Investment Compliance

2 days ago

mumbai, India JPMorgan Chase & Co. Full time

Role overview:

Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and demonstrating industry best practices. Our mission is to support our clients - investment process by providing market leading services across the investment risk, return, analytics and post-trade investment compliance spectrum.

As a member of Investment Information Services (IIS) function, an individual is exposed to a wide gamut of financial products, including Equities, Fixed Income securities and Complex Assets. He/she is 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.

Job Duties and Responsibilities:

Core functional tasks

· Interpret guidelines & investment mandates to build logic-based rules for compliance monitoring.

· Understand client requirements on prospectus / rule changes and implement them on the platform.

· Meticulous root-cause analysis of investment exceptions which includes analysis of portfolio holdings, composition, historical transactions & data to verify compliance.

· Closure of exceptions on the compliance platform through communication with the client/fund manager for true exceptions and upstream teams for data / coding gaps.

· Prepare & deliver manual regulatory and client reports.

· Stay abreast on regulatory developments and industry trends related to post-trade compliance, providing insights and recommendations to management.

· Collaborate with the client to review changes in post trade monitoring regulations worldwide and implement standard set of regulatory rules.

· Client Mailbox monitoring and ensuring all queries are resolved with a sense of urgency and rule coding requests are being routed to be 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 projects undertaken.

· Understand client requirements and develop customized solutions on the compliance platform.

· Participate in new client onboarding process by providing functional expertise.

· Responsible for keeping clients abreast on any strategic or tactical changes.

· Support Due Diligence meetings with the clients.

Preferred Skills

Product/Process

· Extensive experience in post-trade compliance roles within investment banks, asset management firms, or brokerage firms.

· Working knowledge in guideline coding on compliance systems ., Charles River, Sentinel, Aladdin.

· Exhibit knowledge of asset management industry including operation of mutual, pension, insurance, and hedge funds.

· Have an in-depth understanding of complex instruments, fixed income, and equity products.

· Strong knowledge of global regulatory requirements impacting post-trade activities ., UCITS, IRS, 1940 Act, Money market regs, etc.

· Outstanding analytical skills to create logic-based investment rules.

· High standard of accuracy and strong attention to detail.

· Excellent organization skills – ability to prioritize workloads and adhere to stringent timelines.

· Experience with automation tools (Alteryx, AI, ML, Python, to create efficiencies will be preferred.

Behavioral skills

· Excellent communication & interpersonal skills to build trusted relationship with internal stakeholders, regulators, and external stakeholders.

· Ability to articulate complex issues in a clear and concise manner.

· Collaborative approach to problem solving.

· Excellent written communication skills with proven client engagement expertise

· Ability to think outside the box and challenge the status quo.

· Proven leadership skills with the ability to effectively manage a team and drive results in a fast-paced environment.

Qualifications

· Graduate/Post graduate degree with minimum of 8-10 years’ work experience in financial services industry, Mutual fund, Stock broking or related industry

· Advanced degree or professional certification including but not limited to CA, CPA, CFA, CS, FRM qualifications preferred.

· Certification course in CRD, SOX, 1940 Act, European regulations preferred.

· Proficiency in relevant software applications and systems used for post-trade compliance monitoring and reporting.

  • Investment Compliance

    3 months ago

    Mumbai, India JPMorgan Chase & Co. Full time

    Role overview: . Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and demonstrating industry...

  • Investment Compliance

    3 months ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Role overview**: J.P. Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and...

  • Investment Compliance

    3 months ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Worldwide Securities Services (WSS) Summary**: **Department Summary**: Market-leading post-trade compliance reporting services for portfolio risk management. J.P. Morgan's market-leading Compliance Reporting Services enables asset managers, fund sponsors and trustees to efficiently detect and manage violations of client-specified...

  • Head of Compliance--Investment Banking

    1 week ago

    mumbai, India OngoleBulls Full time

    Job Description: Head of Compliance - Investment Banking**Position:** Head of Compliance - Investment Banking**Location:** Mumbai, India**Company:** OngoleBulls Invest Pvt LtdAbout OngoleBulls Invest Pvt Ltd:**OngoleBulls Invest Pvt Ltd is a global financial services company offering a diverse range of financial products and services, including **investment...

  • Head of Compliance--Investment Banking

    6 days ago

    Mumbai, India OngoleBulls Full time

    Job Description: Head of Compliance - Investment Banking **Position:** Head of Compliance - Investment Banking **Location:** Mumbai, India **Company:** OngoleBulls Invest Pvt Ltd About OngoleBulls Invest Pvt Ltd:** OngoleBulls Invest Pvt Ltd is a global financial services company offering a diverse range of financial products and services, including...

  • Head of Compliance--Investment Banking

    3 weeks ago

    Mumbai, India OngoleBulls Full time

    Job Description: Head of Compliance - Investment Banking**Position:** Head of Compliance - Investment Banking  **Location:** Mumbai, India  **Company:** OngoleBulls Invest Pvt LtdAbout OngoleBulls Invest Pvt Ltd:**  OngoleBulls Invest Pvt Ltd is a global financial services company offering a diverse range of financial products and services, including...

  • Head of Compliance--Investment Banking

    3 weeks ago

    Mumbai, India OngoleBulls Full time

    Job Description: Head of Compliance - Investment Banking**Position:** Head of Compliance - Investment Banking  **Location:** Mumbai, India  **Company:** OngoleBulls Invest Pvt LtdAbout OngoleBulls Invest Pvt Ltd:**  OngoleBulls Invest Pvt Ltd is a global financial services company offering a diverse range of financial products and services, including...

  • Head of Compliance--Investment Banking

    1 week ago

    Mumbai, India OngoleBulls Full time

    Job Description: Head of Compliance - Investment Banking **Position:** Head of Compliance - Investment Banking   **Location:** Mumbai, India   **Company:** OngoleBulls Invest Pvt Ltd About OngoleBulls Invest Pvt Ltd:**   OngoleBulls Invest Pvt Ltd is a global financial services company offering a diverse range of financial products and services,...

  • Investment Compliance

    2 months ago

    Mumbai, India State Street Full time

    What you will be responsible for:• Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix.• Liaise with clients to obtain additional information that may be necessary from time to time to...

  • Investment Compliance

    1 month ago

    Mumbai Central, India State Street Full time

    What you will be responsible for:Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix.Liaise with clients to obtain additional information that may be necessary from time to time to code...

  • Manager/ Sr. Manager

    3 weeks ago

    Mumbai, India ASK Investment Managers Full time

    The quintessential candidate we seek is characterized by professionalism, acute analytical acumen, and superlative written and verbal communication abilities. Thriving in this role necessitates a self-driven disposition, the aptitude to navigate complexities, and a keen awareness of the ever-evolving regulatory and industry landscape. Embark on a rewarding...

  • Manager/ Sr. Manager

    4 weeks ago

    Mumbai, India ASK Investment Managers Full time

    The quintessential candidate we seek is characterized by professionalism, acute analytical acumen, and superlative written and verbal communication abilities. Thriving in this role necessitates a self-driven disposition, the aptitude to navigate complexities, and a keen awareness of the ever-evolving regulatory and industry landscape. Embark on a rewarding...

  • Manager/ Sr. Manager

    3 weeks ago

    Mumbai, India ASK Investment Managers Full time

    The quintessential candidate we seek is characterized by professionalism, acute analytical acumen, and superlative written and verbal communication abilities. Thriving in this role necessitates a self-driven disposition, the aptitude to navigate complexities, and a keen awareness of the ever-evolving regulatory and industry landscape. Embark on a rewarding...

  • Investment Compliance

    3 months 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...

  • Investment Compliance

    3 days 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...

  • Renaissance Investment

    3 weeks ago

    Mumbai, India Renaissance investment Manager Pvt Ltd Full time

    Senior Manager - Client Relationship Management:- Act as the primary point of contact for clients regarding account opening and PMS operations.- Develop and maintain strong relationships with clients to understand their needs and provide tailored solutions.- Address and resolve client inquiries and issues in a timely and professional manner.Account Opening...

  • Investment Compliance

    3 months ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Worldwide Securities Services (WSS) Summary**: **Department Summary**: Market-leading post-trade compliance reporting services for portfolio risk management. J.P. Morgan's market-leading Compliance Reporting Services enables asset managers, fund sponsors and trustees to efficiently detect and manage violations of client-specified...

  • Compliance/legal- Investment Banking Division

    3 months ago

    Mumbai, India JM Financial Full time

    **Eligibility Criteria-** **Years of experience**: 4-8 years **Designation**: Manager/ Sr Manager **Location**: Mumbai **Qualification**:LLB **Key Responsibilities include-** Transaction Compliance: Handling compliance work for Capital Markets, Mergers & Acquisitions and advisory mandates. Drafting, reviewing and vetting various documents and...

  • Compliance

    4 hours ago

    Mumbai, India GEPL Capital Full time

    GEPL Capital is India's most trusted, intelligent and robust full-service broker powered by cutting-edge technology and propelled by financial experts who offer the most robust wealth management and investment solutions. GEPL Capital is focused on wealth creation for all its customers and its services and product offerings include mutual funds, fixed income...

  • Compliance

    6 hours ago

    mumbai, India GEPL Capital Full time

    GEPL Capital is India's most trusted, intelligent and robust full-service broker powered by cutting-edge technology and propelled by financial experts who offer the most robust wealth management and investment solutions. GEPL Capital is focused on wealth creation for all its customers and its services and product offerings include mutual funds, fixed income...