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- Tasks: Join us as an Investment Compliance Senior Associate, tackling investment guidelines and client needs daily.
- Company: Be part of a dynamic Data Solutions team in the financial services industry.
- Benefits: Enjoy a flexible work environment with opportunities for professional growth and development.
- Why this job: This role offers exciting challenges, client interaction, and a chance to make a real impact.
- Qualifications: Experience in post-trade compliance and strong communication skills are essential.
- Other info: Ideal for those with a passion for finance and a drive for excellence.
The predicted salary is between 43200 - 72000 £ per year.
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 works with the client to leverage 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 collaborates 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 relationships with clients, internal and external stakeholders.
- Strong knowledge of global regulatory requirements impacting post-trade activities e.g., UCITS, IRS, 1940 Act, Money market regulations, 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 prioritise 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.).
Investment Compliance Senior Associate employer: J.P. Morgan
Contact Detail:
J.P. Morgan Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Compliance Senior Associate
✨Tip Number 1
Familiarise yourself with the specific compliance systems mentioned in the job description, such as TRAC and Charles River. Having hands-on experience or even a basic understanding of these platforms can set you apart during interviews.
✨Tip Number 2
Stay updated on global regulatory requirements that impact post-trade activities. Being able to discuss recent changes or trends in regulations like UCITS or the 1940 Act will demonstrate your commitment and knowledge in the field.
✨Tip Number 3
Prepare for client-facing scenarios by practising how to articulate complex compliance issues clearly and concisely. Role-playing potential client interactions can help you build confidence and improve your communication skills.
✨Tip Number 4
Network with professionals in the investment compliance sector. Engaging with industry peers can provide insights into best practices and may even lead to referrals or recommendations for the position at StudySmarter.
We think you need these skills to ace Investment Compliance Senior Associate
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in post-trade compliance roles and showcases your knowledge of guideline coding on compliance systems. Use specific examples that demonstrate your ability to interpret investment guidelines and regulations.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Highlight your client-facing experience and problem-solving skills, and explain how your background aligns with the responsibilities outlined in the job description.
Showcase Communication Skills: Since excellent communication is key for this role, ensure your application reflects your ability to articulate complex issues clearly. Use concise language and structure your writing well to demonstrate your written communication skills.
Highlight Relevant Qualifications: If you have any professional certifications like CFA or FRM, make sure to mention them prominently in your application. Also, include any experience with automation tools, as this could set you apart from other candidates.
How to prepare for a job interview at J.P. Morgan
✨Know Your Regulations
Familiarise yourself with the key regulations and guidelines relevant to investment compliance, such as UCITS and the 1940 Act. Being able to discuss these confidently will demonstrate your expertise and understanding of the industry.
✨Showcase Your Analytical Skills
Prepare to discuss specific examples where you've analysed investment exceptions or built compliance rules. Highlight your problem-solving approach and how you’ve successfully navigated complex situations in past roles.
✨Communicate Clearly
Since this role involves client interaction, practice articulating complex compliance issues in a straightforward manner. Good communication skills are essential, so be ready to showcase your ability to build relationships with clients and stakeholders.
✨Demonstrate Your Client-Focused Mindset
Be prepared to discuss how you've previously engaged with clients to understand their needs and provide tailored solutions. Emphasising your client-centric approach will resonate well with the interviewers.
