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 1+40 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:
+-11 years of work experience of Portfolio Guidelines Coding/ Monitoring.
5+ years in people management role.
Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
Professional level understanding of 1+40 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.
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.
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, ****** 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.
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 1+40 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:
+-11 years of work experience of Portfolio Guidelines Coding/ Monitoring.
5+ years in people management role.
Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
Professional level understanding of 1+40 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.
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.
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, ****** 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.
💡 Quick Summary
Seeking a career-building opportunity? The Investment Guidelines|Associate position is now open for candidates interested in the Bank Jobs sector. This role in Bengaluru offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
