Investment Compliance

Location: Mumbai, Maharashtra, India

Job Family: Fund Servicing

About the Role

At JP Morgan Chase, we are a leading global financial services firm with a proud history of innovation and client-focused solutions. The Investment Compliance role within our Fund Services Operations team in Mumbai plays a pivotal part in safeguarding the integrity of our fund servicing operations. This position involves ensuring that all investment activities adhere to stringent regulatory standards, protecting both our clients and the firm from compliance risks. As part of a dynamic team driving the success of JP Morgan Chase in the competitive fund services landscape, you will contribute to operational excellence in a high-volume, technology-driven environment. Located in the vibrant financial hub of Mumbai, Maharashtra, this role offers the opportunity to work on diverse portfolios spanning equities, fixed income, and alternative investments, while collaborating with global stakeholders to uphold our commitment to ethical practices and regulatory adherence. In this role, you will be responsible for monitoring daily compliance activities, conducting thorough risk assessments, and implementing robust controls to prevent violations. You will partner closely with fund managers, legal experts, and operations teams to navigate complex regulatory landscapes, including SEC, SEBI, and international frameworks like AIFMD. Your expertise will be crucial in preparing accurate regulatory filings, performing audits, and training colleagues on compliance protocols. At JP Morgan Chase, we value precision and proactive problem-solving, and you will leverage advanced tools and data analytics to identify potential issues early, ensuring seamless fund operations that support our clients' investment goals. This position demands a keen eye for detail and the ability to thrive under pressure, making it ideal for professionals passionate about the intersection of finance and regulation. Joining JP Morgan Chase means becoming part of an inclusive culture that fosters professional growth and innovation. We offer unparalleled resources for career development, including access to world-class training and mentorship programs tailored to the financial services industry. In Mumbai, you will benefit from our state-of-the-art facilities and a collaborative atmosphere that encourages work-life balance. If you are a compliance expert eager to make an impact on global fund services, this role provides a platform to advance your career while contributing to the firm's legacy of trust and excellence in investment management.

Key Responsibilities

• Monitor and ensure compliance with investment regulations and internal policies for fund services operations
• Conduct daily reviews of trade activities, portfolio holdings, and transactions to identify potential compliance risks
• Collaborate with fund managers, legal teams, and operations staff to resolve compliance issues and implement corrective actions
• Prepare and submit regulatory reports to authorities such as SEC, SEBI, and other global bodies
• Develop and update compliance procedures to align with evolving regulatory requirements in the financial services sector
• Perform risk assessments and audits on fund portfolios to mitigate violations
• Support the Fund Services team in client onboarding by verifying KYC and AML documentation
• Train team members on compliance best practices and JP Morgan Chase's ethical standards
• Analyze compliance data using tools like Excel and specialized software to generate insights and reports
• Liaise with external auditors and regulators during examinations and inquiries

Required Qualifications

• Bachelor's degree in Finance, Accounting, Business Administration, or a related field
• Minimum of 3-5 years of experience in investment compliance, fund operations, or regulatory reporting within the financial services industry
• Strong understanding of global investment regulations including SEC, AIFMD, and UCITS
• Proficiency in compliance monitoring tools and financial databases such as Bloomberg or Charles River
• Excellent knowledge of anti-money laundering (AML) and know-your-customer (KYC) procedures
• Ability to work in a fast-paced, high-volume environment with strict deadlines
• Fluency in English; additional languages such as Hindi are advantageous

Preferred Qualifications

• Advanced certification such as CFA, FRM, or Certified Compliance Professional (CCP)
• Experience in fund servicing operations at a major financial institution like JP Morgan Chase
• Familiarity with Indian regulatory frameworks including SEBI guidelines
• Prior involvement in cross-border fund compliance projects
• Master's degree in Finance or Law

Required Skills

• Regulatory compliance knowledge
• Risk assessment and management
• Attention to detail
• Analytical thinking
• Proficiency in Microsoft Excel and data analysis tools
• Understanding of financial markets and instruments
• AML/KYC expertise
• Report writing and documentation
• Problem-solving abilities
• Team collaboration and communication
• Time management in high-pressure environments
• Familiarity with compliance software (e.g., Aladdin, Markit)
• Ethical judgment and integrity
• Cross-functional project coordination
• Adaptability to regulatory changes

Benefits

• Competitive base salary and performance-based bonuses aligned with JP Morgan Chase's compensation structure
• Comprehensive health, dental, and vision insurance coverage for employees and dependents
• Retirement savings plan with generous employer matching contributions
• Paid time off including vacation, sick leave, and parental leave policies
• Professional development opportunities through JP Morgan's internal training programs and tuition reimbursement
• Employee wellness programs featuring gym memberships, mental health support, and fitness challenges
• Flexible work arrangements including hybrid options in Mumbai
• Global mobility programs for career advancement within JP Morgan Chase's international network

JP Morgan Chase is an equal opportunity employer.