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
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.
Skills Required
- Qualified graduate
- Minimum 3 years of relevant experience in Personal Account Dealing, Employee Compliance, and Risk
- Strong understanding of control environments, policy adherence, and escalation discipline
- Working knowledge of financial markets and products
- Strong written and verbal communication skills
- Strong data organization and maintenance skills
- Ability to work independently and collaboratively
- Proficiency in Microsoft Office, particularly Excel
- Ability to meet deadlines and deliver results under pressure
- Client-centric mindset while maintaining compliance and control rigor
- Experience handling complex exception management and investigations in employee compliance or surveillance
- Experience with trend and variance analysis and process improvement
- Experience supporting employee compliance operations, supervisory reviews, quality checks, or KPI and throughput management
- Experience working in a global, cross-functional model
- Strong judgment and escalation instincts
JPMorganChase Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about JPMorganChase and has not been reviewed or approved by JPMorganChase.
-
Healthcare Strength — Health coverage is considered comprehensive, including medical, dental, and vision, alongside wellness and mental health resources. Some locations add onsite health centers and related wellbeing support.
-
Retirement Support — Retirement offerings include a 401(k)-type savings plan and related financial benefits, with options such as employee stock purchase participation. Financial planning resources are also highlighted to support long-term savings.
-
Parental & Family Support — Paid parental leave of 16 weeks for birth or adoption is available for all parents. Child care and back-up child care resources further reinforce family support.
JPMorganChase Insights
What We Do
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $3.7 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small businesses, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world’s most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Technology fuels every aspect of our company and is at the heart of everything we do. With over 50,000 technologists globally and an annual tech spend of $12 billion, we are dedicated to improving the design, analytics, development, coding, testing and application programming that goes into creating high quality software and new products. Learn more about technology at our firm, explore resources from our Distinguished Engineers, AI & ML researchers, and other experts; access the latest episode of our TechTrends podcast, and more at www.jpmorgan.com/technology. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com. ©2023 JPMorgan Chase & Co. All rights reserved. JPMorgan Chase is an Equal Opportunity Employer, including Disability/Veterans.
Why Work With Us
Our technologists work on a diverse range of solutions that include strategic technology initiatives, big data, mobile, electronic payments, machine learning, cybersecurity, enterprise cloud development, and other state-of-the-art technologies.
Gallery






