AM- Investment Compliance/Coding- Team Leader Job Vacancy in JPMorgan Chase Bank, N.A. Mumbai, Maharashtra – Updated today

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Company Name :
JPMorgan Chase Bank, N.A.
Location : Mumbai, Maharashtra
Position :

Job Description : Process Overview
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.
Description of Functions

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 analytical review of Investment Guidelines provided by investors and institutions.
Partner with various operations team to improve data availability and overall quality of underlying data.

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

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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.
Interactions with stakeholders
Projects as required.
Process/ system enhancements along with regression testing

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.
Portfolio manager query emails must be reverted on the same day.
Minimum Requirements

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2-5 years of work experience of Portfolio Guidelines Coding/ Monitoring.
Candidate with 5+ years in-depth understanding of securities reference data, portfolio analysis experience can be considered.
Familiar with trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
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.
Communication (Spoken – Assertiveness & Written): Need to communicate with Front Office (Portfolio Managers), Onshore Leads, Client Services on need basis to ensure correct interpretation by the coding team & to confirm 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.
Individual contributor & effective team player.
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.

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