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- Tasks: Join our team to ensure compliance with investment guidelines and regulations while engaging with clients.
- Company: J.P. Morgan is a global leader in financial services, known for its commitment to diversity and inclusion.
- Benefits: Enjoy a flexible work environment, professional development opportunities, and a chance to make an impact.
- Why this job: This role offers exciting challenges, client interaction, and the opportunity to work with diverse financial products.
- Qualifications: Experience in post-trade compliance and strong communication skills are essential; certifications like CFA are a plus.
- Other info: We value diverse talents and provide reasonable accommodations for applicants' needs.
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: Jpmorgan Chase & Co.
Contact Detail:
Jpmorgan Chase & Co. 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 to showcase your problem-solving skills by thinking of examples where you've successfully navigated complex compliance issues. This will help you illustrate your collaborative approach and ability to drive results in a fast-paced environment.
✨Tip Number 4
Engage with professionals in the investment compliance field through networking events or online forums. Building connections can provide insights into the role and may even lead to referrals, increasing your chances of landing the job.
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 financial products like Equities and Fixed Income securities. Use specific examples to demonstrate your expertise in guideline coding and compliance systems.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention your understanding of investment guidelines and regulations, and how your skills align with the responsibilities outlined in the job description. Be sure to convey your client-focused approach and problem-solving abilities.
Highlight Communication Skills: Since excellent communication is crucial for this role, provide examples of how you've successfully built relationships with clients and stakeholders in previous positions. Emphasise your ability to articulate complex issues clearly and concisely.
Showcase Attention to Detail: Given the importance of accuracy in compliance monitoring, include instances where your attention to detail has led to successful outcomes. This could be through resolving client queries or ensuring compliance with regulatory requirements.
How to prepare for a job interview at Jpmorgan Chase & Co.
✨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 in detail 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. Highlighting your problem-solving abilities and attention to detail will be crucial in this role.
✨Communicate Clearly
Since this role involves client interaction, practice articulating complex compliance issues in a clear and concise manner. Good communication skills can set you apart from other candidates.
✨Demonstrate Collaboration
Be ready to share experiences where you've worked collaboratively with clients or internal teams. This role requires a team-oriented approach, so showcasing your ability to work well with others is essential.
