Securities Services - Investment Compliance - Associate

at  JPMorgan Chase Co

JOB SUMMARY:

This position is an opportunity for a suitable candidate to join the Depositary Services team. The successful candidate will gain exposure to all areas of the funds’ industry including regulatory, legal, compliance, accounting, transfer agency services, custody, collateral management, and risk management.

REQUIRED QUALIFICATIONS, CAPABILITIES, AND SKILLS:

• Expertise within the funds’ industry.
• Prior experience in investment compliance and/or risk related function preferred.
• Prior experience of fund accounting risk assessment and/or auditing regulated investment funds coupled with related regulatory knowledge preferred.
• Professional judgement, communication and strong influencing skills.
• Proven relationship management skills.
• Organised and structured approach to work to ensure timely closure of issues.
• A team player – innovative and creative.
• Positive approach to new ideas and change management.
• Strong analytical skills.
• Ability to identify and manage risk.
• Pro-active and motivated to learn.
• Ability to work as a team member and ensure a high service quality level focused on client.

ABOUT US

J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

• Assist in checking funds’ investment restrictions are complied with and in line with statutory regulations and prospectus limits.
• Validation of investment restriction rules in the compliance system and ensuring rules are in line with regulations and fund investment policy.
• Pro-active management of all client issues ensuing timely closure of breaches, errors and other significant matters affecting the funds.
• Provide support to internal and external clients and participate in key projects and new business launches.
• Participate in Management Company due diligence reviews and on-site visits.
• Participate in Service Provider on-site visits.
• Review of fund documentation and ensuring oversight programme is adequate to assess adherence to requirements.
• Significant knowledge of AIFMD and UCITS requirements and an ability to stay abreast of regulatory change.