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Asset Management | Regulatory & Control Program Manager | Asset Management Funds Distribution & Client Service | Associate NY/OH

Req #: 170073521
Location: New York, NY, US
Job Category: Asset Management
Potential Referral Amount: US Dollar (USD)
J.P. Morgan is a global leader in asset and wealth management services. The Asset & Wealth Management line of business serves institutional, ultra-high net worth, high net worth and individual clients through its Asset Management and Wealth Management businesses. With client assets of $2.5 trillion and assets under management of $1.8 trillion, we are one of the largest asset and wealth managers in the world. (Assets as of Dec. 31, 2016)
J.P. Morgan Asset Management is a leading investment manager of choice for institutions, financial intermediaries and individual investors, worldwide. With a heritage of more than two centuries, a broad range of core and alternative strategies, and investment professionals operating in every major world market, we offer investment experience and insight that few other firms can match.
The AM Regulatory and Control Program Associate will work directly for the Regulatory and Control Program Manager, and have the opportunity to partner with business managers in Funds & Institutional Sales and Client Service & Business Platform.  In addition, this position will interact with key stakeholders from other functional areas (Oversight & Control, Legal, and Compliance).  The primary function of the AM Regulatory and Control Program associate is to support the Control Program manager in various firm-wide regulatory initiatives impacting sales, client service and business platform. This will involve becoming a subject matter expert for these businesses, providing the central teams with explanations and documentation of our processes to support how we meet certain regulatory requirements.
The position requires knowledge of Asset Management business processes and the ability to work with the manager to translate regulatory requirements and identify what procedures meet the requirement.  The individual will also be required to identify any gaps in the procedures to meet the requirements and work with the relevant businesses within client service to develop or update procedures as necessary.  The individual will need to work effectively, both independently as well as in a team environment and must be able to adapt to a rapidly changing business environment.  He or she must be able to work on multiple tasks simultaneously and have strong organizational skills.
Responsibilities include but are not limited to the following:
  • Assist the Regulatory and Control Program Manager in liaising with the project teams and legal and compliance to understand regulatory requirements
  • Identify/map procedures that demonstrate compliance with obligation and partner with broader Assessment Team members including Legal, Compliance, Risk, and Business to complete procedure sufficiency analysis
  • Assist the Regulatory Manager in understanding and assessing the adequacy of procedures and controls, identifying control weaknesses and providing recommendations to resolve them.  Prepare presentations, coordinate meetings and assist with completion of action plans. 
  • Partner with Oversight & Control, Audit, Compliance, Risk, and Legal on all regulatory matters impacting sales, client service, and business platform
  • Change agent that can influence the broader control environment and culture
  • 3+ years’ experience in asset management, with roles in client services, audit, or compliance roles and strong knowledge/experience of regulations.
  • Strong analytical capabilities, ability to synthesize data sets and identify key themes, propose solutions (comfortable working from a top down and bottom up perspective)
  • Strong written and verbal communication skills; detail oriented
  • Creative problem solving skills – ability to approach an issue/initiative with a pragmatic, commercially reasonable approach to achieve desired outcomes
  • Responsive to a constantly changing environment
  • Exceptional organizational skills; ability to multi-task, to manage complex assignments and to manage others indirectly.
  • Inquisitive and proactive in identifying risks and proposing solutions.
  • Ability to understand business drivers and requirements in order to influence internal stakeholders to deliver solutions related to business issues/problems
  • Demonstrated proficiency in MS Office (Excel, Word, PowerPoint)
  • BA required
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