JPMorgan Employee Conduct Specialist 

India, Telangana, Hyderabad 

343314489

Role Requirements

• We are looking for talented people to join our Employee Compliance Licensing and Registration team supporting the delivery of key Licensing and Registrations in line with relevant Standard operating Procedures.
• This includes liaising closely with key stakeholders and the business and other control functions.L&R team will be responsible foremployees requiring registration or licensure for the performance of their responsibilities, to ensure they comply with the Firm’s internal policy as well as all external requirements.
• As a member of Licensing and Registration Processing (L&R) team your Responsibilities will include the collection, collation, and tracking of paperwork required for onboarding, maintenance of confidential records, and updating of multiple Compliance information systems as well as special assignments and ad hoc requests, as needed.

Key Responsibilities:

• Sourcing appropriate background documents for FINRA registration and/or insurance licensing from employees and managers
• Maintaining and tracking documentation
• Coordination with Insurance and Securities Regulators to process onboarding and amendments on a timely basis
• Monitoring operational processing controls
• Ensuring regulatory requirements are met by the employee
• Identifying and Escalating potential disclosures to stakeholders in timely and accurate manner.
• Co-ordinate the submission of firm related registration applications to various regulators and Insurance licensing agencies

Preferred Skills & Knowledge:

• 0-2 yrs of work experience in a Legal, Compliance, Risk or Operations areas within the Financial Services industry
• A working knowledge of the financial markets and products
• Client centric focus - Work as a trusted client partner and advocate, ensuring strong strategic alignment and open communication
• The candidate must be a quick learner who is able to work in a fast-paced, results-driven environment independently as part of a team.
• In addition, successful candidates should have the ability to use a wide range of computer-based systems, to exercise sound judgment and observe the highest degree of confidentiality in the handling of information received in connection with their responsibilities.
• They should possess strong written and oral communication skills
• Good at data organization and maintenance – must be detail oriented
• Able to work both independently and as part of a team
• Comfortable user of Microsoft Office (particularly Excel)
• Execution skill - Able to deliver results/meet deadlines under pressure.