Vice President - Employee Conduct Lead

Vice President - Employee Conduct Lead

Job summary:

As a Conduct Risk Operations manager within the Compliance Conduct and Operational Risk organization, you will manage a Risk operations 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:

• Maintain effective relationships with Advisory partners, ensuring that service levels and high levels of customer satisfaction are being met
• Monitor and evaluate program effectiveness, making necessary adjustments to achieve desired outcomes. 
• Manage the day-to-day operations of the team, ensuring that key indicators of quality and capacity are being met 
• Ensure that the team maintains an effective balance between adherence to Compliance Policies alongside ensuring a high level of service to our customers, the Firm’s covered employees
• Proactively manage operational risks by recognizing gaps in technology and processes, developing solutions, and escalating issues to senior management 
• 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
• 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. 
• Ensure that team is continually upskilling on relevant emerging technologies and tools and deploying solutions

Required qualifications, capabilities, and skills:

• Qualified graduate with minimum of 15 years of experience in Compliance Conduct and Operational Risk managing a team of 15 to 20 people 
• Experience of at least 5 years in a similar role
• 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:

• 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

Experience Level

Executive Level