Guidelines Associate: Investment Compliance & Risk

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

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