Interprets investment guidelines, configures and tests post-trade compliance rules, investigates potential violations, validates data, resolves exceptions, and prepares audit-ready client and regulatory reports. Partners with clients, investment managers, controls, audit, and risk teams on issue resolution, onboarding, process improvements, and operational risk reduction across equities, fixed income, derivatives, and complex assets.
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 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 an Associate in the Investment Information Services team, you will be 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. In your new role, you will be exposed to a wide gamut of financial products, including Equities, Fixed Income securities and Complex Assets.
Job Responsibilities
- Interpret investment guidelines and mandates to design clear, logic-based compliance rules.
- Build, test, and maintain rule configurations in post-trade compliance platforms to ensure accurate monitoring.
- Implement prospectus updates and rule changes with strong version control, documentation, and timeliness.
- Investigate potential violations by analyzing holdings, portfolio composition, historical transactions, and reference data.
- Validate data inputs and identify root causes, including data quality gaps, mapping issues, or rule logic defects.
- Resolve exceptions by partnering with clients, investment managers, and internal data/configuration teams.
- Prepare and deliver manual client and regulatory reports with high accuracy and audit-ready support.
- Monitor and triage client queries to meet service timelines and communicate clear next steps.
- Partner with controls, audit, and risk stakeholders to strengthen processes and reduce operational risk.
- Participate in client discussions to review service performance and support ongoing enhancements and projects.
- Support client onboarding by gathering requirements and helping design scalable compliance solutions.
Required qualifications, capabilities, and skills
- Graduate or postgraduate degree.
- 4 years of experience in post-trade compliance, investment operations, or investment risk within asset management, banking, or brokerage environments.
- Demonstrated ability to interpret investment guidelines/mandates and translate them into testable rule logic.
- Hands-on experience configuring or using a compliance monitoring platform (for example, Charles River, Sentinel, or BlackRock Aladdin).
- Working knowledge of equities, fixed income securities, and derivatives or other complex instruments.
- Knowledge of key global regulatory concepts impacting post-trade monitoring and client reporting.
- Strong analytical skills to perform exception investigation and root-cause analysis using holdings and transaction data.
- High attention to detail with a track record of producing accurate, audit-ready outputs.
- Strong organization and prioritization skills to manage multiple requests under time-sensitive deadlines.
- Clear, professional communication skills with experience partnering with clients and internal stakeholders.
Preferred qualifications, capabilities, and skills
- Professional certification (for example, Chartered Financial Analyst (CFA), Financial Risk Manager (FRM), Certified Public Accountant (CPA), or Chartered Accountant (CA)).
- Experience supporting client onboarding or large-scale rule migrations/implementations.
- Experience improving operational controls, documenting procedures, or supporting audit/testing activities.
- Familiarity with automation or analytics tools (for example, Alteryx, Python, artificial intelligence, or machine learning) to improve efficiency and quality.
- Experience providing backup coverage for a team lead/manager and coordinating work during periods of high volume.
- Exposure to asset owner segments such as pension funds, insurance, mutual funds, or hedge funds.
- Training or coursework related to operational risk, internal controls, or regulatory reporting.
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.
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