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Asset Management - Regulatory Reporting Manager – Vice President

Req #: 180024483
Location: New York, NY, US
Job Category: Asset Management
Potential Referral Amount: 0 US Dollar (USD)
J.P. Morgan Asset & 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.
AM Regulatory Reporting – Vice President
The growth in regulatory initiatives since the 2008 financial crisis has resulted in a number of new reporting requirements for asset managers. Compliance with these requirements continues to present an increasing challenge.
Asset Management currently produces in excess of 400 reports to multiple regulatory bodies globally. To further enhance our control framework, and to meet further evolving regulatory needs, the need for a global regulatory reporting function has been identified.
The Function
The global regulatory reporting function provides an independent but collaborative level of oversight in order to:
  • Drive consistency of the acquisition and assessment of regulatory information for GIM
  • Improve assessment and clarity on key aspects of new and existing regulations
  • Influence the implementation of more consistent and scalable operating models to support current and future requirements
  • Influence the development of a consistent approach to data sourcing and automation opportunities
  • Implement quality assurance framework
North America Regulatory Reporting – Vice President
The Role:
The incumbent will lead the North American Region Regulatory Reporting function, and will require partnership with various stakeholders responsible for the day to day production of all aspects of North American regulatory reporting.
Core responsibilities
  • Create, review and monitor the regional list of current and future regulatory reporting
  • Key stakeholder in regional programs that impact regulatory reporting
  • Engage with partners to assess impact of new and proposed changes in the regulatory landscape
  • Implement regionally the global policies & procedures and control framework 
  • Liaise with Global Head & other Regional Heads to implement a quality assurance framework for new and existing reporting requirements
  • Partner with Global Head & other Regional Heads to develop a framework for implementation of new regulations, resolution of issues identified, sample testing and overall oversight
  • Assess and drive remediation of current distributed operating processes
  • Drive opportunities for consolidation and automation to alleviate risk profile of regulatory reporting regime
  • Chair regional regulatory reporting forum
  • Demonstrated experience in regulatory and control environments:
    • Working knowledge of regulators such as the SEC, CFTC, OCC, etc
    • Knowledge of regulatory reports such as Form ADV, Form PF, CPO-PQR, Volcker, etc
    • Familiarity with the RCSA (Risk & Control Self-Assessment) Standards & Guidelines as well as the process to implement these controls
  • Extensive knowledge of asset management business and products
  • Strong working understanding of regulatory landscape and implications for the Asset Management industry
  • Ability to interact effectively with senior leadership and business sponsors
  • Balanced and measured in approach
  • Ability to effectively navigate and multi-task across a wide portfolio of work
  • Sense of urgency, intellectual curiosity, resourcefulness, excellent analytical and problem solving skills
  • Results driven, have attention to detail, and skilled at diplomatically breaking down barriers and obstacles
  • Ability to successfully navigate, influence, and lead collaboratively in a complex environment 
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