Funds Compliance Manager - Vice President

Posted on Nov 20, 2018 by JobLeads

New York, NY 10001
Senior Appointments
Immediate Start
Annual Salary

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.

Reference: 559325787