Asset Management - Investment Compliance - Associate at JPMorgan Chase

Key Responsibilities:

• Regulatory Implementation: Promote the implementation of regulatory requirements within the Investment/Research/Trading teams and provide input on procedures related to investment, research, and trading operations.
• Related-Party Management: Maintain the list of product-related parties, conduct pre-approval reviews of related-party transactions, and submit a summary of such transactions to the Board.
• Ongoing Monitoring: Conduct monthly post-monitoring, including centralized mobile phone management, authorization management, investment decision-making committee reviews, and FM System Access Request reviews. Identify potential risks and recommend mitigation strategies.
• Advisory: Provide compliance support to the Investment/Research/Trading teams by collaborating with compliance team, identify potential risks and operational issues at the front line, and promptly issue alerts and corrective actions.

Requirement

• Bachelor degree or above with major in finance, risk, investment related areas
• More than 3 years of working experience in an asset manager, securities firm, in any of the functions such as investment research, compliance, risk control, etc.
• Outstanding communication and collaboration skills, a good team player
• AMAC qualification obtained

岗位职责：

• 监管实施：促进在投资/研究/交易团队内实施监管要求，并为与投资、研究和交易运营相关的程序提供意见。
• 关联方管理：维护产品关联方名单，对关联方交易进行预先审批审核，并将该等交易的摘要提交给董事会。
• 持续监控：每月进行事后监控，包括集中式手机管理、授权管理、投资决策委员会审查和设施管理系统访问请求审查。 识别潜在风险并推荐缓解策略。
• 建议：通过与合规团队合作，为投资/研究/交易团队提供合规支持，识别一线的潜在风险和运营问题，并及时发出警报和纠正措施。

任职资格：

• 金融、风险、投资相关专业本科学历或以上
• 3年以上在资产管理公司、证券公司等金融机构从事投资研究、或合规、风险控制等职能工作
• 出色的内外部沟通和协作技能，优秀的团队合作者
• 获得 基金从业资格