Investment Compliance

1 week ago

Mumbai, India JPMorgan Chase & Co. Full time

Role overview:

. Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and demonstrating industry best practices. Our mission is to support our clients - investment process by providing market leading services across the investment risk, return, analytics and post-trade investment compliance spectrum.

As a member of Investment Information Services (IIS) function, an individual is exposed to a wide gamut of financial products, including Equities, Fixed Income securities and Complex Assets. He/she is responsible for interpreting guidelines, building investment rules, investigation of potential violations and partnering with the investment manager and/or the client to assess their needs and provide solutions.

Job Duties and Responsibilities:

Core functional tasks

· Interpret guidelines & investment mandates to build logic-based rules for compliance monitoring.

· Understand client requirements on prospectus / rule changes and implement them on the platform.

· Meticulous root-cause analysis of investment exceptions which includes analysis of portfolio holdings, composition, historical transactions & data to verify compliance.

· Closure of exceptions on the compliance platform through communication with the client/fund manager for true exceptions and upstream teams for data / coding gaps.

· Prepare & deliver manual regulatory and client reports.

· Stay abreast on regulatory developments and industry trends related to post-trade compliance, providing insights and recommendations to management.

· Collaborate with the client to review changes in post trade monitoring regulations worldwide and implement standard set of regulatory rules.

· Client Mailbox monitoring and ensuring all queries are resolved with a sense of urgency and rule coding requests are being routed to be worked upon per timelines.

· Interface with Controls, Audit, and risk teams to review and analyze all process related controls.

Client Engagement

· Participate in client calls for service reviews and projects undertaken.

· Understand client requirements and develop customized solutions on the compliance platform.

· Participate in new client onboarding process by providing functional expertise.

· Responsible for keeping clients abreast on any strategic or tactical changes.

· Support Due Diligence meetings with the clients.

Preferred Skills

Product/Process

· Extensive experience in post-trade compliance roles within investment banks, asset management firms, or brokerage firms.

· Working knowledge in guideline coding on compliance systems ., Charles River, Sentinel, Aladdin.

· Exhibit knowledge of asset management industry including operation of mutual, pension, insurance, and hedge funds.

· Have an in-depth understanding of complex instruments, fixed income, and equity products.

· Strong knowledge of global regulatory requirements impacting post-trade activities ., UCITS, IRS, 1940 Act, Money market regs, etc.

· Outstanding analytical skills to create logic-based investment rules.

· High standard of accuracy and strong attention to detail.

· Excellent organization skills – ability to prioritize workloads and adhere to stringent timelines.

· Experience with automation tools (Alteryx, AI, ML, Python, to create efficiencies will be preferred.

Behavioral skills

· Excellent communication & interpersonal skills to build trusted relationship with internal stakeholders, regulators, and external stakeholders.

· Ability to articulate complex issues in a clear and concise manner.

· Collaborative approach to problem solving.

· Excellent written communication skills with proven client engagement expertise

· Ability to think outside the box and challenge the status quo.

· Proven leadership skills with the ability to effectively manage a team and drive results in a fast-paced environment.

Qualifications

· Graduate/Post graduate degree with minimum of 8-10 years’ work experience in financial services industry, Mutual fund, Stock broking or related industry

· Advanced degree or professional certification including but not limited to CA, CPA, CFA, CS, FRM qualifications preferred.

· Certification course in CRD, SOX, 1940 Act, European regulations preferred.

· Proficiency in relevant software applications and systems used for post-trade compliance monitoring and reporting.

  • Investment Compliance

    1 week ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Role overview**: J.P. Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and...

  • Investment Compliance

    1 week ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Worldwide Securities Services (WSS) Summary**: **Department Summary**: Market-leading post-trade compliance reporting services for portfolio risk management. J.P. Morgan's market-leading Compliance Reporting Services enables asset managers, fund sponsors and trustees to efficiently detect and manage violations of client-specified...

  • Investment Compliance

    1 month ago

    Mumbai, India JPMorgan Chase & Co. Full time

    This role will incorporate the following: Client Focused Provided with a set of clients, the Compliance Reporting Analyst would be responsible for: Ensure the setup of rules are in line with Client Investment Agreement. ble to interpret regulatory changes if any and accordingly provide functional input to make necessary changes to any existing...

  • Investment Compliance

    1 month ago

    mumbai, India JPMorgan Chase & Co. Full time

    This role will incorporate the following: Client Focused Provided with a set of clients, the Compliance Reporting Analyst would be responsible for: Ensure the setup of rules are in line with Client Investment Agreement. ble to interpret regulatory changes if any and accordingly provide functional input to make necessary changes to any existing...

  • Investment Compliance

    4 days ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Worldwide Securities Services (WSS) Summary**: **Department Summary**: Market-leading post-trade compliance reporting services for portfolio risk management. J.P. Morgan's market-leading Compliance Reporting Services enables asset managers, fund sponsors and trustees to efficiently detect and manage violations of client-specified...

  • Compliance/legal- Investment Banking Division

    4 weeks ago

    Mumbai, India JM Financial Full time

    **Eligibility Criteria-** **Years of experience**: 4-8 years **Designation**: Manager/ Sr Manager **Location**: Mumbai **Qualification**:LLB **Key Responsibilities include-** Transaction Compliance: Handling compliance work for Capital Markets, Mergers & Acquisitions and advisory mandates. Drafting, reviewing and vetting various documents and...

  • Head of Compliance

    3 weeks ago

    mumbai, India Vahura Full time

    Our Client is a leading broking and investment firm in India, dedicated to delivering exceptional financial services across various sectors including investment banking, stock broking, portfolio management, private wealth management, research analysis, and Alternative Investment Funds .They are now seeking a seasoned professional to join their team as...

  • Manager – Compliance

    5 days ago

    Mumbai, Maharashtra, India Arin Consultancy Private Limited Full time

    Key roles & responsibilities: Compliance RBI reporting All applicable compliances under NBFC Regulations. Assist in various audits: PPM Audit, Internal Audit and Statutory Audit Draft/ Prepare/ Review/ Annual Trustee Compliance Test Report Assist in preparation/drafting of applications/letters/communications with RBI, trustee, investors or...

  • Investment Specialist

    17 hours ago

    Mumbai, India HDFC securities Full time

    The Investment Advisor will work with Relationship Managers to provide clients (UHNIs, Family Offices and Corporates) with professional guidance on investment products and portfolio management. He/she will partner and build the Investment Advisory proposition so as to achieve and maintain leadership position in this domain.KEY RESPONSIBILITIESIdentify...

  • Head of Compliance

    5 days ago

    Mumbai, Maharashtra, India Vahura Full time

    Our Client is a leading broking and investment firm in India, dedicated to delivering exceptional financial services across various sectors including investment banking, stock broking, portfolio management, private wealth management, research analysis, and Alternative Investment Funds . They are now seeking a seasoned professional to join their team as the...

  • Head of Compliance

    3 weeks ago

    Mumbai, India Vahura Full time

    Our Client is a leadingbroking and investment firmin India, dedicated to delivering exceptional financial services across various sectors includinginvestment banking, stock broking, portfolio management, private wealth management, research analysis,andAlternative Investment Funds .They are now seeking a seasoned professional to join their team as theHead of...

  • Head of Compliance

    1 month ago

    Mumbai, India Vahura Full time

    Our Client is a leading broking and investment firm in India, dedicated to delivering exceptional financial services across various sectors including investment banking, stock broking, portfolio management, private wealth management, research analysis, and Alternative Investment Funds.They are now seeking a seasoned professional to join their team as the...

  • Head of Compliance

    3 weeks ago

    Mumbai, India Vahura Full time

    Our Client is a leading broking and investment firm in India, dedicated to delivering exceptional financial services across various sectors including investment banking, stock broking, portfolio management, private wealth management, research analysis, and Alternative Investment Funds.They are now seeking a seasoned professional to join their team as the...

  • Head of Compliance

    4 weeks ago

    Mumbai, India Vahura Full time

    Our Client is a leading broking and investment firm in India, dedicated to delivering exceptional financial services across various sectors including investment banking, stock broking, portfolio management, private wealth management, research analysis, and Alternative Investment Funds.They are now seeking a seasoned professional to join their team as the...

  • Head of Compliance

    3 weeks ago

    Mumbai, India Vahura Full time

    Our Client is a leading broking and investment firm in India, dedicated to delivering exceptional financial services across various sectors including investment banking, stock broking, portfolio management, private wealth management, research analysis, and Alternative Investment Funds.They are now seeking a seasoned professional to join their team as the...

  • Head of Compliance

    3 weeks ago

    Mumbai, India Vahura Full time

    Our Client is a leading broking and investment firm in India, dedicated to delivering exceptional financial services across various sectors including investment banking, stock broking, portfolio management, private wealth management, research analysis, and Alternative Investment Funds . They are now seeking a seasoned professional to join their team as the...

  • Analyst- Compliance

    6 days ago

    mumbai, India Apollo Global Management, Inc. Full time

    Position Overview Position Overview The Analyst will work closely with junior and senior members of the Risk Compliance team to implement and monitor investment guideline compliance for various Funds, CLOs, and Separate Accounts managed by Apollo. The Analyst will support all aspects of therisk compliance program, including implementing and encoring...

  • Analyst- Compliance

    2 weeks ago

    Mumbai, India Apollo Global Management, Inc. Full time

    Position Overview Position Overview The Analyst will work closely with junior and senior members of the Risk Compliance team to implement and monitor investment guideline compliance for various Funds, CLOs, and Separate Accounts managed by Apollo. The Analyst will support all aspects of therisk compliance program, including implementing and encoring...

  • Investment Guidelines associate

    2 months 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...

  • Financial Compliance

    5 days ago

    Mumbai, Maharashtra, India Cacti Global Full time

    Job listing Job detailsJob Information:Work Experience yearsSkillset Compliance SMELocation MumbaiEducation Criteria LLBIndustry Financial ServicesVertical LegalDomain Domestic ComplianceSub-Domain Compliance Managed ServicesCity Goregaon EastState/Province MaharashtraCountry IndiaZip/Postal Code We are a leading alternate legal service provider and talent...