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Asset Management - Guidelines – Vice President

Bangalore, India | J.P. Morgan

  • Industry:
    Financial Services
  • Position Type:
    Full-Time
  • Functions:
    Financial Services Professional
  • Experience:
    10-12 years
Job Description:
64 people have viewed this job

Annotation of Investment management Agreement

Coding client and regulatory rules on compliance platforms.

Rule Standardization

Counterparty and broker setups for trading

Setting up strategy benchmark and client approved security List

Leveraging Machine learning tools for standard rule setups

Performing analytical review of Investment Guidelines provided by investors and institutions.

Partner with various operations team to improve data availability and overall quality of underlying data.

Monitoring

Monitoring investment breaches & tracking down root causes

Liaison with Portfolio Managers & end-clients ensuring complete adherence to Investment Guidelines.

Ensure investment of portfolios is per client guidelines, internal policies & procedures and in compliance with all relevant regulatory requirements.

Leverage Portfolio analytical tools and perform durations and weightage calculations for complex rules

Analysis & Interpretation of investment guidelines related to Equity, Fixed Income, BETA, ETF, Funds, Hedge Fund Portfolios & Derivatives.

Ensure coding accuracy & communicate in case of any discrepancy.

Partner with various operations team to improve data availability and overall quality of underlying data

Scope & Responsibilities

Coding

New account coding, reviews & revisions including on-boarding activities.

Review new data analytics and update compliance platforms

Understand and setup rules as per ratings agencies

Identification of coding issues.

Maintenance of Legal & Compliance approved & restricted lists.

Counterparty maintenance.

Work on Rule coding standardization across supported regions.

Perform periodic reviews of account coding to ensure accuracy & consistency.

Setting up trading brokers and counterparty Limits, exposure as per IMA

Evaluate coding accuracy & communicate in case of any discrepancy.

Partner with monitoring team to reduces false breaches and manually monitored guidelines.

Lead Governance meetings and stakeholder management

Manage custody and broker relationships

Lead local and global Projects

Drive efficiency via Intelligent Automation tools.  

Product Lead and People Management

Monitoring

Post-trade violation investigation & resolution

Classification of Active v/s Passive breach

Assistance with Client certifications/ attestations.

Additional review of regulatory breaches around UCITS and 1940 ACT regulations

Classification of Fund Portfolio investments

Manual test execution as per defined periodicity.

Perform Annual account review

Coordinating with Portfolio managers and Investment specialists for fund breaches

Execute Client service group duties and coordinate between various portfolio managers

Lead Governance meetings and stakeholder management

Manage custody and broker relationships

Lead local and global Projects

Drive efficiency via Intelligent Automation tools.  

Product Lead and People Management

Performance Areas & % Time

Workflow management.

Adherence to time-bound SLA for all Coding and New & repeat alerts.

Generate periodic Metrics and KPI

Perform manual checks as per tests agreed with Risk & Front Office.

There is no tolerance to errors – non-completion or incorrect action by Guidelines team may lead to Loss and/ or Client impact.

Portfolio manager query emails must be reverted on the same day.

Minimum Requirements

11+ years of work experience of Portfolio Guidelines Coding/ Monitoring.

7+ years in people management role & 2+ years of project management.

Expert level skills trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, ThinkFolio.

Expertise of 1940 Act, UCITS Regulations or ERISA will be added advantage.

Key Competencies 

Analytical & Interpretation skills: Client agreement language needs interpretation and post trade compliance tests performed need data analysis skills. Team needs to understand financial instruments which are being traded by Portfolio Managers to code guidelines or to perform secondary research.

Detail Orientation: Function is critical from an impact perspective. Need eye for detail and there is zero tolerance to oversight mistakes.

Communication (Spoken – Assertiveness & Written): Need to communicate with Front Office (Portfolio Managers), Onshore Leads, Client Services on need basis to ensure correct interpretation by the coding team & to confirm client guideline breaches are understood by Front Office for necessary correction of the trades. Portfolio breaches need to be explained with requisite details over the email.

Understanding of Portfolio Management, Role of Portfolio Manager, Key aspects of Investment Management.

People & performance management.

Technical Skill

Proficiency level 1 - Beginner, 2 – Intermediate, 3 - Advanced

Portfolio Management - 3

Fixed Income, Equity, Liquidity, ETFs, Multi Asset Solution, BETA - 3

Portfolio Compliance Coding/ Monitoring - 3

Investment Strategies - 3

Sentinel/ Charles River/ Aladdin (Compliance)/ SimCorp Dimension/ ThinkFolio - 3

Interpretation of Legal Language from Client Guidelines - 3

1940 Act, UCITS Regulations - 3

People Management - 3

Stakeholder relationship - 3

Risk & Control agenda - 3

Efficiency creation - 3


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