Coding- Investment Guidelines- Analyst

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.

Job Responsibilities

Monitoring UCITS investment guidelines and 1940Act Guidelines and client guidelines. The role requires good knowledge of European Fund regulation, specifically UCITS and 1940 Act with specific emphasis on investment guidelines.

This is an individual contributor role.

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 1940Act regulations 
• Coordinating with Portfolio managers and Investment specialists for fund / client account breaches
• Execute Client service group duties and coordinate between various portfolios managers 
• Participate in local and global Projects. 

Required Qualifications, Skills and Capabilities:

• 2-5 years of work experience of Portfolio Guidelines Coding/ Monitoring.
• Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.
• Professional level understanding of UCITS and 1940 Act Regulations is needed.
• 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 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.

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. 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.