דרושים Compliance Operational Risk Officer Securities ב-גיי פי מורגן ב-אוסטרליה

As a Vice President - Business Manager for our Asia Pacific Securities Services Operations team, you will promote strategic initiatives, optimize performance, and advise senior management in a dynamic, high-profile role. You will play a crucial role in optimizing business performance by promoting key initiatives and serving as a trusted advisor to Business and Group Heads. This dynamic position involves identifying, escalating, and mitigating business risks, and requires adaptability to align with the priorities of various business lines. You will be instrumental in advising senior management and coordinating the deployment of corporate resources to achieve strategic and tactical objectives.

Job Responsibilities:

• Deliver Operations business management services across a range of responsibilities, including strategy tracking and execution, business planning and performance monitoring
• Prepare and communicate business strategy, performance and priorities to key stakeholders, working closely with Operations, Finance, HR, Tech, Legal, Compliance
• Ensure the integrity of the department’s financial performance, including management of expenses and allocations; identify productivity initiatives and drive implementation
• Identify, escalate and mitigate business risks that could impair our ability to do business: e.g. capacity issues, investment costs
• Prepare and manage Offsites / department reviews, Town Halls, organization communications etc.
• Partner with the business, Operations and Technology in the definition of future workflows and implementation of related technology and infrastructure projects to prepare the business to meet the requirements of an ever evolving market structure
• Partner with the relevant external service/ infrastructure providers
• Represent business in respective internal/external working groups
• Support People Engagement initiatives

Required qualifications, capabilities, and skills:

• Bachelor’s degree in Business, Finance, Economics, or other related area
• 8 plus years of experience in Financial Management, Business Management or COO experience
• Strong knowledge and understanding of Securities Services
• Strong presentation skills along with being confident to present to senior stakeholders
• Strong analytical skills, ability to present new ideas in a compelling manner from financial data and create meaningful reports and proposals for senior management
• Build positive internal relationships across different lines of business
• Self-motivated, tenacious, and be able to work with high degree of independence. Excellent time management/prioritization skills is required
• Excellent written and oral communication skills in English
• Should be able to define and deliver to conclusion a strategic agenda across multiple groups
• Strong analytical and problem solving skills with ability to analyze large data sets and present conclusions concisely
• Excellent project management and organizational skills. Attention to detail with logical thought process

Preferred qualifications, capabilities, and skills:

• Knowledge of Global Markets and Payments Products would be advantageous

As an Associate in the Investment Information Services team, you will be responsible for interpreting guidelines, building investment rules, investigation of potential violations and partnering with the investment manager and/or the client to assess their needs and provide solutions. In your new role, you will be exposed to a wide gamut of financial products, including Equities, Fixed Income securities and Complex Assets.

Job Responsibilities

• Interpret guidelines and investment mandates to develop logic-based rules for effective compliance monitoring.
• Implement client requirements for prospectus and rule changes on the compliance platform, ensuring accuracy and timeliness.
• Conduct meticulous root-cause analysis of investment exceptions, including portfolio holdings, composition, historical transactions, and data verification for compliance.
• Resolve compliance exceptions by communicating with clients, fund managers for true exceptions, and upstream teams for data or coding gaps.
• Prepare and deliver comprehensive manual regulatory and client reports, ensuring accuracy and compliance with standards.
• Stay informed on regulatory developments and industry trends in post-trade compliance, providing insights and strategic recommendations to management.
• Collaborate with clients to review and implement changes in global post-trade monitoring regulations, establishing a standard set of regulatory rules.
• Monitor client mailbox, ensuring all queries are resolved urgently and rule coding requests are routed and addressed within set timelines.
• Interface with Controls, Audit, and Risk teams to review, analyse, and enhance all process-related controls for compliance assurance.
• Participate in client calls to review services and discuss ongoing projects, ensuring alignment with client expectations and requirements.
• Support new client onboarding by providing functional expertise and developing customised compliance solutions tailored to client needs.

Required qualifications, capabilities, and skills

• Hold a graduate or postgraduate degree with at least 8 years of experience in financial services, mutual funds, or stock broking.
• Possess extensive experience in post-trade compliance roles within investment banks, asset management, or brokerage firms.
• Demonstrate proficiency in software applications and systems for post-trade compliance monitoring and reporting.
• Have working knowledge in guideline coding on compliance systems like Charles River, Sentinel, and Aladdin.
• Exhibit strong knowledge of global regulatory requirements affecting post-trade activities.
• Understand complex instruments, fixed income, and equity products in depth.
• Exhibit knowledge of the asset management industry, including mutual, pension, insurance, and hedge funds operations.
• Demonstrate outstanding analytical skills for creating logic-based investment rules.
• Maintain a high standard of accuracy and attention to detail.
• Exhibit excellent organisational skills to prioritise workloads and meet stringent timelines.
• Communicate effectively with internal and external stakeholders, building trusted relationships.

Preferred qualifications, capabilities, and skills

• Advanced degree or professional certification including but not limited to Chartered Accountant (CA), Certified Public Accountant (CPA), Chartered Financial Analyst (CFA), Company Secretary (CS), Financial Risk Manager (FRM) qualifications preferred.
• Experience with automation tools (Alteryx, Artificial Intelligence (AI), Machine Learning (ML), Python, etc.) to create efficiencies will be preferred.
• Certification course in Credit Risk Management (CRD), Sarbanes-Oxley Act (SOX), Investment Company Act of 1940 (1940 Act), European regulations preferred.

As an Analyst in the Credit Risk team, you will play a pivotal role in assessing and managing credit exposures for a diverse portfolio of institutional and corporate clients. Your analytical skills will be crucial in preparing detailed credit memoranda and financial models, providing insights into market trends and industry developments. Collaborating with internal stakeholders, you will ensure that our credit ratings are accurate and reflective of current conditions. This role offers the opportunity to engage in due diligence, structuring, and documentation of transactions, contributing to the firm's strategic objectives. Your contributions will support the team's efforts in maintaining robust credit and regulatory reporting standards, while also participating in various initiatives and workstreams.

Job responsibilities

• Support the management of exposures on an assigned portfolio of institutional and corporate clients across a range of industries in conjunction with seniors team members
• Prepare forward looking credit memoranda, along with necessary financial modelling, to provide risk assessment views on both new transactions and for existing clients and their industries
• Track market and industry developments and their impact on clients
• Recommend and monitor internal credit ratings
• Support senior team members with completing due diligence, structuring and documentation on new transactions
• Interact with internal stakeholders including client coverage and product bankers
• Prepare and monitor various credit and regulatory reporting requirements
• Support the team with ongoing ad-hoc initiatives and workstreams

Required qualifications, capabilities, and skills

• Undergraduate degree or postgraduate qualifications in accounting, business, finance, or a quantitative-related discipline
• Experience in a credit risk or credit analysis role within institutional, investment banking, or corporate banking
• Ability to identify key issues and concerns relating to clients, their industries, and transaction structures
• Strong written and verbal communication and interpersonal skills
• Demonstrated good time management and clarity in thinking when dealing with multiple workstreams in a fast-paced environment
• Ability to foster relationships and confidently interact with origination teams and other internal stakeholders
• Proficiency in MS Excel and ability to navigate complex financial models, as well as other MS programs (PowerPoint, Word, Outlook)

Client Services Managers (CSMs) are dedicated to fostering close relationships with their clients, understanding their requirements and expectations, and taking accountability for issue resolution. They engage in proactive client management and cultivate long-term partnerships to become trusted advisors. Additionally, CSMs build strong partnerships with Operations, Product, Sales, and Technology, both locally and regionally, to ensure effective service delivery to clients. CSMs collaborate with and manage through various functional areas, both locally and globally, to ensure timely and efficient service provision. They operate with a high degree of autonomy in managing the client experience across the franchise.

As a Client Services Manager in Securities Services, you will be responsible for managing a portfolio of Securities Services' Custody and Fund Services clients. In this role, you will have ultimate ownership of your clients' satisfaction with J.P. Morgan's products and services.

Job responsibilities:

• Develop a partnership approach with clients to understand their operating and strategic business model to foster long term relationships.
• Take full accountability for service delivery and client satisfaction. Building relationships to understand client requirements and expectations and coordinating service delivery across all products and services.
• Act as key contact and escalation point for service delivery issues for internal teams and client.
• Drive resolution and management of client queries, delivery issues and tracking of progress; leveraging internal teams as appropriate.
• Manage change process and projects, whether client requested, or JP Morgan driven, including automation/ standardization efforts.
• Lead in person meetings with clients to build relationships, establish an on-going governance structure, update clients on product and system enhancements, and work to ensure the client’s ongoing satisfaction with JPMorgan.
• Monitor and manage billing accuracy.

Required qualifications, capabilities, and skills:

• University bachelor’s degree or higher
• 5 + years of experience with a custodian, asset management firm, broker/dealer, hedge fund, fund administrator, or other financial markets organizations servicing clients.
• Deep understanding of a suite of products the products including global custody, fund accounting and administration.
• Strong written and oral communication and presentation skills.
• Effective problem solving. Focuses on accountability, action and outcomes to ensure solutions meet client needs while aligning business deliverables to the firm's mission and goals.
• Ability to exercise sound judgment and make effective decisions on behalf of the client and JPMorgan.
• Ability to prioritize, handle multiple tasks.
• Strong work ethic with a desire to work with a team and a willingness to learn the products and processes of JPMorgan.

As a Private Client Banker in Branch Banking, you are the main point of contact for a select group of Chase’s affluent clients as well as other customers in the Branch. You will manage their complete banking relationship across the company, utilizing a proactive and disciplined approach to generate growth in their balances. You will help acquire new clients by actively soliciting referrals and developing internal and external sources.

Job responsibilities

• Shares the value of Chase Private Client with clients that may be eligible
• Actively manages their banking relationship through an advice-based approach, ensuring each client receives the best products and services for their needs
• Partners with Specialists (Private Client Advisors, Mortgage Bankers and Business Relationship Managers) to connect customers to experts who can help them with specialized financial needs
• Makes lives of clients more convenient by sharing and setting up self-service options to access their accounts 24 hours a day/ 7 days a week
• Adheres to policies, procedures, and regulatory banking requirements

Required qualifications, capabilities, and skills

• Demonstrated success using a value-added, relationship-oriented approach to acquire and deepen client relationships
• 1+ year Branch Banking Banker or equivalent experience in financial services, with verifiable success in new client acquisition, cultivating, and maintaining customer relationships and revenue generation
• Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses are required - or must be successfully completed within 180 days of starting the role
• Compliance with Dodd Frank/Truth in Lending Act*
• High school degree, GED, or foreign equivalent
• Adherence to policies, procedures, and regulatory banking requirements
• Ability to work branch hours, including weekends and some evenings

Preferred qualifications, capabilities, and skills

• Excellent communication skills
• College degree or military equivalent
• Experience cultivating relationships with affluent clients
• Strong team orientation with a commitment of long-term career with the firm

Dodd Frank/Truth in Lending Act

This position is subject to the Dodd Frank/Truth in Lending Act qualification requirements for Loan Originators. As such, an employment offer for this position is contingent on JPMC's review of your criminal conviction history, credit report, information available through NMLS, and any other information relevant to a determination by JPMC that you demonstrate financial responsibility, good character, and general fitness for the position. Note that any felony conviction within the last seven years will disqualify you from consideration for this position. Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements.

In addition, this position requires National Mortgage Licensing System and Registry (NMLS) registration under the SAFE Act of 2008. As such, upon active employment with JPMorgan Chase, you will be required to either register on NMLS, or to update your existing registration as necessary to grant access to and reflect your employment with JPMorgan Chase. Your continued employment in this position with JPMorgan Chase is contingent upon compliance with the SAFE Act, including successful registration immediately after your start date, and timely completion of annual renewal and required updates thereafter.

Any information obtained during the registration, update, and renewal processes or through NMLS notifications may impact your employment with the firm. Any of the completed information you provide during the Chase on-line application process may be transferred, on your behalf, to NMLS by JPMorgan Chase. Please carefully review the information you provide to Chase for accuracy and consistency and with any current NMLS record, if applicable, before submitting. Further information about NMLS and registration requirements of registration can be found at:

As a Buyside Trading Services Relationship Manager within our Securities Services business, you will be responsible for all commercial aspects and decisions around Clients’ Trading Services programs at J.P. Morgan, including business development, relationship management, revenue optimization, and performance attribution.

You will be supporting the client relationship and organic revenue growth for the Trading Services Buyside client franchise in ANZ. On a daily basis, not only you act as a primary contact point for clients on day to day queries, requests, and reporting but will also assist senior Relationship Managers in the team with executing a client strategy with focus on retention, strengthening existing relationship and revenue optimization. In addition, maintaining an awareness of the client’s requirements in relation to market events and activities is essential. Depending on your level of experience, there may be an opportunity to directly own selected client relationships.

Job responsibilities

• Work closely with Securities Services partners in Australia (Platform Sales, Client Service) to develop coordinated and integrated client coverage for shared clients
• Assist senior Relationship Managers to:
  • Understand and communicate market and regulatory developments (e.g. Uncleared Margin Rules), identifying potential revenue opportunities or impact and acting in a consultancy/advisory capacity to the client
  • Own the management and resolution of client delivery issues, and trigger escalation as necessary to all relevant internal J.P. Morgan parties to ensure proper focus and timely resolution
• Work directly with global Agency Securities Finance trading and investment desks on revenue optimization opportunities and assist senior Relationship Managers to present them to clients as applicable. More specifically, understand and utilize trading desk commentary to identify and explore opportunities with clients based on their portfolio and parameters.
• Work with implementations team for incremental new account opening, closure and asset transitions when appropriate
• Partner closely with global Trading Services functional teams and Securities Services partners, relating to all aspects of clients’ program requirements and coordination
• Occasional travel may be required

Required qualifications, capabilities, and skills

• Bachelor degree or higher
• At least 1-3 years of experience/knowledge in the financial services industry (preferably in Securities Financing or Collateral Management industry, and in a client-facing role)
• A basic understanding or experience with securities markets is a necessity
• Ability to work well with data, with strong analytical skills
• Strong communication skills and to be a team player
• Proficient in Microsoft Excel/PowerPoint/Word

Preferred qualifications, capabilities, and skills

• Confident presentation and negotiation skills
• Ability to multi-task
• Strong ownership, positive attitude and self-motivation, proven to be accountable