Compliance Investment Information Services - Senior Associate

Location: Sydney, NSW, Australia

Job Family: Customer Success

About the Role

At JP Morgan Chase, we are a leading global financial services firm with a proud history of innovation and client focus. The Compliance Investment Information Services - Senior Associate role within our Compliance Reporting Services team in Sydney, NSW, offers an exciting opportunity to contribute to the integrity and success of our investment operations. As a Senior Associate, you will play a pivotal role in driving compliance initiatives, managing investment rules, and ensuring seamless collaboration with global teams. This position is categorized under Customer Success, emphasizing our commitment to delivering compliant, high-quality services that build trust with clients and regulators alike in the dynamic Australian financial market. In this role, you will be responsible for developing robust compliance monitoring systems tailored to investment information services, conducting thorough audits, and providing strategic advice on regulatory changes. Working closely with cross-functional teams across JP Morgan Chase's international network, you will implement policies that align with Australian standards like those from ASIC and APRA, while integrating global perspectives. Your expertise will help mitigate risks, enhance data accuracy in reporting, and support the delivery of reliable investment insights to our clients, ultimately contributing to the firm's reputation for excellence in asset management and advisory services. We seek a proactive professional with a strong compliance background in financial services, ready to thrive in a collaborative, fast-paced environment. At JP Morgan Chase, you'll have access to cutting-edge tools, ongoing professional development, and a supportive culture that values diversity and innovation. Join us to advance your career while safeguarding the compliance framework that underpins our global operations in Sydney and beyond.

Key Responsibilities

• Develop and maintain compliance monitoring systems for investment information services to ensure adherence to regulatory standards
• Collaborate with global teams to implement and update investment rules and policies across JP Morgan Chase's operations
• Conduct regular audits and reviews of compliance reporting processes to identify and mitigate risks
• Provide expert guidance on regulatory changes impacting investment services and recommend actionable strategies
• Manage data integrity and accuracy in compliance reports submitted to ASIC and other regulatory bodies
• Support customer success initiatives by ensuring compliant delivery of investment information to clients
• Train and mentor junior team members on compliance best practices and tools
• Analyze complex investment data to detect potential non-compliance issues and escalate as needed
• Contribute to the enhancement of technology platforms used for compliance reporting
• Foster strong relationships with internal stakeholders, including legal, risk, and business units

Required Qualifications

• Bachelor's degree in Finance, Business Administration, Law, or a related field
• Minimum of 5 years of experience in compliance, regulatory reporting, or investment services within the financial services industry
• Strong understanding of Australian financial regulations, including ASIC requirements and APRA guidelines
• Proven experience in managing investment compliance rules and monitoring systems
• Excellent proficiency in data analysis tools and compliance software
• Ability to work collaboratively in a global team environment
• Relevant certifications such as Certified Compliance Professional (CCP) or equivalent

Preferred Qualifications

• Advanced degree (Master's or MBA) in Finance or Compliance
• Experience in asset management or investment banking at a major financial institution
• Familiarity with global compliance standards like MiFID II or Dodd-Frank
• Prior exposure to JP Morgan Chase systems or similar enterprise platforms
• Fluency in Mandarin or other Asian languages for cross-border collaboration

Required Skills

• In-depth knowledge of financial regulations and compliance frameworks
• Proficiency in data analytics tools like SQL, Excel, and Tableau
• Strong regulatory reporting and documentation skills
• Excellent analytical and problem-solving abilities
• Effective communication and stakeholder management
• Attention to detail and accuracy in handling sensitive financial data
• Project management expertise for compliance initiatives
• Adaptability to evolving regulatory environments
• Team collaboration and leadership in cross-functional settings
• Technical proficiency in compliance software such as Actimize or similar
• Risk assessment and mitigation techniques
• Interpersonal skills for global team interactions
• Time management in high-pressure financial services contexts
• Ethical judgment and integrity in compliance decisions
• Familiarity with investment products and market dynamics

Benefits

• Competitive base salary and performance-based annual bonuses
• Comprehensive health and wellness benefits, including medical, dental, and vision coverage
• Generous retirement savings plan with company matching contributions
• Paid time off, including vacation, sick leave, and parental leave
• Professional development opportunities through JP Morgan's internal training programs
• Employee stock purchase plan and financial planning services
• Flexible work arrangements, including hybrid options in Sydney
• Access to global mobility programs and career advancement paths within JP Morgan Chase

JP Morgan Chase is an equal opportunity employer.