Compliance Manager - Investment Management Regulatory Analysis & Reporting-140065808
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Job Description
**Compliance Manager,**** Investment Management Regulatory Analysis & Reporting******
**JPMorgan Chase & Co.** (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.
J.P. Morgan Asset Management is a leading asset manager for institutions, individuals and financial intermediaries, worldwide. Our investment professionals are located around the world providing strategies that span the full spectrum of asset classes including equity, fixed income, cash liquidity, currency, real estate, infrastructure, hedge funds and private equity. These strategies are provided to clients through Private Funds, Mutual Funds or separate account mandates.
There is a current vacancy for a Regulatory Reporting Compliance Manager in the Investment Management Business of JPMorgan Asset Management. This individual will be responsible for assisting with regulatory compliance for multiple SEC-registered investment advisers who advise a variety of client types, e.g., private funds (including Private Equity, Real Estate and Hedge Funds), registered investment companies, and managed accounts. The position works closely with a Compliance Director and coordinates efforts with other members of the Compliance Department as well as the Investment Management Businesses and other business operations groups (e.g., Client Services, Operations, Finance, etc.).
Primary responsibilities will include regulatory reporting and filing, and assisting with certain business initiatives and special projects. Specifically, the Compliance Manager will:
* Prepare annual and ongoing updates of Form ADV for multiple SEC-registered investment advisers.
* Assist with the preparation of Form PF with the SEC and Forms CPO-PQR and CTA-PR with the National Futures Association.
* Coordinate with the LOBs and Corporate Office to ensure employees are appropriately dual hatted into affiliates as needed; maintain records across multiple advisers.
* Assist with the preparation of regulatory filings for certain foreign regulators, including the South Korean Financial Securities Commission and the Security Exchange Bureau of India.
* Have responsibility for the compliance program related to the CFTC/NFA requirements, including NFA notice filings and Principal/Associated Person registrations.
* Liaise with the larger Compliance team to develop, administer and implement applicable policies and procedures.
* Work on special projects for the Compliance Department.
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Qualifications
**_Qualifications_**
* 4 year Bachelor Degree
* JD or Paralegal encouraged
* Prior or related financial services experience, including experience with regulatory issues impacting financial services companies, including the filing of Form ADV and Form PF, required
* Strong knowledge of the Advisers Act, Investment Company Act, Commodity Exchange Act, FINRA and NFA regulations a plus
* Results oriented with an ability to manage multiple projects and deliver in a timely manner with tight deadlines
* Strong verbal, written analytical and interpersonal skills
* Strong organizational skills and attention to detail
* Proven track record in building good working relationships
JPMorgan Chase is an equal opportunity and affirmative action employer M/F/Disability/Veteran.
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*Job:* Investment Management/Private Banking
*Primary Location:* US-NY-New York-4 New York Plaza / 02324
*Organization:* CORPORATE SECTOR
*Schedule:* Full-time
*Job Type:* Standard
*Shift:* Day Job
*Employee Status:* Regular