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Wealth Management - Controls Management, Oversight & Controls Officer - ED

Req #: 170071691
Location: New York, NY, US
Job Category: Asset Management
Potential Referral Amount: 0 US Dollar (USD)
J.P. Morgan Wealth Management: With more than 160 years of experience, J.P. Morgan Wealth Management is a global wealth management leader that delivers the highest quality advice, service, capabilities and products across all wealth segments through various distribution channels including the Private Bank, JPMorgan Securities, and Chase Wealth Management.
Wealth Management Controls Management’s primary function is to ensure the LOB has a sustainable and disciplined end to end control environment, identify and escalate issues with a sense of urgency, and partner with Business to ensure issues are remediated in a timely manner. 
WM Controls Management works in partnership with the business, as the first line of defense. The team assists in immediate, real time critical control issue detection, escalation, root cause analysis and remediation. In addition, the team works in collaboration with all other control functions – Compliance, Risk, Audit, and Legal.
Responsibilities include but are not limited to the following:
  • Partner with WM businesses, Controls Management team, Compliance, Risk and Legal to define, implement and support risk and controls environment including:
    • RCSA end-to-end process review
    • Compliance, Audit and Regulatory exam management / pre-audit health checks
    • Risk and Control Committee and other controls/business forums
    • New Business Initiative Approval (NBIA)
    • Regional and cross-border activities and processes
    • Conflict of Interests/Conduct Risks/Fiduciary
    • Corporate control programs and regulatory requirements
  • Build and drive consistency (best practices) of control initiatives and activities across regions, LOBs, products, locations and functions:
    • Facilitate the planning and execution of the annual RCSA (identification of risks, controls and testing)
    • Assemble and coordinate relevant staff (business, controls management, legal, risk, compliance, and other support functions) to address control deficiencies
    • Partner with the business to identify control gaps and develop action plans (owners, tasks, resources, timeline, communication to relevant parties etc.)
    • Provide guidance to ensure solutions developed are sustainable and comprehensive
    • Track issue and action plan deliverables and monitor for resolution/completion, report and escalate to management as needed
  • Build strong working relationships with business partners, controls management team, Compliance, Audit, and other controls partners
  • Identify solutions and best practices to support quality of risk and control activities in alignment with regional requirements and regulations, and AWM practices and standards
  • Provide regular input and ideas for ongoing analytics and ad hoc analyses on current business control environment and potential risk and control issues
  • Bachelor's degree
  • Minimum of 6 years of relevant experience for VP
  • Knowledge in wealth management business, risk and controls preferred
  • Prior experience in program/project execution a plus
  • Strong interpersonal skills, ability to influence others for results
  • Exceptional critical thinking, process review and improvements, analytical and communication skills (i.e. communicate effectively at all levels of the organization)
  • Possess sense of urgency, intellectual curiosity, resourcefulness, excellent analytical and problem solving skills, ability to synthesize large amounts of information and propose recommendations
  • Ability to adapt to a rapidly changing business environment, quickly assess situations, and capitalize on change
  • Individual must be results driven, have attention to detail, has passion for driving best practices, and skilled at diplomatically breaking down barriers and obstacles
  • Ability to directly address conflicts and escalate issues where appropriate.
  • Demonstrated experience as a key contributing member of a high performing organization
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