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Corporate Compliance - Compliance Officer Funds - Associate - New York

Job Description

J.P. Morgan is a leader in asset management, investment banking, private banking, treasury and securities services, and commercial banking. Today, the firm serves one of the largest client franchises in the world, including corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries.  J.P. Morgan Asset Management is a leading asset manager for institutions, individuals and financial intermediaries, worldwide.  Our investment professionals are located around the world providing strategies that span the full spectrum of asset classes including equity, fixed income, cash liquidity, currency, real estate, infrastructure, hedge funds and private equity.


J.P. Morgan Funds is the fourth largest mutual fund firm in the U.S. and offers a range of mutual funds spanning all asset classes, adhering to distinct investment styles, to build portfolios to suit various investor goals and objectives. 

  

We are seeking a compliance professional with 3-5 years of mutual fund compliance related experience at a registered investment adviser, public accounting firm, federal securities regulatory agency or other relevant organization.  The individual must have a strong knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.  The candidate will assist in all aspects of compliance for proprietary and sub-advised mutual funds and other pooled vehicles that are managed by the Asset Management division of the firm.   This candidate will recommend policies and work with senior management to implement the overall J.P. Morgan Funds compliance program.   

 

Responsibilities will include the following:

  • Assist with the on-site compliance due diligence and oversight of new and existing JPMorgan Funds sub-advisors and prepare written summaries of findings.
  • Review quarterly sub-adviser due diligence materials and escalate any issues appropriately.
  • Assist in the preparation of governance committee materials and board reports
  • Monitoring and implementation of new regulatory requirements and industry developments affecting the J.P. Morgan  Funds and other pooled vehicles within Asset Management
  • Compliance analysis and implementation of new business initiatives
  • Lead ad hoc compliance projects and initiatives as directed by Senior Management

Qualifications:

  • 3-5 years of mutual fund compliance related experience at a registered investment adviser, public accounting firm, federal securities regulatory agency or other relevant organization
  • Strong technical knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940
  • Knowledge of ERISA and hedge fund are a plus
  • Strong analytical and project management skills
  • Ability to be organized and manage multiple tasks and projects simultaneously
  • Possess strong analytical skills
  • Excellent verbal and written communication skills as well as interpersonal skills
  • Commitment to teamwork
  •  Excel and MS Office proficient
JPMorgan Chase is an Equal Opportunity and Affirmative Action employer. M/V/D/V.
Req #: 160015618
Location: New York, NY US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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