Compliance and Risk Management - Associate

Job summary:

As an Associate in the Compliance team, you will be supporting Regulatory Compliance Coverage for JP Morgan India Pvt. Ltd. (JPMIPL).

Job responsibilities:

Round-up and LRR

• Support JPMIPL compliance officer in tracking reg changes relating to all the 3 licenses. Update the weekly round-up in line shared by compliance.
• Responsible for administrative support of updating LRCM for applicable and non-applicable entries.

PAD related

• Responsible for administrative task of iComply updates and attestations for individual certifications (NISM)
• Support in managing the Eholdings database and annual roll-out to all JPM relevant employees.

RACER

• Updating and managing the entries in RACER for inspections/ request/ meetings managed for SEBI regulated businesses.

L&R

• Managing the entire Licensing and Registration updates and attestation (L&R system for Eq, FNO, GIB, Research & DCC and offline for CEM FX accredition)

Equities/IB related 

• Support in managing NSE Dashboard of Alerts
• Support in managing surveillance related queries from exchanges and regulators.
• Support in performing monitoring activities (RNA) for JPMIPL
• Support in submission of RBS reports to the exchanges (final reports received from the Controls team) 
• Responsible for collation of data for reg inspections and queries
• Engage with exchanges to resolve operational queries relating to compliance matters.
• Support the compliance officer in reviewing and issuing compliance policies applicable to JPMIPL LOBs.

GFCC related

• Disseminating the FIU Alerts to relevant teams and co-ordinating confirmation for responses back to FIU on those Alerts. 
• Supporting the team in compiling the data for adhoc regulatory requests or internal asks.

Required qualifications, capabilities, and skills:

• Bachelor’s Degree in Finance, Economics, Statistical Mathematics, Data Science or equivalent/related disciplines
• 5-7 years of experience in the Financial Services Industry with a demonstrated track-record experience and knowledge of Stock Broking / Research compliance, including basic understanding of India AML/CFT regulations and requirements

Preferred qualifications, capabilities, and skills:

• Chartered Accountant, Master’s degree, LL.B, Company Secretary or other closely related professional qualification will be beneficial.

Competencies:

• Ability to develop and maintain productive relationships with key internal clients.
• A solution driven approach, with exemplary problem solving skills; 
• Good analytical ability.
• Ability to work effectively alone and as part of a team, 
• Strong inclination to automation and technology driven solutions to ease processes. 
• Good written and verbal communication skills.

JPMorganChase, 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.