Investment Guidelines associate Ii

**JOB DESCRIPTION** Job 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

**Required Qualifications, Skills and Capabilities**:

- 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.
- 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.

**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.