Job Description
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 Vice President 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
- Supervise and build a strong Investment Compliance team by fostering a culture of ownership, communication, and strategic decision-making.
- Hire candidates with a focus on evolving business needs.
- Coach and develop staff, including setting formal objectives and conducting performance reviews.
- Review metrics related to team activities to make objective, data-driven decisions for performance evaluations.
- Foster a culture of innovation and lead through transformation, focusing on quantifiable productivity and quality gains.
- Collaborate with global stakeholders to achieve business goals and plan and implement product/technology enhancements.
- Represent Investment Compliance in various forums across the firm.
- Interact closely with external and internal auditors to ensure smooth and timely audit compliance.
- Contribute to strategic business initiatives to maximise operating performance.
- Stay informed on regulatory developments, product development, and industry trends, providing insights and fostering information sharing.
- Lead client calls for service reviews and due diligence meetings, presenting product capabilities and regulatory impacts.
Required qualifications, capabilities, and skills
- Hold a graduate or postgraduate degree with a minimum of 12+ years of experience in the financial services industry, mutual funds, stock broking, or related fields.
- Possess extensive experience in post-trade compliance roles within investment banks, asset management, or brokerage firms.
- Demonstrate proficiency in relevant software applications and systems used for post-trade compliance monitoring and reporting.
- Exhibit strong knowledge of the asset management industry, including the operation of mutual, pension, insurance, and hedge funds.
- Maintain a high standard of accuracy and strong attention to detail.
- Display excellent organisational skills with the ability to prioritise workloads and adhere to stringent timelines.
- Demonstrate proven leadership skills with the ability to effectively manage a team and drive results in a fast-paced environment.
- Inspire, coach, and influence the team to achieve high performance.
- Communicate effectively with excellent interpersonal skills to build trusted relationships with internal stakeholders, regulators, and external stakeholders.
- Exhibit strong analytical skills with the ability to understand complex workflows.
- Possess excellent written communication skills with proven client engagement and management expertise, and the ability to think outside the box and challenge the status quo.
Preferred qualifications, capabilities, and skills
- Advanced degree or professional certification, including but not limited to Chartered Accountant (CA), Certified Public Accountant (CPA), Chartered Financial Analyst (CFA), Company Secretary (CS), and Financial Risk Manager (FRM) qualifications preferred.
- Certification course in Credit Risk Management (CRD), Sarbanes-Oxley Act (SOX), Investment Company Act of 1940 (1940 Act), and European regulations preferred.
About Us
J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
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.
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.
