Guidelines - Portfolio Compliance - Associate

Location: Bengaluru, Karnataka, India

Job Family: Business Analysis & Reporting

About the Role

At JP Morgan Chase, we are a leading global financial services firm with a strong commitment to integrity, innovation, and client success. The Guidelines - Portfolio Compliance - Associate role in our Bengaluru office is pivotal in safeguarding our investment portfolios against regulatory and internal compliance risks. As an Associate, you will play a key role in coding and monitoring compliance frameworks, ensuring that our trading activities across various asset classes align with stringent guidelines set by bodies like SEC, FINRA, and internal JP Morgan policies. This position within the Business Analysis & Reporting category offers the opportunity to work on cutting-edge surveillance technologies in a dynamic environment that supports our global operations. Your primary responsibilities will include developing robust code for automated compliance checks, conducting thorough trade surveillance to identify anomalies, and efficiently managing alerts to prevent potential breaches. You will collaborate closely with portfolio managers, risk teams, and senior compliance officers to analyze data, generate insightful reports, and recommend enhancements to our systems. In this role, you will contribute to maintaining JP Morgan Chase's reputation as a trusted steward of client assets by proactively addressing compliance challenges in real-time, leveraging tools like Python, SQL, and proprietary surveillance platforms. We seek candidates who thrive in a high-stakes financial services setting and are passionate about leveraging technology to drive compliance excellence. This position not only demands technical proficiency but also a keen eye for detail and the ability to navigate complex regulatory landscapes. Joining JP Morgan Chase in Bengaluru means becoming part of a world-class team with access to unparalleled resources for professional growth, all while contributing to the firm's mission of powering the progress of individuals and communities worldwide.

Key Responsibilities

• Develop and maintain code for portfolio compliance monitoring systems to ensure adherence to internal and regulatory guidelines
• Conduct daily trade surveillance across equity, fixed income, and derivative portfolios to detect potential violations
• Manage and triage compliance alerts, performing root cause analysis and escalating issues as needed
• Collaborate with portfolio managers and compliance teams to implement risk mitigation strategies
• Generate reports on compliance metrics and trends for senior management at JP Morgan Chase
• Monitor changes in regulatory requirements and update compliance frameworks accordingly
• Support audits and regulatory examinations by providing detailed documentation and evidence
• Train junior team members on compliance tools and best practices
• Integrate data from multiple sources for comprehensive portfolio risk assessments
• Contribute to the enhancement of automated surveillance tools to improve efficiency

Required Qualifications

• Bachelor's degree in Finance, Computer Science, Business Administration, or a related field
• Minimum of 2-3 years of experience in compliance, risk management, or portfolio monitoring within the financial services industry
• Proficiency in coding languages such as Python, SQL, or Java for compliance monitoring tools
• Strong understanding of regulatory frameworks including SEC, FINRA, and global compliance standards
• Experience with trade surveillance systems and alert management in investment banking or asset management
• Ability to analyze complex financial data and identify compliance risks
• Relevant certifications such as CFA, FRM, or Certified Compliance Professional (CCP)

Preferred Qualifications

• Advanced degree (Master's or MBA) in Finance or Risk Management
• Prior experience at a major financial institution like JP Morgan Chase or similar
• Knowledge of JPMorgan's internal compliance systems and tools
• Experience with machine learning applications in compliance surveillance
• Familiarity with ESG (Environmental, Social, Governance) compliance guidelines

Required Skills

• Proficiency in Python and SQL for data analysis and automation
• Knowledge of financial regulations and compliance standards
• Trade surveillance and monitoring expertise
• Alert management and investigation skills
• Analytical thinking and problem-solving abilities
• Attention to detail in handling complex datasets
• Communication skills for reporting and stakeholder collaboration
• Risk assessment and mitigation techniques
• Experience with compliance software like Aladdin or similar platforms
• Data visualization tools such as Tableau or Power BI
• Understanding of investment products and portfolio management
• Time management in a fast-paced financial environment
• Team collaboration and cross-functional project experience
• Adaptability to evolving regulatory landscapes
• Basic machine learning concepts for predictive compliance modeling

Benefits

• Competitive base salary and performance-based bonuses aligned with JP Morgan's compensation structure
• Comprehensive health, dental, and vision insurance coverage for employees and dependents
• Retirement savings plan with generous company matching contributions
• Paid time off including vacation, sick leave, and parental leave policies
• Professional development opportunities through JPMorgan's internal training programs and tuition reimbursement
• Employee stock purchase plan and access to financial wellness resources
• Flexible work arrangements, including hybrid options in Bengaluru
• Global mobility programs and career advancement paths within JP Morgan Chase

JP Morgan Chase is an equal opportunity employer.