Employee Conduct Analyst

Job Description
Job summary:
As a Personal Account Dealing (PAD) Operations Analyst within Compliance Processing, you will support a cross-product, cross-functional operating model spanning lines of business, Compliance, and Technology. You'll help ensure employees comply with the firm's PAD Policy by monitoring personal account declarations, reconciling personal trade activity, investigating exceptions, and escalating issues as appropriate. You will partner closely with regional and line-of-business Compliance teams and respond to employee queries globally, while maintaining strong operational discipline across quality, timeliness, and control requirements.
Job Responsibilities
Conversing with employees based on the accounts disclosed by employees to have right documentation.
Review the provided documentation and make appropriate decision.
Reconcile employee personal trades in a timely manner, including statement review, employee record validation, and identification/reporting of potential breaches
Review and manage more complex trading activity and support escalation cases in line with defined procedures
Respond to employee queries globally regarding PAD Policy requirements and process expectations
Ensure throughput and quality targets are consistently met, including performing (and supporting) supervisory checks and review routines
Conduct surveillance-related analysis to identify trends, exceptions, and control gaps, document outcomes and support continuous improvement
Partner with Regional and LOB Compliance teams to maintain accurate tracking of employee PAD data and activity
Maintain strong documentation, data hygiene, and audit-ready records in accordance with applicable controls and standards
Required Qualifications, Capabilities, And Skills
Qualified graduate with minimum of 3 years relevant experience in Personal Account Dealing (PAD), Employee Compliance and Risk.
Strong understanding of control environments, policy adherence, and escalation discipline
Working knowledge of financial markets and products, with the ability to assess trading activity against policy expectations
Strong written and verbal communication skills, including the ability to explain policy/process clearly and professionally
Detail-oriented with strong data organization and maintenance skills
Ability to work independently and collaboratively in a team environment
Proficiency in Microsoft Office, particularly Excel
Strong execution skills with the ability to deliver results and meet deadlines under pressure
Client-centric mindset—able to partner with employees and stakeholders while maintaining compliance and control rigor
Preferred Qualifications, Capabilities, And Skills
Experience handling complex exception management and investigations in an employee compliance or surveillance context
Demonstrated ability to perform trend/variance analysis and translate findings into operational actions or process improvements
Prior experience supporting Employee compliance operations, supervisory reviews, quality checks, or KPI/throughput management in an operations setting
Comfort working in a global, cross-functional model (Compliance, Technology, and Lines of Business) with multiple stakeholders
Strong judgment and escalation instincts when identifying potential policy breaches or control concerns
ABOUT US
JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
About The Team
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we're setting our businesses, clients, customers and employees up for success.
Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm's needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.

Work arrangement
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