Investment Compliance Senior Associate

J.P. MORGAN-1; Penicuik; On-site; GBP 50,000 - 90,000; Full time

Job summary

An established industry player is seeking an Investment Compliance Senior Associate to join their dynamic Data Solutions team. This role offers a unique opportunity to work with a diverse range of financial products, including Equities and Fixed Income securities. The ideal candidate will thrive in a client-facing environment, leveraging their expertise in investment guidelines and regulations to provide tailored solutions. You will collaborate with investment managers and clients, ensuring compliance while navigating complex regulatory landscapes. If you are driven by challenges and possess a keen analytical mindset, this position is perfect for you.

Qualifications

• Experience in post-trade compliance roles required.
• Strong knowledge of global regulatory requirements is essential.
• Professional certifications like CFA or FRM preferred.

Responsibilities

• Analyze investment exceptions and ensure compliance.
• Collaborate with clients to meet reporting needs.
• Maintain understanding of regulatory developments.

Skills

Post-trade compliance experience

Guideline coding knowledge

Excellent communication skills

Knowledge of global regulatory requirements

Collaborative problem-solving

Leadership skills

Attention to detail

Organizational skills

Education

Professional certifications (CFA, FRM)

Tools

TRAC

Charles River

Sentinel

Aladdin

Alteryx

Python

Job description

If you are enthusiastic about Investment Guidelines and Regulations, and enjoy a client-facing role, check out our new opportunity!

As an Investment Compliance Senior Associate within the Data Solutions team, you will be exposed to a wide range of financial products, including Equities, Fixed Income securities, and Complex Assets. Your responsibilities will include interpreting guidelines, building investment rules, investigating potential violations, and partnering with investment managers and clients to assess their needs and provide solutions. This role is ideal for a client-focused, solution-driven individual who thrives on challenges, possesses intellectual curiosity and an entrepreneurial spirit, and enjoys working in a fast-paced yet flexible environment.

Job Responsibilities

1. Understand client requirements regarding prospectus/rule changes and collaborate with clients to leverage platform functionality to meet reporting and data needs.
2. Analyze root causes of investment exceptions by reviewing portfolio holdings, composition, historical transactions, and data to verify compliance.
3. Interpret guidelines and investment mandates to develop logic-based rules for compliance monitoring.
4. Participate in client calls for service reviews, due diligence meetings, and project discussions.
5. Ensure all client queries are resolved promptly and accurately.
6. Close exceptions on the compliance platform by communicating with clients/fund managers and upstream teams regarding true exceptions and data/coding gaps.
7. Collaborate with global peers to define best practices and remediate manual or bespoke processes.
8. Maintain a thorough understanding of industry, market, and regulatory developments related to regulatory reporting, engagement, and disclosure requirements for asset owners and managers.
9. Update standard regulatory rule sets and review changes in post-trade monitoring rules with clients.
10. Coordinate with Controls, Audit, and Risk teams to review and analyze process-related controls.
11. Assist in new client onboarding by providing market knowledge and functional expertise.

Required Qualifications, Capabilities, and Skills

• Experience in post-trade compliance roles within the financial services industry.
• Knowledge of guideline coding on compliance systems such as TRAC, Charles River, Sentinel, Aladdin.
• Excellent communication and interpersonal skills to build trusted relationships with clients and stakeholders.
• Strong knowledge of global regulatory requirements affecting post-trade activities (e.g., UCITS, IRS, 1940 Act, Money Market Regulations).
• Ability to articulate complex issues clearly and concisely.
• Collaborative problem-solving approach.
• Proven leadership skills to drive results in a fast-paced environment.
• In-depth understanding of complex instruments, including fixed income and equity products.
• Excellent written communication skills with client engagement experience.
• High accuracy standards and attention to detail.
• Strong organizational skills to prioritize workloads and meet deadlines.

Preferred Qualifications, Capabilities, and Skills

• Professional certifications such as CFA, FRM, or relevant regulations (1940 Act, European regulations).
• Experience with automation tools like Alteryx, AI, ML, Python, etc.

J.P. Morgan's Commercial & Investment Bank is a global leader across banking, markets, securities services, and payments. We serve corporations, governments, and institutions worldwide in over 100 countries. Our bank provides strategic advice, capital raising, risk management, and liquidity services globally.