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10+ JPMorgan Chase & Co. Team Lead Interview Questions and Answers

Updated 25 Aug 2024

Q1. What is compliance and different compliance measures maintained

Ans.

Compliance refers to adhering to laws, regulations, and standards set by governing bodies.

  • Compliance measures ensure that organizations operate within legal and ethical boundaries

  • Examples of compliance measures include HIPAA, GDPR, PCI DSS, and SOX

  • Compliance can be achieved through policies, procedures, training, audits, and assessments

  • Non-compliance can result in legal and financial penalties, damage to reputation, and loss of business

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Q2. What is KYC What is Customer Due Diligence(CDD)

Ans.

KYC stands for Know Your Customer and CDD stands for Customer Due Diligence.

  • KYC is the process of verifying the identity of a customer and assessing their potential risks.

  • CDD is a part of KYC and involves gathering information about the customer's identity, occupation, and source of funds.

  • CDD helps in identifying and preventing money laundering, terrorist financing, and other financial crimes.

  • Examples of KYC/CDD include verifying a customer's identity through government-issue...read more

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Q3. What are OFAC sanctions countries

Ans.

OFAC sanctions countries are nations that are subject to economic and trade sanctions by the US government.

  • OFAC stands for Office of Foreign Assets Control

  • Sanctions are imposed on countries that pose a threat to US national security or foreign policy

  • Examples of OFAC sanctions countries include Iran, North Korea, Syria, and Venezuela

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Q4. Do u know to work on pivot and build macros

Ans.

Yes, I am proficient in working with pivot tables and building macros.

  • I have experience in creating pivot tables to analyze large data sets and extract meaningful insights.

  • I am skilled in using macros to automate repetitive tasks and improve efficiency.

  • I have worked with various functions and formulas in Excel to manipulate data and create custom reports.

  • I am familiar with VBA programming and can write code to enhance the functionality of macros.

  • For example, I have built a ma...read more

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Q5. What are the type of corporate action

Ans.

Corporate actions are events initiated by a company that can affect the stock price and shareholder value.

  • Dividends

  • Stock splits

  • Mergers and acquisitions

  • Spin-offs

  • Rights issues

  • Bonus issues

  • Share buybacks

  • Name changes

  • Delistings

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Q6. Aml vs kyc, stage of money laundering, ofac finra fincen

Ans.

Aml and kyc are measures to prevent money laundering. OFAC, FINRA, and FinCEN are regulatory bodies that enforce AML laws.

  • AML (Anti-Money Laundering) is a set of laws, regulations, and procedures designed to prevent the illegal generation of income through criminal activities.

  • KYC (Know Your Customer) is a process of verifying the identity of customers to prevent fraud and money laundering.

  • OFAC (Office of Foreign Assets Control) enforces economic and trade sanctions against co...read more

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Q7. What is bond & yield relationship

Ans.

Bond & yield relationship refers to how changes in bond prices affect the bond's yield, and vice versa.

  • When bond prices go up, yields go down, and vice versa.

  • Yield is the return on investment for a bond, expressed as a percentage.

  • Inverse relationship between bond prices and yields is due to the fixed interest rate of bonds.

  • Example: If a bond is issued at $1,000 with a 5% yield, and interest rates rise, the bond price may drop to $900, increasing the yield to compensate.

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Q8. How Nav is calculated & it's formula

Ans.

NAV (Net Asset Value) is calculated by subtracting liabilities from assets and dividing by the number of outstanding shares.

  • NAV = (Total Assets - Total Liabilities) / Number of Outstanding Shares

  • Total Assets include all investments, cash, and other assets held by the fund

  • Total Liabilities include any debts or obligations the fund has

  • Number of Outstanding Shares is the total number of shares issued by the fund

  • NAV is used to determine the value of a mutual fund or ETF

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Q9. Understanding of KYC

Ans.

KYC stands for Know Your Customer. It is a process of verifying the identity of customers to prevent fraud and money laundering.

  • KYC is mandatory for financial institutions and other regulated entities

  • It involves collecting and verifying customer information such as name, address, and identification documents

  • KYC also includes ongoing monitoring of customer transactions to detect suspicious activity

  • Examples of KYC documents include passport, driver's license, and utility bills

  • K...read more

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Q10. What is coupons

Ans.

Coupons are discounts or special offers provided by retailers to customers to encourage purchases.

  • Coupons can be in the form of physical paper vouchers or digital codes

  • They typically offer a discount on a specific product or a percentage off the total purchase

  • Some coupons have restrictions such as expiration dates or minimum purchase requirements

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Q11. What is fixed income

Ans.

Fixed income refers to investments that pay a fixed interest or dividend income, such as bonds or certificates of deposit.

  • Fixed income investments provide a predictable stream of income to investors.

  • Examples include government bonds, corporate bonds, municipal bonds, and preferred stocks.

  • Fixed income securities are generally considered lower risk compared to equities.

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Interview Process at JPMorgan Chase & Co. Team Lead

based on 23 interviews
3 Interview rounds
Resume Shortlist Round
One-on-one Round - 1
One-on-one Round - 2
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