Investment Guidelines associate
1 month ago
**JOB DESCRIPTION**
Portfolio Compliance: Coding & Monitoring, Trade Surveillance, Alert Management.
AM Guidelines team supports portfolio managers by updating Investment management mandates on Compliance platforms and monitoring alerts for Institutional client guidelines. Coding involves setting up client & compliance regulations in systems to enable effective monitoring of guidelines. Monitoring requires managing the alerts, breaches generated pre/ post trade as a result of trades/ non-trading actions and communicating effectively with various stakeholders.
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**
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
Participate in local and projects as required.
Process / system enhancements along with regression testing.
**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:
5+ years of work experience of Portfolio Guidelines Coding/ Monitoring.
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.
Individual contributor & effective team player.
**ABOUT US**
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 transaction processing and asset management.
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. In accordance with applicable law, we make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as any mental health or physical disability needs.
**ABOUT THE TEAM**
J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.
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