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CIB - Investor Services - Trust & Fiduciary Services, Depositary Services – Investment Restriction Compliance Associate - Luxembourg

Req #: 180007245
Location: Senningerberg, L, LU
Job Category: Account Servicing
Job Description:
CIB - Investor Services - Trust & Fiduciary Services, Luxembourg Depositary Services – Investment Restriction Compliance Associate – 602
Reporting to the Manager of the Investment Restriction Compliance team, the role involves carrying out ex-post review, investigation and sign-off of investment fund compliance with statutory and prospectus investment restrictions and risk limitations as prescribed under UCITS and AIFMD. The successful candidate will be responsible for ensuring key processes and controls are carried out related to investment restriction compliance, including client escalations and satisfactory resolution for any passive or active violations/breaches. 
Responsibilities include:
  • Assisting in checking funds’ investment restrictions are complied with and in line with statutory regulations and prospectus limits.
  • Validation of investment restriction rules in the compliance system and ensuring rules are in line with regulations and fund investment policy.
  • Acting as central liaison with client compliance managers to ensure any investment restriction breaches are closed and resolved satisfactorily and in the best interests of fund shareholders.
  • Ensuring fiduciary oversight programmes are completed in a timely and accurate manner and that they adhere to the applicable regulations (principally AIFMD/UCITS).
  • Provide support to internal and external clients and participate in key projects and new business launches.
  • Prepare MIS and KPIs in relation to the investment compliance programme including client reporting.
  • Participate in due diligence review with particular emphasis and subject matter expertise in compliance and risk management.
  • Proactive management of client relationships including dealing with fund delegates (as applicable).
  • Assisting in the review of any regulatory change and updates to client documentation in relation to compliance and risk management restrictions.
Demonstrated qualities:
  • A qualification in business/compliance related discipline would be an advantage.
  • Prior experience in investment compliance and/or risk related function preferred.
  • Good working knowledge of UCITS/AIFMD regulatory requirements including applicable risk spreading rules and key risk indicators.
  • Strong analytical and numeracy skills to review fund investment compliance oversight results, assess fund impacts, identify trends to help maintain an efficient and effective oversight model.
  • Pro-active and motivated to learn.
  • Ability to work as a team member and ensure a high service quality level focused on client.
  • Excellent English language skills preferably combined with working proficiency French and/or German skills.
J.P. Morgan is a leader in financial services, working in collaboration across the globe to deliver the best solutions and advice to meet our clients' needs, anywhere in the world. We operate globally, and hold leadership positions across our businesses. We have an exceptional team of employees who work hard to do the right thing for our clients and the firm, every day. This is why we are one of the most respected financial institutions in the world - and why we can offer you an outstanding career.
J.P. Morgan Custody and Fund Services, is a global industry leader with $21 trillion assets under custody. Within Custody and Fund Services, J.P. Morgan’s Trust & Fiduciary business is a market leader in the provision of Trustee and Depositary Services, servicing $1.9 trillion of assets for 150 clients domiciled in 13 European locations. J.P. Morgan was established in Luxembourg in 1973. Luxembourg based Depositary Services began in 1989 and today serve 46 clients and over 950 sub-funds with a value in excess of $900 billion.

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at


About J.P. Morgan’s Corporate & Investment Bank
J.P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With $18 trillion of assets under custody and $393 billion in deposits, the Corporate & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.  Further information about J.P. Morgan is available at
JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer.
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