Employee Compliance Operations Lead

Job summary

As an Employee Compliance Operations Lead, leading the India Operations team within the Compliance Conduct and Operational Risk organization, you will manage the Processing team to ensure that our customers, employees, and lines of business are in adherence with firm standards and required regulations. Through your leadership, the department will design and operate processes supporting adherence to JPMorgan s Code of Conduct, including but not limited to Personal Account Dealing, Licensing & Registration requirements, and all Employee Conduct requirements.

Your role requires a high level of collaboration across the global Advisory, Technology, LOB, Control and Operations teams. It is expected that you will bring an innovation mindset to this role as the department is continuously looking for effective solutions harnessing the most current tools and technologies. In particular you are expected to be capable of implementing solutions utilizing large language models (LLM) and Natural Language Processing (NLP) as well as closely to design strategic technology platforms. You will help lead a team of professionals to create global alignment on processes and risk frameworks. It will be important to foster an inclusive workforce and help develop your team to work collaboratively across the firm.

Job responsibilities

• Manage the day-to-day operations of the Hyderabad Employee Compliance Operations team, ensuring that key indicators of quality and capacity are being met


• Ensure that teams are continually upskilling on relevant emerging technologies and tools and deploying solutions


• Develop and implement programs related to employee conduct or licensing and registrations


• Maintain effective relationships with Advisory partners, ensuring that service levels are being met


• Oversee effective metrics reporting and data analytics, where insights can be obtained for improved efficiency and effectiveness


• Assess group-wide capacity to ensure the department can handle production volumes


• Monitor and evaluate program effectiveness, making necessary adjustments to achieve desired outcomes.


• Hire, train, and manage staff, ensuring a positive and productive work environment.


• Provide guidance and mentorship to staff, fostering professional development and growth.


• Evaluate staff performance, providing regular feedback and coaching.


• Monitor changes in laws and regulations, making necessary adjustments to ensure compliance.

Required qualifications, capabilities, and skills

• Qualified graduate with minimum of 18 yrs of experience in Compliance Conduct and Operational Risk managing a team of 50 people


• Experience in developing and implementing programs related to employee conduct or licensing and registrations.


• Experience in managing staff and budgets.


• Strong understanding of relevant laws, regulations, and policies.


• Excellent communication, interpersonal, and presentation skills.


• Ability to work independently and as part of a team.

Preferred qualifications, capabilities, and skills

• Qualified graduate with minimum of 15 years of relevant work experience managing a global team


• Demonstrated communication and diplomacy skills to work cross-organizationally to influence others, steer results/change and implement projects/processes


• Knowledge and experience of controls, employee compliance and conduct, as well as managing to stringent Regulatory requirements


• Must have the ability to manage multiple complex change initiatives and priorities across varying timelines concurrently


• Ability to assess controls and processes to leverage further opportunities for automation / technological advancement


• Possess proficiency with leveraging data for proactive solutions, problem solving, impact quantification, and reporting


• Demonstrated experience leading department based activities including team performance oversight, escalation assist, coaching, directing, and building a high-performance team culture


• Ability to attract and develop diverse talent as well as develop, motivate, and recognize employees


• Excellent written and verbal communication skills with diverse audiences, including ability to synthesize data into insights and influence through effective storytelling