Investment Guidelines associate

2 weeks ago

Mumbai, India JPMorgan Chase Bank, N.A. Full time

**Description of Functions**
**Coding
- Annotation of Investment management Agreement
- Coding client and regulatory rules on compliance platforms.
- Rule Standardization
- Counterparty and broker setups for trading
- Setting up strategy benchmark and client approved security List
- Leveraging Machine learning tools for standard rule setups
- Performing analytical review of Investment Guidelines provided by investors and institutions.
- Partner with various operations team to improve data availability and overall quality of underlying data.

**Monitoring
- Monitoring investment breaches & tracking down root causes
- Liaison with Portfolio Managers & end-clients ensuring complete adherence to Investment Guidelines.
- Ensure investment of portfolios is per client guidelines, internal policies & procedures and in compliance with all relevant regulatory requirements.
- Leverage Portfolio analytical tools and perform durations and weightage calculations for complex rules
- Analysis & Interpretation of investment guidelines related to Equity, Fixed Income, BETA, ETF, Funds, Hedge Fund Portfolios & Derivatives.
- Ensure coding accuracy & communicate in case of any discrepancy.
- Partner with various operations team to improve data availability and overall quality of underlying data.

**Scope & Responsibilities**

**Coding
- New account coding, reviews & revisions including on-boarding activities.
- Review new data analytics and update compliance platforms
- Understand and setup rules as per ratings agencies
- Identification of coding issues.
- Maintenance of Legal & Compliance approved & restricted lists.
- Counterparty maintenance.
- Work on Rule coding standardization across supported regions.
- Perform periodic reviews of account coding to ensure accuracy & consistency.
- Setting up trading brokers and counterparty Limits, exposure as per IMA
- Evaluate coding accuracy & communicate in case of any discrepancy.
- Partner with monitoring team to reduces false breaches and manually monitored guidelines.
- Lead Governance meetings with stakeholders
- Participate in local and global Projects
- Product Lead and People Management

**Monitoring
- Post-trade violation investigation & resolution
- Classification of Active v/s Passive breach
- Assistance with Client certifications/ attestations.
- Additional review of regulatory breaches around UCITS and 1940 ACT regulations
- Classification of Fund Portfolio investments
- Manual test execution as per defined periodicity.
- Perform Annual account review
- Coordinating with Portfolio managers and Investment specialists for fund breaches
- Execute Client service group duties and coordinate between various portfolio managers
- Lead Governance meetings with stakeholders
- Participate in local and global Projects
- Product Lead and People Management

**Performance Areas & % Time
- Workflow management.
- Adherence to time-bound SLA for all Coding and New & repeat alerts.
- Generate periodic Metrics and KPI
- Perform manual checks as per tests agreed with Risk & Front Office.
- There is no tolerance to errors - non-completion or incorrect action by Guidelines team may lead to Loss and/ or Client impact.

**Minimum Requirements
- 9-11 years of work experience of Portfolio Guidelines Coding/ Monitoring.
- 5+ years in people management role.
- Professional level understanding of 1940 Act, UCITS Regulations or ERISA will be added advantage.

**Key Competencies
- Analytical & Interpretation skills: Client agreement language needs interpretation and post trade compliance tests performed need data analysis skills. Team needs to understand financial instruments which are being traded by Portfolio Managers to code guidelines or to perform secondary research.
- Detail Orientation: Function is critical from an impact perspective. Need eye for detail and there is zero tolerance to oversight mistakes.
- Understanding of Portfolio Management, Role of Portfolio Manager, Key aspects of Investment Management.
- People & performance management.

**Technical Skill**

Proficiency level 1 - Beginner, 2 - Intermediate, 3 - Advanced
- Portfolio Management - 3
- Fixed Income, Equity, Liquidity, ETFs, Multi Asset Solution, BETA - 3
- Portfolio Compliance Coding/ Monitoring - 3
- Bloomberg - 3
- Investment Strategies - 2
- Sentinel/ Charles River/ Aladdin (Compliance)/ SimCorp Dimension/ ThinkFolio - 3
- Interpretation of Legal Language from Client Guidelines - 3
- 1940 Act, UCITS Regulations - 2
- Project Management - 2
- People Management - 2

**Shift**
APAC/ EMEA/ North America

JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transacti

  • Investment Guidelines associate Ii

    4 weeks ago

    Mumbai, India JPMorgan Chase Bank, N.A. Full time

    **Responsibilities**: **Coding** - New account coding, reviews & revisions including on-boarding activities. - Review new data analytics and update compliance platforms - Understand and setup rules as per ratings agencies - Identification of coding issues. - Maintenance of Legal & Compliance approved & restricted lists. - Counterparty maintenance. - Work on...

  • Associate - Investment

    6 days ago

    Mumbai, India Bolt Techservices Full time

    Associate - Investments Location: Mumbai Qualification: - MBA/CA/CFA with min of 7 yrs of experience in Real estate, Infrastructure, PE Funds, Investment Banking Competencies Required:- Good Communication and leadership skills. - Good understanding and experience of real estate transactions, transaction structuring, financial modelling and investment. -...

  • Investment Banking

    4 weeks ago

    Andheri, Mumbai, Maharashtra, India Asit C Mehta Investment Interrmediates Full time

    **Job ID**: Investment Banking (IPO) **Role**: Investment Banking (IPO) **Department**: Investment Banking & Corporate Advisory **Location**: Andheri East, Mumbai, Maharashtra **Designation**: Senior Manager to Associate Vice President **Reporting structure for the position**: Head - Investment Banking & Corporate Advisory **No of Position Vacant**:...

  • Investment Associate

    4 days ago

    Mumbai, Maharashtra, India Decimal Point Analytics Full time

    **Job Title/Designation**: Investment Associate **Experience**: 2-3 years of work experience at DP (Depository Participant) or in an accounting function **Location**:Mumbai,Nashik, Gandhinagar **Key Responsibilities**: - Responsible for ensuring the accuracy of investment related information on the investment system, includes ensuring trade capture,...

  • Awm am Operations global Guidelines change and

    6 days ago

    Mumbai, India JPMorgan Chase Bank, N.A. Full time

    **Introduction** J.P. Morgan Asset & Wealth Management, with client assets of $2.4 trillion, is a global leader in investment and wealth management. Its clients include institutions, high-net-worth individuals and retail investors in every major market throughout the world. The division offers investment management across all major asset classes including...

  • Investment Risk_Compliance_Financial Services

    3 weeks ago

    mumbai, India Arin Consultancy Private Limited Full time

    Duties and Responsibilities Our company is searching for a motivated and experienced Investment Risk Officer to ensure that our investment processes and allied transactions follow all relevant regulatory and internal guidelines. Your duties will include reviewing the existing framework, mapping it against the regulatory guidelines and best industry...

  • Investment Banking

    4 weeks ago

    Andheri, Mumbai, Maharashtra, India Asit C Mehta Investment Interrmediates Full time

    **Job ID**: Investment Banking (ECM Sourcing & Execution) **Role**: Investment Banking (ECM Sourcing & Execution) **Department**: Investment Banking & Corporate Advisory **Location**: Andheri East, Mumbai, Maharashtra **Designation**: Senior Manager to Associate Vice President **Reporting structure for the position**: Head - Investment Banking &...

  • Senior Associate

    1 week ago

    mumbai, India Michael Page Full time

    Opportunity to work with one of the top 5 fund managers by experience Opportunity to work with Tech-enabled and Traditional-sector businesses About Our Client The fund is an AIF Cat 2 growth fund started by an industry veteran who has spent 12 years as a senior private equity professional in India. It is India's first fund dedicated to...

  • Associate Investment Officer

    4 weeks ago

    Mumbai, India IFC Systems Corporation Full time

    **Associate Investment Officer** **Job #**: - req24853**Organization**: - IFC**Sector**: - Financial Sector**Grade**: - GF**Term Duration**: - 3 years 0 months**Recruitment Type**: - Local Recruitment**Location**: - Mumbai,India**Required Language(s)**: - English**Preferred Language(s)**: - Hindi**Closing Date**: - 11/14/2023 (MM/DD/YYYY) at...

  • Sm - Investments Mid-office

    4 weeks ago

    Mumbai, India pnb metlife Full time

    **Key Responsibilities**: - Cash Management - Investment Reporting as required by IRDAI, Regional team and Management - Monitoring various limits prescribed by IRDAI for various investments - Knowledge of Investment Accounting and interaction with the Finance & Actuarial team for financials & reporting. - Excellent understanding of IRDAI Investment...

  • Investment Associate

    3 weeks ago

    mumbai, India Michael Page Full time

    Opportunity to work with India's largest infra & PE fund Work on end to end deals for the master fund About Our Client India's largest infrastructure and private equity fund Job Description Deal Execution: Will work with the deal team on the following aspectsSupport development of investment thesis and investment evaluation process...

  • Investment Accounting Associate

    1 week ago

    mumbai, India Apollo Global Management, Inc. Full time

    Position Overview Apollo is a high-growth, global alternative asset manager. In our asset management business, we seek to provide our clients excess return at every point along the risk-reward spectrum from investment grade to private equity with a focus on three investing strategies: yield, hybrid, and equity. For more than three decades, our...

  • Investment Accounting Associate

    4 weeks ago

    Mumbai, India Apollo Global Management, Inc. Full time

    Position Overview Apollo is a high-growth, global alternative asset manager. In our asset management business, we seek to provide our clients excess return at every point along the risk-reward spectrum from investment grade to private equity with a focus on three investing strategies: yield, hybrid, and equity. For more than three decades, our investing...

  • Associate Investment Officer

    4 weeks ago

    Mumbai, India World Bank Group Full time

    **Job #**: - req24853**Organization**: - IFC**Sector**: - Financial Sector**Grade**: - GF**Term Duration**: - 3 years 0 months**Recruitment Type**: - Local Recruitment**Location**: - Mumbai,India**Required Language(s)**: - English**Preferred Language(s)**: - Hindi**Closing Date**: - 11/14/2023 (MM/DD/YYYY) at 11:59pm UTC**Description** Private...

  • Investment Risk

    4 weeks ago

    Mumbai, India JPMorgan Chase & Co. Full time

    As an Investment Risk & Analytics - Senior Associate within the Wealth Management (WM) Investment Risk & Analytics (IR&A) team, you will be responsible for the risk oversight of the Managed Strategies across the WM’s Private Bank and Consumer Bank businesses. You will partner with senior members of our team to oversee business activities related to...

  • Investment Risk

    3 weeks ago

    mumbai, India JPMorgan Chase & Co. Full time

    As an Investment Risk & Analytics - Senior Associate within the Wealth Management (WM) Investment Risk & Analytics (IR&A) team, you will be responsible for the risk oversight of the Managed Strategies across the WM’s Private Bank and Consumer Bank businesses. You will partner with senior members of our team to oversee business activities related to...

  • Investment Banking

    2 weeks ago

    Mumbai, Maharashtra, India timesjobs Full time

    Company Description RJ Capital Overseas Pvt. Ltd., a promising company in the field of Financial Services, Equity Funding & Asset Restructuring, Stock Market, Taxation, Account and Audits.Job Description If you have a keen financial mind and understand the way that money is made and invested, then corporate investment banking could be for youAs a corporate...

  • Interns for Investment firm

    2 weeks ago

    Mumbai, Maharashtra, India timesjobs Full time

    Company Description Job Description We are a investment company, doing all types of investment, for which we rewuire interns for 2-3 months for profile of Advisory, research, portfolio management, Financial planning, data management etc.Additional Information All your information will be kept confidential according to EEO guidelines.I'm interested

  • Investment Banking

    2 weeks ago

    Mumbai, India timesjobs Full time

    Company Description www.BringleAcademy.comRJ Capital Overseas Pvt. Ltd., a promising company in the field of Financial Services, Equity Funding & Asset Restructuring, Stock Market, Taxation, Account and Audits.Job Description If you have a keen financial mind and understand the way that money is made and invested, then corporate investment banking could be...

  • Interns for Investment firm

    2 weeks ago

    Mumbai, India timesjobs Full time

    Company Description www.BringleAcademy.comJob Description We are a investment company, doing all types of investment, for which we rewuire interns for 2-3 months for profile of Advisory, research, portfolio management, Financial planning, data management etc.Additional Information All your information will be kept confidential according to EEO guidelines.I'm...