Investment Guidelines Team Leader @ BPO Convergence

Job Description

Job Description Job Responsibilities Manage and oversee the Guidelines Management Control function supporting the Private Family Funds business For the EMEA region. Also, the role requires good knowledge of European Fund regulation, specifically UCITS and AIFMD including country specific nuances with specific emphasis on investment guidelines. This is an individual contributor role. 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. Interactions with stakeholders Projects as required. Process/ system enhancements along with regression testing 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 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 Participate in local and projects as required. Process / system enhancements along with regression testing Required Qualificaions, Skills And Capabilities 2-5 years of work experience of Portfolio Guidelines Coding/ Monitoring. Candidate with good understanding of securities reference data, portfolio analysis experience can be considered. Familiar with trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance) Professional level understanding of UCITS Regulations 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. 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 worlds 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. 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

Employement Category:

Employement Type: Full time
Industry: Financial Services
Role Category: Customer Service (Domestic)Back Office Operations
Functional Area: Not Applicable
Role/Responsibilies: Investment Guidelines Team Leader

+ View Contact

Keyskills:   Coding Monitoring Portfolio Analysis Analytical Skills Communication Portfolio Management Investment Management Portfolio Guidelines Coding Securities Reference Data UCITS Regulations Interpretation Skills Detail Orientation