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JPMorgan Chase & Co.
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717 JPMorgan Chase & Co. Jobs
Compliance - New Issue Pre-clearance - Associate
3-6 years
Bangalore / Bengaluru
1 vacancy
Compliance - New Issue Pre-clearance - Associate
JPMorgan Chase & Co.
posted 16hr ago
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Flexible timing
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Job Description
- 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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