Asset Management - Guidelines Associate

JPMorganChase; Philippines; On-site; PHP 900,000 - 1,500,000; Full time

Job summary

JPMorganChase, a leading global financial services firm, is seeking a Guidelines Associate to provide regulatory, fiduciary, and conflict-of-interest guidance for new investment opportunities. You will review documentation, assess eligibility, and ensure activity aligns with guidelines and obligations while partnering with stakeholders to elevate exceptions and strengthen monitoring and processes.

The role emphasizes analysis, judgment, and risk management in a dynamic environment, with

Qualifications

• Bachelor's degree or equivalent required.
• 3 years of experience in financial markets, investment management, compliance, or risk management.
• Ability to analyze complex regulatory and fiduciary scenarios and summarize conclusions clearly.
• Strong attention to detail with ability to manage deadlines and competing priorities.
• Effective communication with senior stakeholders and cross-functional teams.
• Proficiency in Microsoft Office (Excel, PowerPoint, Word).

Responsibilities

• Review offering documentation to identify conflicts of interest and assess eligibility across client types and fund structures.
• Provide guidance on participation in new offerings and related transactions (fixed income, equity, bank loan activity, corporate actions).
• Assess affiliate involvement and conflict considerations to support compliant participation decisions.
• Evaluate regulatory and fiduciary requirements impacting eligibility and participation parameters.
• Monitor daily new-issue activity and escalate discrepancies as needed.
• Conduct ERISA-related eligibility reviews in applicable cases.
• Review pre-trade overrides to ensure investments align with guidelines and fiduciary obligations.
• Coordinate with corporate action partners to support affiliated actions and fee treatment.
• Escalate exceptions with documentation and recommended next steps.
• Drive initiatives to improve efficiency, controls, and regulatory compliance.

Skills

Bachelor's degree or equivalent

Financial markets knowledge

Regulatory and fiduciary analysis

Communication with senior stakeholders

Attention to detail and judgment

MS Office proficiency

Education

Bachelor's degree (or equivalent)

Tools

Microsoft Office

Job description

Job Description:

Help protect client interests by enabling informed participation in new investment opportunities. In this role, you will translate complex regulatory and fiduciary requirements into clear, practical guidance for investment teams. You will collaborate across partners to identify conflicts of interest and support strong controls. If you enjoy analytical work, thoughtful judgment calls, and purpose-driven risk management, this role offers meaningful impact.

Job summary

As a Guidelines Associate in the Operations Guidelines Team, you will provide regulatory, fiduciary, and conflict-of-interest guidance to support participation in new issues and related corporate actions. You will review documentation, assess eligibility requirements, and help ensure investment activity aligns to applicable guidelines and obligations. You will partner with key stakeholders to elevate exceptions appropriately and strengthen monitoring and process efficiency.

Job responsibilities

• Review offering documentation to identify potential conflicts of interest and assess eligibility for relevant client types and fund structures
• Provide guidance on participation in new offerings of fixed income and equity securities, and on related transactions such as bank loan activity and corporate actions (e.g., tender offers and consent solicitations)
• Assess affiliate involvement and conflict considerations to support compliant participation decisions
• Evaluate applicable regulatory and fiduciary requirements that impact investment eligibility and participation parameters
• Monitor daily new-issue activity to confirm purchases align with the guidance issued and elevate discrepancies as needed
• Perform secondary-market eligibility reviews for accounts subject to the Employee Retirement Income Security Act (ERISA), where required by rules or pre-trade alerts
• Review and monitor pre-trade override requests to confirm proposed investments align with applicable investment guidelines, regulatory requirements, and fiduciary obligations
• Coordinate with corporate action partners to support affiliated corporate actions by providing aggregated participation information when required for fee treatment
• Escalate identified exceptions or potential breaches with clear documentation and recommended next steps
• Drive initiatives that improve efficiency, strengthen controls, mitigate risk, or meet regulatory mandates

Required qualifications, capabilities and skills

• Bachelor’s degree (or equivalent)
• 3 years of experience in financial markets, investment management, investment compliance, portfolio management support, operations, or risk management
• Working knowledge of financial markets, investment products, and trading activities
• Ability to analyze complex regulatory, fiduciary, and conflict-related scenarios and summarize conclusions clearly
• Strong attention to detail and sound judgment, including comfort working with deadlines and competing priorities
• Ability to communicate effectively with senior stakeholders and build productive working relationships
• Proficiency in Microsoft Office (Excel, PowerPoint, Word)

Preferred qualifications, capabilities and skills

• Experience providing compliance or participation guidance for new issues (including initial public offerings (IPOs) and fixed income offerings)
• Knowledge of relevant regulatory frameworks (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Department of Labor prohibited transaction exemptions, and Securities Exchange Act of 1934)
• Experience supporting ERISA eligibility reviews and fiduciary account considerations
• Experience with pre-trade monitoring, exception management, and escalation practices in an investment environment
• Data analytics and automation experience (e.g., building controls, workflow improvements, or reporting)
• Demonstrated process improvement experience, with a strong oversight and control mindset
• Developing experience using AI-powered analytics, workflow automation, or intelligent process tools to drive efficiency gains, reduce manual effort, or improve accuracy in operational processes

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.

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.