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Profiles for Compliance Surveillance/DOI Quality Assurance Associate

2.00 to 4.00 Years   Hyderabad   09 Sep, 2022
JPMorgan
Job LocationHyderabad
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaFinance / Accounts / TaxSales / BD
EmploymentTypeFull-time

Job Description

    Key Responsibilities:
    • Perform ongoing independent testing on completed cases actioned by the Surveillance e-communications/Voice Communications/Trade Surveillance Team
    • Perform ongoing independent testing on completed cases actioned by the DOI Compliance Team
    • Interfacing with relevant stakeholders to review and escalate potential compliance issue
    • Review the quality of completed cases using pre-defined test scripts which are based on Compliance and Quality Assurance standards
    • Review more complex trading activity and employee escalation and analyze large amounts of data gathered , appropriately disposition by utilizing analytical skills and research re sults
    • Question and investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made (where appropriate
    • Identify key issues, cause and effect relationships, and gaps in the process that impact quality, accuracy, and/or compliance. Report results to management.
    • Perform root cause analysis and make recommendations for addressing identified deficiencies or improvements to business / compliance processes
    • Present findings th o rough formalized feedback loop process, track and monitor corrections to identified defects
    • Work with Global Partners to ensure consistency with the Global QA framework and governance approach
    • Consider regulatory requirements and best practices to implement changes to process
    • Effectively communicate with key points of contact to ensure the flui d sharing of information and feedback across pertinent teams
    • Maintain the highest level of confidentiality throughout the QA process, disclosing only pertinent information to key stakeholders
    • Conducting analysis as required as it relates to the surveillance activity performed by PAD
    • Build & develop strong knowledge base on multiple functions within the team using cross training methodology to create synergies Qualifications & Essential skills:
    • 9 + years of experience with Financial Services industry, Surveillance /Personal Account Dealing / Regulatory Reporting/Disclosure of Interest/AML/BSA, Screening, Compliance , Investigative or Quality Assurance background preferred
    • Through knowledge of Surveillance /DOI process with strong adherence to compliance policies and controls
    • Strong knowledge of JPMC Compliance standards, guidelines, policies and procedures and due diligence requirements
    • A bility to identify issues and provide value-added solutions
    • Exceptional research and analytical skills with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and develop well-reasoned recommendations
    • Demonstrated experience adhering to controls and compliance standards
    • Intermediate level skills working with the MS Office suite of tools, with an emphasis on Excel and PowerPoint
    • Bachelor s degree in Finance, Economics, Forensic Accounting, Criminal Justice (focusing on financial crime) or equivalent work experience
    • Strong Communic ation skills including written, verbal, and interpersonal
    • Results-oriented Team Player
    • Ability to multi-task and meet deadlines against a high volume work schedule
    • Strong documentation skills to clearly articulate results of testing
    ,

Keyskills :
accountingaccountsauditingfinancial statementscustomer relationsms office suiteroot cause analysisitem response theoryms office

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