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Control Manager

JPMorganChase

JPMorganChase

Administration
Tempe, AZ, USA
Posted on Thursday, July 11, 2024

Job Description

The CO&D (Client Onboarding & Documentation Control) Global Controls Team is focused on ensuring a robust control environment for Wholesale Know Your Customer (KYC) Operations and Digital Document Services (DDS) teams through the proactive identification and timely remediation of risk. This is an excellent opportunity for a self-motivated employee who enjoys solving complex problems and delivering creative solutions.

As a Client Onboarding & Documentation Control Manager within Exam Management team, you’ll help ensure a robust control environment for Wholesale Know Your Customer (WKO/KYC) Operations and Digital Document Services (DDS) teams through the proactive identification and timely remediation of risk. The team is highly collaborative, partnering with other teams such as WKO KYC Operations, WKO Policy & Procedure and GFCC (Global Financial Crimes) Compliance during Internal Audits and Regulatory Exams. If you’re a self-motivated employee who enjoys solving complex problems and delivering creative solutions – this is the role for you.

Job Responsibilities:

  • Effectively manage a caseload of Engagements across CO&D remit (primarily WKO) including regulatory exams, internal audits, external audits, compliance tests & monitoring activities, AML & Sanctions Risk Assessments, and special projects
  • Review requests for information from examiners, auditors, and testers, and in a timely and effective manner, prepare written responses, or coordinate with subject matter experts to collect, review, and submit responses
  • Manage the entire lifecycle of Engagements (planning, fieldwork, and reporting).
  • Develop and maintain strong knowledge of WKO and DDS policies, procedures, and operating model as well as systems/platforms used to carry out these activities
  • Investigate and analyze emerging issues, perform root cause analysis, and work with Operations teams to define and execute plans to resolve the issue
  • Develop a cohesive and effective partnership with Senior Business leaders, Line Of Business (LOB) Compliance teams, local and regional onboarding and banking teams, Oversight and Controls, Legal, Internal Audit and Operations
  • Provide strategic, clear, and regular updates and key messages to management regarding significant matters, including potential issues requiring timely escalation and resolution
  • Ensure all issues and concerns highlighted during the Engagement, including those not included on the final report, are reviewed, and addressed. Also partner with applicable Action Plan owners and Control Managers to develop and complete test steps to address root cause of the issue
  • Influence and drive change in functional areas outside of the individual’s direct control
  • Synthesize large amount of information efficiently and effectively into clear and concise messages to be relayed to key stakeholders
  • Ability to deliver under tight deadlines in an aggressive and dynamic environment

Required qualifications, capabilities, and skills:

  • 6 or more years of Anti-Money Laundering/Know Your Customer (AML/KYC), Controls, or Audit experience
  • Strong leadership, drive to change and lead digital agenda to drive strategy and solutions for problem-solving, analytical, team building
  • Must be highly disciplined, a self-starter, and can execute in a fast-paced, results-driven environment
  • Ability to drive a culture of risk awareness and proactive risk identification and assessment
  • Proficiency with MS Office (Outlook/Word/Excel/PowerPoint).
  • Excellent written and verbal communication skills
  • Strong presentation, communication and investigative skills.
  • A relationship builder with strong collaboration skills, who can establish trust and credibility across the organization.

Preferred qualifications, capabilities, and skills:

  • Compliance, Audit, Risk, or Operations management experience