Operations Post Trade Compliance Associate

Job Description

J .P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. J.P. Morgan delivers an end-to-end solution for clients seeking exceptional financial and regulatory reporting services. We embrace a culture of continuous learning, and we are passionate about using technology and process improvements that enable our world class team to achieve great results for clients.

As an Operations Post Trade Compliance Associate within the Post Trade Compliance team, you will drive structure and discipline around each initiative using standard project deliverables and frameworks, including establishing scope and performing detailed business impact analysis in support of management decisions. Additionally, you'll define roles and responsibilities, establish and document requirements, resolve resource/scheduling conflicts, escalate and ensure issues/decisions are resolved, manage changes to project scope, document and complete testing requirements, create and manage implementation plans, and lead/participate in meetings at the operational and project level. You'll provide continuous feedback on project status and issues and serve as the overall escalation point to ensure the project tracks to original expectations.

Job responsibilities

• Oversee and manage a team, providing guidance, work allocation, and performance reviews
• Lead project management efforts and maintain large-scale client relationships, managing complex 40 Act and Pension and/or Advisor client requests independently
• Plan and strategize the department's post-trade investment guideline reporting process and report distribution
• Utilize trade order management systems (e.g., Charles River) and leverage compliance functionalities within these systems
• Provide compliance-related guidance and regulatory expertise to large clients by reviewing and interpreting client mandates
• Present product capabilities and regulatory impacts to clients and prospective clients
• Partner with internal functional groups and clients to implement and oversee product enhancements and technology improvements

Required qualifications, capabilities, and skills

• Bachelor's Degree in Finance, Accounting, or a related field, or equivalent experience
• 5 plus years of related industry experience in Trade Compliance Monitoring, Investment Operations, or Client Service
• Proven client service and management skills, particularly with large and complex Asset Managers/Owners and/or Investment Advisors
• Solid understanding of Fixed Income and Equity markets
• Strong knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Dodd-Frank, and other derivatives regulations, with an overall understanding of regulations relating to pension plans, advisers, and/or mutual funds
• Experience in managing staff at various levels
• Effective verbal and written communication skills, with the ability to communicate with all levels inside and outside the organization

Preferred qualifications, capabilities, and skills

• At least 5 years of compliance testing experience with the Investment Company Act of 1940 and/or Investment Advisers Act of 1940, preferred
• Experience with portfolio management compliance systems
• Experience advising management and clients of issues and recommending corrective actions
• Strong financial instrument knowledge, including Derivatives

About Us

JPMorganChase, 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 offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

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. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans

About the Team

J.P. Morgan’s Commercial & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.