• Resolve exceptions on the compliance platform by communicating with clients or fund managers for true exceptions and upstream teams for data/coding gaps.
• Prepare & deliver manual regulatory and client reports.
• Stay updated on regulatory developments and industry trends related to post-trade compliance, offering insights and recommendations to management.
• Collaborate with clients to review global post-trade monitoring regulations and implement a standard set of regulatory rules.
• Monitor client mailbox and ensure queries are resolved urgently, with rule coding requests worked upon per timelines.
• Interface with Controls, Audit, and Risk teams to review and analyze all process-related controls.

Client Engagement

• Participate in client calls for service reviews and project updates.
• Understand client requirements and develop customized solutions on the compliance platform.
• Engage in new client onboarding by providing functional expertise.
• Keep clients informed of any strategic or tactical changes.
• Support due diligence meetings with clients.

Preferred Skills

Product/Process

• Extensive experience in post-trade compliance roles within investment banks, asset management firms, or brokerage firms.
• Proficient in guideline coding on compliance systems such as Charles River, Sentinel, Aladdin.
• Comprehensive knowledge of the asset management industry including mutual funds, pension funds, insurance, and hedge funds.
• Deep 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).
• Excellent analytical skills in creating logic-based investment rules.
• High standards of accuracy and attention to detail.
• Exceptional organizational skills with the ability to prioritize workloads and meet stringent timelines.
• Experience with automation tools (e.g., Alteryx, AI, ML, Python) is preferred.

Behavioral Skills

• Excellent communication and interpersonal skills to build trusted relationships with internal and external stakeholders.
• Ability to articulate complex issues clearly and concisely.
• Collaborative approach to problem-solving.
• Strong written communication skills with proven client engagement expertise.
• Creative thinking and willingness to challenge the status quo.
• Proven leadership skills with the ability to manage a team effectively in a fast-paced environment.

Qualifications

• Graduate or postgraduate degree with 8-10 years’ experience in financial services, mutual funds, stock broking, or related industry.
• Advanced degree or professional certifications such as CA, CPA, CFA, CS, FRM are preferred.
• Certification courses in CRD, SOX, 1940 Act, European regulations are preferred.
• Proficiency in relevant software applications and systems for post-trade compliance monitoring and reporting.