Investment Compliance Senior Associate

J.P. MORGAN-1; Scotland; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking an Investment Compliance Senior Associate to join their dynamic Data Solutions team. In this role, you will engage with a variety of financial products, ensuring compliance with investment guidelines and regulations. Your expertise will drive solutions for clients while collaborating with investment managers to assess needs. This position is perfect for a detail-oriented professional who thrives in a fast-paced environment and is eager to tackle challenges. Join a global leader in financial services, where your contributions will shape the future of investment compliance.

Qualifications

• Experience in post-trade compliance roles within financial services.
• Knowledge of guideline coding on compliance systems.
• Strong understanding of global regulatory requirements.

Responsibilities

• Analyze investment exceptions and verify compliance.
• Collaborate with clients for service reviews and project discussions.
• Maintain understanding of industry and regulatory developments.

Skills

Post-trade compliance experience

Guideline coding on compliance systems

Excellent communication skills

Understanding of global regulatory requirements

Collaborative problem-solving

Leadership skills

Understanding of complex instruments

Attention to detail

Organizational skills

Education

Professional certifications (CFA, FRM)

Tools

TRAC

Charles River

Sentinel

Aladdin

Alteryx

Python

Job description

Job Opportunity: Investment Compliance Senior Associate

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 work with 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 needs and provide solutions. This position is ideal for a client-focused, solution-driven individual who thrives on new 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 for reporting and data needs.
2. Analyze root causes of investment exceptions, including 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 timely and accurate resolution of all client queries.
6. Close exceptions on the compliance platform through communication with clients, fund managers, and upstream teams for data or 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 for asset owners and managers.
9. Update standard regulatory rule sets and collaborate with clients on changes in post-trade monitoring rules.
10. Engage with Controls, Audit, and Risk teams to review and analyze process controls.
11. Participate 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 understanding of global regulatory requirements impacting 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 strict deadlines.

Preferred Qualifications, Capabilities, and Skills

• Professional certifications such as CFA, FRM, or relevant regulations (e.g., 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, providing strategic advice, capital raising, risk management, and liquidity solutions globally.