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JPMorgan Chase & Co.

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4.1

based on 5.8k Reviews

Proud winner of ABECA 2024 - AmbitionBox Employee Choice Awards

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704 JPMorgan Chase & Co. Jobs

Compliance - New Issue Pre-clearance - Associate

JPMorgan Chase

4.1

based on 5.8k Reviews

3-6 years

Bangalore / Bengaluru

1 vacancy

Compliance - New Issue Pre-clearance - Associate

JPMorgan Chase & Co.

posted 16hr ago

Job Role Insights

Flexible timing

Key skills for the job

Home Loans Software Asset Management Portfolio Management Mutual Funds Financial Markets Corporate Actions

+ 2 more

Job Description

The Asset Management Operations - Guidelines New Issue Approvals Team is composed of members from diverse backgrounds, each bringing varying levels of experience, knowledge, and expertise. This team is tasked with responsibilities including new issue approval, post-trade new issue alert review, regulatory reporting, ERISA secondary eligibility review, and liability management.

As an Associate in the Guidelines team you will work as strategic thinker with a strong sense of prioritization and execution, capable of driving process change and building partnerships, who possesses a solid understanding of investment products, exceptional problem-solving skills, and relevant experience in financial markets or investment compliance.

Job Responsibilities

Provide guidance to NAMR AM Portfolio Management Teams for new securities offerings, bank loans, and tender offers based on applicable laws and regulations.
Review Daily New Issue Alerts to ensure compliance with issued guidance and escalate any issues related to new securities purchases.
Report all fixed income and municipal new offerings purchased by U.S. mutual funds under SEC Rule 10f-3 when JPMS or affiliated broker dealers are involved.
Conduct 23B Reporting for equity, fixed income, and municipal new offerings purchased by accounts with JPMorgan Chase Bank, as required by OCC Regulation W-23B.
Review terms of securities offering documents to determine ERISA account eligibility for secondary market investments, using Sentinel-driven pre-trade alerts.
Coordinate with Asset Management Corporate Action teams to provide aggregate tender amounts for ERISA accounts and U.S. Mutual Funds in affiliated corporate actions.
Own and deliver initiatives to drive efficiency, mitigate risk, and meet regulatory mandates, while maintaining excellent communication with senior business members.

Required qualifications, capabilities and skills

Possess a strong understanding of investment products and processes, along with the ability to think strategically to create business-led solutions.
Demonstrate a strong sense of prioritization, urgency, execution, and delivery, with experience in driving process change and efficiencies in a growing business
Build strong, cohesive partnerships with the Business, Technology, and other key stakeholders, and work effectively in a matrix organization.
Exhibit innovative and creative thought leadership with exceptional problem-solving and analytical skills, along with a strong oversight and control mindset.
Hold a Bachelors Degree (or equivalent) and have minimum 5 years of experience in Financial Markets, Portfolio Management, or Investment Compliance, with knowledge of securities regulatory requirements and the ability to interact with senior Investment personnel.

Employment Type: Full Time, Permanent

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