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Asset Management | Investment Management | Monitoring & Oversight Specialist, Funds Management

Job Description

Position Summary

Function as staff member position that focuses on periodic monitoring of JPMorgan Funds trade and account activity (daily, weekly, monthly, and quarterly).  Ensure various Fund prospectus rules are adhered too by Financial Intermediaries and Distribution Partners, shareowners, and the Transfer Agent for the Funds, and assist the Vice President in preparing and summarizing monitoring activities to the Funds Board, Funds Governance Committee, Legal, Compliance, and various other committees and managers.
 
This individual should be able to work independently, analyze data, and interpret and communicate prospectus rules accurately and effectively to intermediaries and shareholders.  The candidate will be expected to assist the Monitoring & Oversight team in completing other oversight functions, including invoice reconciliation and corporate control tasks. The candidate should also be proficient in drafting effective & comprehensive procedures that are consistent with SEC rules, regulations and JPMDS policies, and have a strong knowledge of VBA & macros, Excel, Access, and how to manage large amounts of data.
 
Key monitoring activities include:
Excessive Trading
Share Class Eligibility
Late Trading
RCSA (Risks and Controls Self Assessment)
UT’s (User Tools)
 
Principal Responsibilities
Primary responsibilities include reviewing and analyzing trades and shareholder accounts using various monitoring reports.   Sources of monitoring reports and applications include the Transfer Agent, Financial Intermediary applications, internal JPMAM data warehouse & sales systems, and other external vendor systems.  Based on issues or violations identified through monitoring activities, the position is responsible for maintaining/updating databases and communicating incidents within JPMorgan Funds Client Services, as well as the appropriate party responsible for the violation.
 
Along with reporting violations and other incidents, the position will responsible for compiling and maintaining periodic  reports that outline and document key monitoring activities, such as excessive trading violations issued by Fund and Financial Intermediary, and then assisting the VP for the department in presenting to various operational managers on a periodic basis.  Other responsibilities will include assisting Monitoring & Oversight in meeting invoice reconciliation and corporate control deadlines, as needed.

Job Specifications

  • Knowledge of fund procedures & prospectus, Federal regulations and transfer agency procedures required to effectively communicate and manage monitoring activities, as well as future implementation of policies and procedures.
  • Thorough understanding of mutual funds and the investment industry
  • Leadership skills required in dealing with sensitive issues and unexpected situations
  • Analytical, problem solving and initiative required in researching information and finding solutions
  • Organizational skills, prioritization skills and attention to detail required
  • Communication skills, both verbal and written are required in the communication with the internal JPMAM Departments, external service providers and financial intermediaries
  • Knowledge of MIS & Reporting
  • Knowledge of NSCC trading & back offices
  • Mutual Fund Series 6 & 63 licenses preferred
  • Strong MS Office skills particularly in Excel, VBA & macros,  Access, PowerPoint, & Word
  • College degree (4 year) and 3-5 years of work experience preferred
Req #: 160029784
Location: Westerville, OH US
Job Category: Asset Management
Employment Type: Full Time
Potential Referral Amount: US Dollar (USD)

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