Associate - Compliance and Ops Risk Test Lead

Aumni; Mumbai; On-site; INR 1,800,000 - 3,200,000; Full time

Job summary

JPMorganChase is seeking a Compliance and Operations Risk Test Lead to join our Testing Center of Excellence in Mumbai. You will translate complex risk scenarios into precise test plans, drive end-to-end testing across controls, and ensure alignment with SOX and regulatory priorities.

The role requires 8+ years in controls testing, strong analytical and communication skills, and the ability to coordinate with cross-functional teams to deliver high-quality risk insights and robust control

Qualifications

• 8+ years of experience in controls testing, audit, operational risk management and testing in risk & control environments.
• Strong analytical thinking and problem-solving skills with ability to systematically organize and evaluate information.
• Proven ability to build partnerships with key stakeholders and collaborate with business/functional experts.
• Excellent organizational and time management skills with ability to adapt to shifting priorities.
• Excellent written and verbal communication skills with ability to influence leaders.
• Demonstrated expertise in MS Office applications, especially Excel, Word, and PowerPoint.

Responsibilities

• Evaluate the control environment and assess design and effectiveness for SOX and other regulatory frameworks and firm risk priorities.
• Conduct testing with precision and document evidence, including process maps and overview documents.
• Coordinate testing schedules with Process/Control Owners and cross-functional teams; gather evidence and report findings.
• Drive issue validation and remediation alignment with risk acceptance and compliance expectations.
• Lead stakeholder engagement and communicate testing results to management at various levels.
• Read policies and improve control evaluation methodologies and metrics.

Skills

Risk management

Controls testing

Stakeholder management

Analytical thinking

MS Office proficient

Education

Bachelor's degree in business/finance or related field

Tools

Alteryx

Tableau

Excel

Job description

If you are a detail-oriented professional with a passion for risk management and compliance, join our dynamic team in the Testing Center of Excellence (TCoE) to navigate complex risk landscapes while making a pivotal impact in our firm's robust risk strategy.

Job summary:

As aCompliance and Operations Risk Test Lead, your deep understanding of risk management and control evaluation will be instrumental in identifying and mitigating risks, thereby enhancing compliance and operational risk management. Your expertise in test execution will be crucial in managing and conducting precise and accountable tests, ensuring alignment with the firm's highest risks. Your analytical thinking and problem-solving skills will be crucial in breaking down complex business objectives into manageable tasks and activities. You will also be responsible for planning and organizing your own work, and potentially that of a team, while liaising and coordinating activities across various departments. Your role will be integral in ensuring a cohesive and efficient testing framework, contributing to the seamless delivery of quality outcomes.

Job Responsibilities:

• Understand and evaluate the assigned function's control environment with proven experience in assessing the adequacy, effectiveness and design of controls to ensure alignment with SOX, other regulatory frameworks & with the firm's risk priorities.
• Conduct comprehensive testing processes with precision and accountability to assess the control environment, identify gaps and prepare robust documentation including process documents, process flows, and overview documents that support testing conclusions.
• Collaborate with Process/Control Owner, cross functional teams on testing schedule, obtain walkthrough of the process, document process changes, evidence gathering, analysis of potential issues and facilitate timely reporting.
• Drive issue validation, action plan quality and closure discipline by partnering with control owners to ensure remediation aligns with risk acceptance and compliance expectations.
• Lead stakeholder engagement by facilitating meetings with business owners and stakeholders at various management levels, fostering collaboration across engagements with minimal oversight, and effectively influencing stakeholders during challenging discussions.
• Read and interpret policies/standards/procedures to ensure accurate implementation of compliance requirements while continuously improving control evaluation methodologies and interpreting control ratings & metrics to strengthen the firm's compliance and operational risk management framework.
• Serves as the primary point of contact for testers, providing guidance, resolving issues, and facilitating smooth communication within the team to ensure successful completion of testing engagements.

Required Qualifications, Capabilities and Skills:

• Bachelor's degree in business, finance, or related field; or equivalent work experience. Minimum of 8 years of work experience in controls testing, audit, operational risk management and managing testing processes within a risk & control environment.
• Demonstrated proficiency in advanced analytical thinking and problem solving skills with a track record of systematically organizing, comparing, and evaluating various aspects of a situation to identify key information.
• Proven ability to build strong partnerships with key stakeholders and collaborate with business & functional experts to provide guidance and to recognize risks and gaps.
• Excellent organizational and time management skills - ability to remain flexible and productive through shifting priorities and deadlines.
• Excellent written and verbal communication skills with an ability to influence business leaders in a meaningful and actionable manner.
• Demonstrated expertise in MS Office applications, with advanced skills in Excel, Word, and PowerPoint highly recommended.

Preferred Qualifications, Capabilities and Skills:

• Professional qualifications like CA, CPA, MBA Finance, CIA is preferred.
• Audit & control testing background / experience.
• Comfortable using Intelligent solutions like Alteryx, Tableau to support testing activities or metrics reporting.
• Ability to innovate, challenge the status quo and identify automation opportunities.

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.

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.

Control Management maintains a strong and consistent control environment through a joint accountability model that aligns managers with each function and region to mitigate operational risk. The team focuses on four areas: Control Design & Expertise, Risks & Controls Identification/Assessment, Issues & Control Deficiencies and Control Governance & Reporting.

Lead risk assessments, identify control gaps, and drive remediation efforts to enhance compliance and operational efficiency.