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CORP - Compliance – LATAM Compliance Testing – Senior Associate

Req #: 180028169
Location: México, DIF, MX
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)

J.P. Morgan is a leading global financial services firm with assets of $2.1 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management and private equity. Information about J.P. Morgan is available at http://www.jpmorganchase.com/.

The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining an infrastructure to identify, measure and monitor compliance with applicable laws, regulations and rules that govern our business globally.   Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's control environment.

 

The LATAM Compliance Testing team is part of the LATAM Compliance Team and is responsible for managing and executing Compliance Testing across the LATAM LOBs.

 

ROLE DESCRIPTION, KEY RESPONSABILITIES and QUALIFICATIONS


Compliance testing is a risk-based independent point-in-time review of policies and procedures, controls, processes or data sources used for managing compliance risk. The objectives of Compliance Testing are:

  • Test the design and operating effectiveness of key compliance-related processes and controls connected to the Firm’s regulatory compliance obligations for each Line of Business and region
  • Validate that key assumptions, data sources, processes and procedures utilized in measuring, monitoring and controlling compliance risk can be relied upon on an ongoing basis.

The Compliance Testing LATAM Team is responsible for the timely and effective management and execution of the LATAM Compliance testing program

 

The professional who fills this position will work with Business, Legal, Risk, Audit and Compliance management to identify and assess risks; develop and execute an appropriate compliance testing plan; and, ensure that corrective action is fully implemented to address testing, audit, regulator, and/or self-identified issues.

 

The successful candidate might have a background as an Auditor, Regulatory Examiner or Big 4 experience or equivalent experience.

 

Responsibilities:

  • Research, plan and lead detailed reviews, in accordance with LATAM Compliance Testing program for all lines of business and countries in the regions and within assigned testing timeframes to assess compliance with applicable rules and regulations
  • Prepare clear and organized testing work papers to document and support work performed and conclusions reached (Planning, Execution, Issues identification, Reporting  and documentation)
  • Management of open issues arising from testing and ensuring that associated action plans are addressed
  • Draft detailed reports encompassing the review results which clearly articulate the issues noted and remedial actions to be taken
  • Organize and prepare management information relating to testing reviews completed, issues identified, outstanding action plans and progress against plan
  • Work to enhance the visibility of the Testing team and establish key business relationships.  Interact with all levels of business management and staff.  Meet regularly with key business stakeholders to remain informed of risks within the business and issues arising
  • Coordinate with other Compliance Team Members globally and assist in various ad hoc projects as necessary
  • Be comfortable performing peer reviews of the test work papers of other team members and providing constructive feedback
  • Manage multiple assignments at one time
  • Undertake ad-hoc projects at the request of the Team Manager or LATAM Head of Practices
  • University Degree educated or equivalent
  • Excellent written, analytical and interpersonal skills required
  • Pro-active, motivated and enthusiastic
  • Able to work independently with good time management skills
  • 5+ years of financial services experience, preferably in Audit or Testing related roles
  • Ability to work in a team environment and assist with reviews, projects and/or team initiatives
  • Strong organizational skills and willing to take ownership and responsibility of tasks
  • Ability to manage multiple projects simultaneously with minimal supervision
  • Strong written and verbal communication skills, as well as influencing abilities
  • AML, KYC, Sanctions, Compliance or Investigative background preferred
  • Excellent skills in the use of Excel, Microsoft Word and PowerPoint
  • Fluency in English. Portuguese is considered a plus
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