Investment Compliance

2 weeks ago

mumbai, India JPMorgan Chase & Co. Full time

Worldwide Securities Services (WSS) Summary:

Morgan Worldwide Securities Services (WSS) is a premier securities servicing provider that helps institutional investors, alternative asset managers, broker dealers and equity issuers optimize efficiency, mitigate risk and enhance revenue. A division of JPMorgan Chase Bank, WSS leverages the firm’s global scale, leading technology and deep industry expertise to service investments around the world. It has $16.1 trillion in assets under custody and $7.3 trillion in funds under administration. For more information, go to .

Department Summary:

Market-leading post-trade compliance reporting services for portfolio risk management. . Morgan's market-leading Compliance Reporting Services enables asset managers, fund sponsors and trustees to efficiently detect and manage violations of client-specified investment rules, facilitating risk reduction and demonstrating industry best practices. With more than 200 clients and 6,000 portfolios-including more than 2,000 mutual funds-the firm services a large number of sophisticated investors globally, representing approximately $2 trillion in assets. Our diverse client list includes corporate and public pensions, investment managers, endowments and foundations, corporate cash, insurers and central banks.

Key Accountabilities/Major Responsibilities:

This role will incorporate the following:

Client Focused

Provided with a set of clients, the Compliance Reporting Analyst would be responsible for:

Ensure the setup of rules are in line with Client Investment Agreement. Able to interpret regulatory changes if any and accordingly provide functional input to make necessary changes to any existing rules.  Act as a change agent and provide technical expertise to key projects/initiatives in the compliance reporting function.  Able to provide an e2e view of the rule coded, whether it is working properly and resultant breaches if any.  Providing innovative solutions to client requirements (including coding the Compliance Reporting application) in sync with optimization of the rule library in place.  Is able to appreciate specific client nuances successfully and provide an appropriate & optimal solution to meet objectives. Maintaining existing fund "rules" within the system and tailoring available solutions to the changing needs of the client in a timely manner. Scope client requirements against that of the system and perform maintenance to the client's account. Investigate investment guideline breaches with the investment manager to assist the client in the breach resolution process. Keep upto date with industry practice, product development and evolving regulations. 

Technically Focused

Concentrate on problem-solving technical and involved requests for clients across the globe, as part of discrete implementations of new business. Interpreting investment mandates to identify "rules" Coding identified and agreed "rules" within the Compliance Reporting application Logical, problem-solving, technical person would be ideally suited.

The successful candidate will need to either have, or swiftly acquire, knowledge of a myriad of financial instruments, including derivatives.

Key responsibilities:

Create, maintain and test logical rules automatically applied to the financial instruments owned by 's clients.

Knowledge and Experience Required:

Degree in related technical area (such as Finance, Mathematics, Economics, Computer Sciences or Business) advantageous but not essential. Qualification involving financial instruments beneficial. The successful candidate would have the following key attributes, demonstrated by suitable experience: Coding or report writing experience, ideally with logic-based database systems Excellent financial market and instrument knowledge Compliance reporting product knowledge All candidates must have: Excellent written and verbal communication Strong analytical, organisational and problem solving skills PC literacy, especially in Microsoft Excel

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