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Wealth Management - Client Onboarding Risk and Controls - Office of Legal Obligations Specialist – VP

Req #: 170087626
Location: Geneva, GE, CH
Job Category: Asset Management
Potential Referral Amount: 8500 Swiss Franc (CHF)

Our Business


J.P. Morgan Asset 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.


Wealth Management (“WM”) is part of the Asset & Wealth Management business segment.  It has offered for over 160 years customized solutions and client service of the highest quality to solve the complex needs of wealthy individuals and their families around the world.  With assets under management of $1.25 trillion, it is one of the largest asset and wealth managers in the world.

Introduction to Role

JP Morgan is seeking either a Vice-President or Associate candidate to fill an open role on the Client Onboarding Risk and Controls Team (within Wealth Management in the Private Bank) to support the Office of Legal Obligations (OLO) initiative related to global policies and procedures.  The candidate will be responsible for proactively managing Client Onboarding’s compliance with the Office of Legal Obligations (OLO) firm wide initiative. The initiative validates compliance between laws, rules, and regulations against policies, procedures, and systems in the end-to-end process.


The role requires work in collaboration with Oversight and Control, Legal, Compliance, and Global Client Onboarding teams, business functions, and leadership to execute the program framework in a consistent and effective manner as well as perform assessments and ongoing oversight to ensure continued compliance with the firm wide program. 


To be successful, the candidate must have experience in Client Onboarding Account Opening/KYC/QC and project management. 

  • Critically analyze procedures against obligations and drive engagement with key functions to understand impact to the business and assess the sufficiency of current procedures.
  • Determine applicability of legal obligations to Client Onboarding policies, procedures or systems and provide oversight to ensure continued compliance. 
  • Read detailed/technical documents and break them down into easy to understand requirements.
  • Work closely with key business stakeholders, including but not limited to, WM Oversight & Control, Compliance and Legal, and Business Leaders on fulfilling mapping and other OLO responsibilities.
  • Develop and manage timely and effective communications on project management timelines, milestones, and progress.
  • Create and support various management reporting tools, including scorecards, weekly executive summaries, and roadmap to identify priorities. 
  • Proactively assess and prioritize procedural initiatives.
  • Facilitate meetings, prepare documentation, and meeting minutes.
  • Act as a subject matter expert on Legal Obligations.

  • Bachelor's degree or higher in Accounting, Finance, or Business preferred or relevant experience in a similar role
  • Relevant experience within a financial service operations, compliance, legal, or Client Oboarding environment required
  • Strong knowledge of laws, rules, and regulations applicable to wealth management, Account Opening, KYC, or Account Maintenance required.
  • Strong project management experience in a global environment, with background in controls management, legal, and compliance, or equivalent experience in complex financial enterprises.
  • Proven experience leading projects or initiatives with senior managers and global stakeholders.
  • Experience reviewing or advising on policies and procedures
  • Exceptional leadership, interpersonal, and collaboration skills, with the ability to successfully engage a broad range of individuals across various business segments and key support functions, to achieve goals without direct control over resources
Core Competencies:
  • Individual must bring a relentless focus on deliverables/objectives of the role and enjoy taking ownership for the delivery of measurable results.  They must also be able to:
  • Quickly analyze current business models/practices and develop innovative solutions
  • Effectively communicate key messages and simplify complex business situations
  • Influence the business to transform/change current state.
  • Analytical Skills - Candidate must be highly analytical, have great attention to detail and solid organization skills with experience in collecting, analyzing, and synthesizing data from multiple sources. Strong skills in reporting, data management and presentation of data required.
  • Time Management - Ability to thrive in a fast-paced, deadline-driven environment, including by excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
  • Communication Skills – Candidate must possess excellent written and oral executive-level communication skills, with the ability to effectively articulate risks/issues, impacts, solutions/remediation, and timelines to all levels of management.
  • Must be proficient in MS Excel, PowerPoint, and other Office applications.


JPMorgan offers an exceptional benefits program and a highly competitive compensation package.


JPMorgan is an Equal Opportunity Employer



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