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Wealth Management - CWM Operations, Digital Wealth Management - Middle Office Controls Analyst

Req #: 180009919
Location: Chicago, IL, US
Job Category: Asset Management
Potential Referral Amount: 0 US Dollar (USD)
J.P. Morgan Wealth Management, with client assets of $2.4 trillion, is a global leader in investment and wealth management. Its clients include institutions, high-net-worth individuals and retail investors in every major market throughout the world. The division offers investment management across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. For individual investors, the business also provides retirement products and services, brokerage and banking services including trusts and estates, loans, mortgages and deposits.
Our Business
Wealth Management Operations supports the JPMorgan Private Bank and Chase Wealth Management.
  • The Private Bank is the world’s premier service provider for ultra and high net worth individuals.  Our goal is to help these affluent individuals across the globe optimize their wealth, after taxes and across generations.  Wealth Management Operations provides end-to-end support for all aspects of the client experience, working closely with client service, fiduciary, product specialty groups, third party vendors and other internal groups.
  • Chase Wealth Management encompasses our Chase Private Client (CPC) and Chase Investment Services businesses. Through a dedicated team of a banker and J.P. Morgan Advisor, Chase Private Client brings our affluent clients concierge banking from Chase and access to the investment expertise from J.P. Morgan. Chase Investment Services provides investment solutions to a broad range of Chase customers through Chase Investment Advisors.  As a Controls Business Analyst you will be part of the growing Chase Digital Wealth Management and Chase Wealth Management teams.
Position Summary:
As a Digital Wealth Management - Middle Office Operations Controls Business Analyst for Chase Wealth Management, your responsibilities may include, but are not limited to:
  • Monitor the regulatory environment in the investment industry by advising the Middle Office management team of upcoming changes
  • Maintain the and execute Risk and Control Self-Assessment program
  • Ensure compliance with all department and regulatory (AML, SEC, DOL, FINRA, etc.) requirements.
  • Provide reporting to the management team on control related items & control testing
  • Work with the management teams to ensure department policies and procedures are up to date and accurate.
  • Review new technology deployments for potential risk items.
  • Coordinate audits and compliance inquiries with the assistance of subject matter experts.
  • Assist with long term strategic planning for the department.
  • Brokerage experience is preferred
  • FINRA Series 7/66 required and Series 24 preferred
  • Prior Risk/Controls environment experience is preferred
  • Bachelor’s Degree or commensurate industry experience is preferred
  • Proven interpersonal, team-oriented skills
  • Results oriented team player
  • Strong problem solving skills
  • Able to organize/manage multiple priorities and projects coupled with the flexibility to quickly adapt to ever changing business needs and requirements
  • High attention to detail, excellent follow-through
  • Strong spreadsheet, database, and reporting skills.  Experience with EXCEL, Access and Visio is preferred
  • Sound decision making and judgment in resolution of moderate to complex issues
  • Ability to effectively communicate with department managers
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