The Compliance Reporting Services (CRS) department within is responsible for completing post-trade compliance reporting and analysis of all client and adviser holdings and transactions to ensure compliance with the respective client's guidelines or prospectus/statements of additional information. The CRS team also liaises directly with both clients and advisers, assisting with day-to-day compliance results review and interpretation.Job ResponsibilitiesPrimarily responsible for overseeing and management of a group of individuals, providing guidance, work allocation, review/distribution of compliance reporting, and performance reviews. Also key contributor to team structure and strategic initiatives.
Lead project management efforts and large scale client relationships; ability to manage large and complex 40 Act and Pension and/or Advisor client requests thoughtfully and independently.
Also responsible for oversight and strategic planning for the department's post-trade investment guideline reporting process and report distribution. Familiarity with trade order management systems (i.e., Charles River or related system) and the compliance functionality within such systems is ideal.
Provide compliance-related guidance and regulatory expertise to large clients, by review and interpretation of client mandates; present product capabilities and regulatory impacts to clients and prospective clients.
Partner with internal functional groups and clients in implementation and oversight of product enhancements and technology improvements.
QualificationsBachelor's Degree in Finance, Accounting, or related field or equal experience
5 - 10 years of related industry experience, either in Trade Compliance Monitoring, Investment
Operations, or Client ServiceClient Service/Client Management skills, for large and complex Asset Managers / Owners and/or
Investment Advisors, preferredSolid understanding of Fixed Income and Equity markets
Strong knowledge of the Investment Company Act of 1940, Investment Advisers Act of
1940, and/or Dodd-Frank and other Derivatives regulations, along with an overallunderstanding of regulations relating to pension plans, adviser and/or mutual fundsCurrent or previous management of staff, at various levels
Must have effective verbal and written communication skills; ability to communicate with
all levels inside and outside an organization.Other Ideal Qualifications:At least 5 years of compliance testing experience with the Investment Company Act of
1940 and/or Investment Advisers Act of 1940Experience with portfolio management compliance systems
Experience advising management and clients of issues and recommending corrective
actionsStrong financial instrument knowledge, including Derivatives
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. 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.The health and safety of our colleagues, candidates, clients and communities has been a top priority in light of the COVID-19 pandemic. JPMorgan Chase was awarded the "WELL Health-Safety Rating" for all of our 6,200 locations globally based on our operational policies, maintenance protocols, stakeholder engagement and emergency plans to address a post-COVID-19 environment.As a part of our commitment to health and safety, we have implemented various COVID-related health and safety requirements for our workforce. Employees are expected to follow the Firm's current COVID-19 or other infectious disease health and safety requirements, including local requirements. Requirements include sharing information including your vaccine card in the firm's vaccine record tool, and may include mask wearing. Requirements may change in the future with the evolving public health landscape. JPMorgan Chase will consider accommodation requests as required by applicable law.Equal Opportunity Employer/Disability/Veterans