Supervisory Management & Controls Analyst
JPMorganChase
Behind every investment is a person with ambitions, motivations and values. While we know that every client is unique, they come to J.P. Morgan Personal Investing for the same reason: our straightforward and transparent approach to investing, and the trust that 150 years of J.P. Morgan heritage brings.
J.P. Morgan Personal Investing offers award-winning investments, products and digital wealth management services to over 275,000 investors in the UK. We built the business with innovation as a core part of our ethos to give consumers the confidence and clarity to make informed investment decisions and achieve their financial goals.
As a Supervisory Management & Controls Analyst , your role will involve ensuring JPMorgan Personal Investing (JPMPI) sales, financial advice and trading activity is executed in line with firmwide policies and regulatory requirements.
You will be assisting the wider supervisory management team in managing Compliance and Operational risk, ensuring alignment with regulatory and firmwide requirements.
Job Responsibilities
- Conduct ongoing quality assurance monitoring covering JPMPI Wealth Management activity with a focus on sales practices and Consumer Duty.
- Conduct ongoing monitoring activities related to client suitability.
- Provide oversight and monitoring of the issuance of financial advice to clients.
- Generate management information related to supervision activities.
- Support the enhancement of business processes and controls in line with internal requirements.
- Help create supervision activity process documentation.
Required experience and capabilities
- Experience performing quality assurance or similar supervision/oversight activities.
- Good understanding of UK regulatory environment related to investments, including Consumer Duty.
- Strong communications skills and the ability to work autonomously following internal procedures.
- Great attention to detail and desire to produce high quality work.
- Experience generating management information desirable.
Preferred Qualifications, Capabilities and Skills
Relevant financial services experience related to retail investments desirable.
Experience in a Compliance, Risk or Controls function desirable.
#ICBCareers
J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
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.
Assist in providing supervisory management and oversight of the performance of regulated activities.