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Control Management - Associate

JPMorgan Chase & Co.

JPMorgan Chase & Co.

Bengaluru, Karnataka, India
Posted on Sunday, June 9, 2024

Job Description

Operational Control Manager- Client Onboarding & Documentation

Job Description:

As a CO&D control manager, you will be responsible for managing the controls agenda in the APAC region whilst supporting global mandate including identifying and monitoring significant risks, ensuring compliance with operational policies, control procedures, and legal/regulatory requirements, and managing several engagements (e.g. Regulatory Exams, Regulatory Reporting, Internal/External Audits and Compliance Monitoring and Testing activities), special projects and risk assessments. The controls agenda support the end-to-end CO&D organization across WKO and DDS Operations by providing management with sufficient information to understand and monitor key operational risks and regulatory activities/concerns. CO&D control manager will partner with critical stakeholders including Operations, Cross-Regional control managers, Compliance, Technology, and Audit to ensure alignment to firmwide standards.


  1. Develop and maintain solid knowledge of Client Onboarding & Documentation Digital Document Services, Wholesale Know your customers (KYC) operations function and Control-related policies, procedures, and operating model as well as systems/platforms used to carry out these activities
  2. Perform internal control reviews to document processes and validate the effectiveness of key controls in the CO&D operational processes. Investigate and analyze emerging issues, perform root cause analysis, and work with Operations teams to define and execute plans to resolve the issue
  3. Advise on and continually reassess key risks and appropriateness of controls to ensure timely identification of significant risks and issues to support an evolving business & regulatory environment.
  4. Perform record level testing across different client types to ensure alignment to procedures and quality expectations
  5. Understand and become familiar with the various data sources, platforms and tools including the flow of data from source systems.
  6. Provide strategic, clear, and regular updates and key messages to management regarding significant matters, including potential issues requiring timely escalation and resolution.
  7. Perform root cause analysis and work with Operations and Controls teams to implement appropriate corrective action and best practices.
  8. In partnership with stakeholders, evaluate and perform an end-to-end analysis of the business’ risk and control environment to identify significant gaps and weaknesses and determine root cause of control breaks
  9. Ensure that Controls are properly designed, operating effectively, and essential to a proactive risk and control culture that leverages proven evaluation strategies and sound change management
  10. Perform ongoing analysis of program related data (e.g., KRI/KPI) and develop ad-hoc reports as requested to support Controls-related programs and strategies
  11. Perform action plan validation testing and support Quality Assurance testing and CORE testing in support of control program objectives.

Required qualification, skills and capabilities:

  • Demonstrate strong AML/KYC/Operations knowledge, including a solid understanding of the onboarding/KYC lifecycle, systems, and platforms
  • Excellent time management, organizational, and planning skills along with ability to handle multiple assignments at the same time.
  • Knowledge of Operational management concepts; ability to understand and interpret the impact of policy and procedural changes, as well as identify and convey potential problem areas.
  • Experience in performing a Strategic end to end review and ability to assess risk and recommend control enhancement
  • Experienced and comfortable working with databases, familiarity with database concepts and language.
  • Ability to review documentation and provide executive summary overviews and trend analysis.
  • A relationship builder with strong collaboration skills, who can establish trust and credibility across the organization.
  • Bachelor’s degree and/or relevant work experience required.
  • Relevant experience in AML/KYC, Compliance, or Risk/Controls within the Investment/Corporate Banking business of a financial institution. Prior exam management, audit or consulting experience preferred.
  • Experience with Digital Tools / Dashboards (e.g. Alteryx, Pega, Tableau), Proficiency in MS Office (Outlook/ Word/ Excel/ PowerPoint)