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Asset Management - Global Investment Management Compliance Monitoring & Testing - Associate - London

Job Description

The J.P. Morgan Asset Management business offers a full spectrum of investment strategies from equity, multi-asset, fixed income, currency, liquidity and asset allocation to alternative asset classes such as real asset, hedge funds and private equity, to clients throughout the world. 


This role resides within Asset Management Compliance and is accountable for supporting, coordinating the monitoring roll out within LATAM along with the development and execution of the risk-based compliance monitoring in a manner that is consistent with the global monitoring program.  This role will utilize the strong links in terms of product distribution between LATAM and EMEA and will be well placed to ensure a consistent approach.  This role will also enable focus on the marketing of Luxembourg funds into the LATAM market as part of the rollout of the LATAM marketing monitoring and will also ensure that LATAM adopts a consistent approach with other GIM regions.


The monitoring will cover key areas of regulatory and business focus, including assessing cross border, client suitability, managing risks related to conflicts of interest and fulfillment of our fiduciary duty to clients.


The professional who fills this position will work with Business, Legal, Risk, Audit and Compliance management to identify and assess risks; develop and execute an appropriate compliance monitoring plan; and, communicate the results of monitoring activities, including the identification of issues, to appropriate line of business management.


This position requires knowledge of applicable regional regulatory requirements and controls, as well as familiarity with risk management and control processes, and Compliance or Audit best practices.  The successful candidate should be enthusiastic, confident with a work ethic of continuous improvement and being best in class. They should have previous experience conducting compliance monitoring or testing, internal audits, or regulatory examinations of complex financial institutions.  


The successful candidate will report to the EMEA Compliance Monitoring and Testing Manager for GIM who will report through to the Global Asset Management Head of Monitoring and Testing.


Specific Responsibilities:

  • Research, plan and lead monitoring reviews, in accordance with the Firm’s Compliance procedures to provide an independent assessment of compliance with applicable rules and regulations; 
  • Prepare clear and organized monitoring work papers to document and support work performed and conclusions reached;
  • Organize and prepare management information relating to monitoring reviews completed, issues identified, outstanding action plans and progress against plan;
  • Work with line of business management to develop appropriate action plans to remediate issues identified; 
  • Work to enhance the visibility of the monitoring program and establish key business relationships.  Interact with all levels of business management and staff.  Meet regularly with key business stakeholders to remain informed of risks within the business and issues arising;
  • Work with the Compliance Advisory teams/Subject Matter Experts to ensure up to date and comprehensive understanding of business areas.  Use this knowledge to develop and execute the monitoring program;
  • Coordinate with other team members globally to ensure a consistent approach where appropriate and assist in various ad hoc projects as necessary;
  • Establish a process of continuous development of both individuals and the test program; and Undertake ad-hoc projects at the request of the EMEA Monitoring and Testing Manager for GIM, GWM Compliance and the Global Asset Management Head of Monitoring


  • Analytical and good interpersonal skills required;
  • Pro-active, motivated and enthusiastic;
  • Able to work independently with good time management skills;
  • Good influencing skills;
  • 3+ years of financial services experience, preferably in Audit or Monitoring/Testing or Regulatory Examinations related roles;
  • Ability to work in a team environment and assist with reviews, projects and/or team initiatives;
  • Strong organizational skills and willing to take ownership and responsibility of tasks;
  • Ability to manage multiple projects simultaneously with minimal supervision;
  • Understanding of risk and control frameworks;
  • Good knowledge of the regulatory framework for global banking and securities institutions, with an overall understanding of regional regulations relating to asset management;
  • Fluent in English;
  • Strong written and verbal communication skills, as well as influencing abilities; and
  • Knowledge of Microsoft Word, Excel and PowerPoint.  Experience with Visio preferred, but not required.
Req #: 160046046
Location: London, ENG GB
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 3500 Pound Sterling (GBP)

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