Compliance and Risk Management - Associate

Job summary:

As an Associate in the Compliance team, you will be supporting Regulatory Compliance Coverage for JP Morgan India Pvt. Ltd. (JPMIPL).

Job responsibilities:

Round-up and LRR

• Support JPMIPL compliance officer in tracking reg changes relating to all the 3 licenses. Update the weekly round-up in line shared by compliance.
• Responsible for administrative support of updating LRCM for applicable and non-applicable entries.

PAD related

• Responsible for administrative task of iComply updates and attestations for individual certifications (NISM)
• Support in managing the Eholdings database and annual roll-out to all JPM relevant employees.

RACER

• Updating and managing the entries in RACER for inspections/ request/ meetings managed for SEBI regulated businesses.

L&R

• Managing the entire Licensing and Registration updates and attestation (L&R system for Eq, FNO, GIB, Research & DCC and offline for CEM FX accredition)

Equities/IB related 

• Support in managing NSE Dashboard of Alerts
• Support in managing surveillance related queries from exchanges and regulators.
• Support in performing monitoring activities (RNA) for JPMIPL
• Support in submission of RBS reports to the exchanges (final reports received from the Controls team) 
• Responsible for collation of data for reg inspections and queries
• Engage with exchanges to resolve operational queries relating to compliance matters.
• Support the compliance officer in reviewing and issuing compliance policies applicable to JPMIPL LOBs.

GFCC related

• Disseminating the FIU Alerts to relevant teams and co-ordinating confirmation for responses back to FIU on those Alerts. 
• Supporting the team in compiling the data for adhoc regulatory requests or internal asks.

Required qualifications, capabilities, and skills:

• Bachelor’s Degree in Finance, Economics, Statistical Mathematics, Data Science or equivalent/related disciplines
• 5-7 years of experience in the Financial Services Industry with a demonstrated track-record experience and knowledge of Stock Broking / Research compliance, including basic understanding of India AML/CFT regulations and requirements

Preferred qualifications, capabilities, and skills:

• Chartered Accountant, Master’s degree, LL.B, Company Secretary or other closely related professional qualification will be beneficial.

Competencies:

• Ability to develop and maintain productive relationships with key internal clients.
• A solution driven approach, with exemplary problem solving skills; 
• Good analytical ability.
• Ability to work effectively alone and as part of a team, 
• Strong inclination to automation and technology driven solutions to ease processes. 
• Good written and verbal communication skills.