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Asset Management - Fixed Income/Equity Guidelines Analyst, Associate

Req #: 180008283
Location: Newark, DE, US
Job Category: Compliance
Job Description:
Company Overview
J.P. Morgan Asset & Wealth Management, with client assets of $2.4 trillion, is a global leader in investment and wealth management. Its clients include institutions, high-net-worth individuals and retail investors in every major market throughout the world. The division offers investment management across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. For individual investors, the business also provides retirement products and services, brokerage and banking services including trusts and estates, loans, mortgages and deposits

JPMorgan Asset & Wealth Management Core Operations is located on the Morgan Christiana Campus in Newark, Delaware. The group is made up of roughly 150 employees performing support functions for the Front and Middle Office groups that are located in New York, NY and Columbus, Ohio. Functions in Investment Management Core Operations include Portfolio Services, Cash Operations, Reconciliations and Fee Billing.


• Many events offered to expand network and knowledge of the company
• Mobility encouraged between LOB’s and locations
• Ability to progress within the company and move through the ranks
• Collaborative environment and team-oriented approach to business
• Exposure to senior management at all levels
• Opportunity to join a unique workplace culture that strives to put the client first and welcomes fresh ideas
• Emphasis and importance placed on diversity
• Excellent training programs that lead to a successful career path
• 130 offices in over 60 countries allowing for many global opportunities and interactions within the company

Functional Overview
The Guideline Management Team is divided into two areas: Guideline Rule Coding and Guideline Breach Monitoring. This role is for the Guideline Rule Coding team, which is responsible for ensuring that all client / fund and internal guidelines are implemented into the guideline compliance system for pre-trade and post-trade compliance testing.

Guideline Management is responsible for the implementation of client guidelines, regulatory restrictions and internal strategy rules in the compliance systems. You will be a part of a team that is vital in assisting our Portfolio Managers in efficient investing by ensuring that all trading restrictions are accurately coded in the compliance system. The team is responsible for initial restriction coding, ongoing rule maintenance and daily trade monitoring. The Guideline Management team interfaces with Portfolio Management and Risk Management to resolve guideline exceptions as they occur.

Responsibilities Include:

• Interpreting guidelines and building logic-based rules for automated compliance testing and monitoring
• Reviewing new and existing rules to ensure compliance with account mandates
• Working on projects with fixed deadlines, including the migration of accounts from one compliance system to another
• Reviewing preliminary client guidelines with Portfolio Management teams to asses testability and solution identified gaps
• Partnering with the Client Service Team to ensure timely on-boarding/account closings and coordinating dates to ensure guideline rules are coded effectively prior to any trades taking place
• Liaising with Data Management and Technology teams to ensure testing is operating according to requirements
• Interacting with Client Portfolio Managers, Portfolio Managers and Investment Assistants to resolve any pre & post-trade issues
• Bachelor's Degree
• Minimum 1-2 years of related operational or compliance experience
• Financial product knowledge of fixed income, equities, and derivatives preferred
• Detail oriented
• Ability to prioritize, multi-task, and effectively manage time in a constantly changing environment
• Ability to identify inefficiencies in a process and drive change
• Self-motivated individual with ability to identify issues and escalate
• Capacity to quickly learn and apply new concepts to different situations
• Understanding of risk and controls
• Previous experience with industry tools and software suites such as Microsoft Office
• Experience with guideline coding in compliance systems (Charles River, Linedata, thinkFolio, Sentinel) a plus
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