Funds Compliance Manager - Vice President
Posted on Nov 20, 2018 by JobLeads
The employer is a leading global financial services firm with operations worldwide.
- Supporting the ongoing development and implementation of the J.P. Morgan Funds compliance program.
- Responding to inquiries from Funds Management, Portfolio Managers and investing teams, Financial Administration and Operations staff on compliance policies, procedures and regulations concerning the Mutual Funds.
- Analyzing and supporting implementation of new business initiatives, products and instruments.
- Assisting in the analysis and implementation of new regulatory requirements and industry developments affecting the J.P. Morgan Funds.
- Overseeing sub-adviser due-diligence from a compliance perspective.
- Performing monitoring for compliance with regulations, prospectus and SAI guidelines.
- Preparing compliance reports/filing on a daily, monthly and quarterly basis; including quarterly reporting to the Mutual Fund Board of Trustees.
- Assisting in responding to regulatory exams and regulatory inquiries relating to the J.P. Morgan Funds.
- Leading ad hoc compliance projects and initiatives as directed by Senior Management.
- Support ongoing Compliance Risk Assessment process.
- Supporting ongoing Legal Obligations project efforts.
- Bachelor's degree in Finance/Accounting or other related majors and 7+ years of compliance/securities industry experience, preferably at large Funds complex.
- Ability to understand complex legal and regulatory issues; Investment Company Act of 1940 and Investment Advisers Act of 1940 rules and regulatory knowledge.
- Strong quantitative, critical thinking and analytic skills, confidence with finance and accounting concepts.
- Ability to manage multiple tasks simultaneously with minimal supervision.
- Excellent writing and communication skills.
- Prior experience managing a small staff.
- Advanced MS office skills and ability to learn proprietary software.
- Expertise in money market funds and Rule 2a-7.
- Experience with compliance requirements for derivatives transactions is a plus.
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