AM Operations

3 weeks ago


Mumbai, India JPMorgan Chase & Co. Full time

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.

Responsibilities:

Manage the Guidelines Management Control function supporting the US region. The role requires good knowledge of Fixed Income products,1940Act and UCITS with specific emphasis on investment guidelines.

This is an individual contributor role.

Post-trade violation investigation & resolution  Classification of Active v/s Passive breach Assistance with Client certifications/ attestations. Additional review of regulatory breaches around 1940 Act and UCITS regulations  Coordinating with Portfolio managers and Investment specialists for client's investment guidelines breaches Participate and contribute in team meetings and Governance meetings with stakeholders Participate in local and global Projects 

Qualifications:

7-10 years of work experience of Portfolio Guidelines Coding/ Monitoring. Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.  Professional level understanding of 1940Act and UCITS Regulations is needed. 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. Communication (Spoken – Assertiveness & Written): Need to communicate with Front Office (Portfolio Managers), Onshore Leads, Investment Specialists on need basis to ensure client guideline breaches are understood by Front Office for necessary correction of the trades.  Portfolio breaches need to be explained with requisite details over the email. Understanding of Portfolio Management, Role of Portfolio Manager, Key aspects of Investment Management.
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