Job description


  • Entry level
  • No Education
  • Salary to negotiate
  • London


Corporate – EMEA Compliance – UK Advisory Compliance Manager (Funds Compliance) – Vice President Job Description
Compliance - UK Advisory Compliance Manager (Funds Compliance) - VP - Based in London (Victoria Embankment)
A vacancy has arisen working within the JP Morgan Asset Management Compliance Team for an experienced Compliance Manager to join a team which provides regulatory advice and support to the asset management business. This is a high profile and exciting role and the candidate must possess sufficient knowledge and experience to be able to deal a wide range of products and complex issues.
This role will primarily be responsible for:

- provide advice and support on the regulatory aspects of investment breaches and investment portfolio matters;

- act as the main Compliance contact for fund depositaries which includes responding to queries and participating in due diligence visits;

- provide guidance on security pricing and valuation

- provide assistance in the review of eligible markets and new instruments / products (including attending project meetings and completing NBIA/PIA reviews as required);

- consider and interpret investment policy and restrictions, including applicability of benchmarks;

- assist the review and approval of new products and instruments such as ETFs and derivatives;

- participate in project work, as required;

- liaise with other Compliance teams based in overseas offices in the Continental Europe, US, Hong Kong, Japan etc.;

- liaise with Product Development and other control functions;

- maintain an up to date knowledge of the regulatory environment, specifically in respect of the UK and Luxembourg UCITS requirements as well as AIFMD;

- analyse the impact of new regulations within the business environment, ensuring that the business is prepared and made aware of the changes;

- provide support in writing minutes to compliance governance committees;

- prepare and deliver Compliance reports to Investment Trust Audit Committees;

- provide Compliance advisory support for the Investment Administration oversight of DST;

- support and advise the communications control group on regulatory matters relating to the approval of financial promotions;

- conduct monitoring reviews as prescribed by the annual monitoring program

- attend relevant committees and forums

Specific Experience Required:

- Good academic or professional qualifications or equivalent;

- Previous experience in a compliance advisory role within a Legal or Compliance Department, consultancy firm or regulator;

- Good practical knowledge of UCITS (both U.K. and Luxembourg) and AIFMD

- A practical working knowledge of equity and fixed income products is preferred, but derivative and alternative product knowledge would be advantageous;

- A good knowledge of US regulations, or the ability to acquire this in a fast-moving environment, is preferred.

The ability to form and develop relationships at all levels of the business is a critical element of this position. The successful candidate will have a strong and outgoing personality, with the ability to successfully represent themselves and the Compliance Function. The following skills are also required:

- ability to act on own initiative and fulfil objectives with minimum supervision;

- ability to constantly prioritise workflow;

- good analytical skills;

- attention to detail and good organisation skills;

- ability to work effectively within a team;

- strong written and oral communication skills;

- willingness to learn and develop new skills.

About J.P. Morgan Chase & Co:

J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its JPMorgan and Chase, and WaMu brands.

JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer and a member of the UK Government's Disability Confident Scheme.

  • due
  • ms project