Compliance and Risk Management

4 days ago

Mumbai, Maharashtra, India JP Morgan Chase & Co. Full time
Job Description

Job summary:

As an Associate in the Compliance team, you will be supporting Regulatory Compliance Coverage for JP Morgan India Pvt. Ltd. (JPMIPL).

Job responsibilities:

Round-up and LRR

- Support JPMIPL compliance officer in tracking reg changes relating to all the 3 licenses. Update the weekly round-up in line shared by compliance.
- Responsible for administrative support of updating LRCM for applicable and non-applicable entries.

PAD related

- Responsible for administrative task of iComply updates and attestations for individual certifications (NISM)
- Support in managing the Eholdings database and annual roll-out to all JPM relevant employees.

RACER

- Updating and managing the entries in RACER for inspections/ request/ meetings managed for SEBI regulated businesses.

L&R

- Managing the entire Licensing and Registration updates and attestation (L&R system for Eq, FNO, GIB, Research & DCC and offline for CEM FX accredition)

Equities/IB related

- Support in managing NSE Dashboard of Alerts
- Support in managing surveillance related queries from exchanges and regulators.
- Support in performing monitoring activities (RNA) for JPMIPL
- Support in submission of RBS reports to the exchanges (final reports received from the Controls team)
- Responsible for collation of data for reg inspections and queries
- Engage with exchanges to resolve operational queries relating to compliance matters.
- Support the compliance officer in reviewing and issuing compliance policies applicable to JPMIPL LOBs.

GFCC related

- Disseminating the FIU Alerts to relevant teams and co-ordinating confirmation for responses back to FIU on those Alerts.
- Supporting the team in compiling the data for adhoc regulatory requests or internal asks.

Required qualifications, capabilities, and skills:

- Bachelor's Degree in Finance, Economics, Statistical Mathematics, Data Science or equivalent/related disciplines
- 5-7 yearsof experience in the Financial Services Industry with a demonstrated track-record experience and knowledge ofStock Broking / Research compliance, including basic understanding of India AML/CFT regulations and requirements

Preferred qualifications, capabilities, and skills:

- Chartered Accountant, Master's degree, LL.B, Company Secretaryor other closely related professional qualification will be beneficial.

Competencies:

- Ability to develop and maintain productive relationships with key internal clients.
- A solution driven approach, with exemplary problem solving skills
- Good analytical ability.
- Ability to work effectively alone and as part of a team,
- Strong inclination to automation and technology driven solutions to ease processes.
- Good written and verbal communication skills.

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