Apply Now    

Wealth Management, Investment Products Middle Office, Control Officer, Associate

Req #: 170091650
Location: New York, NY, US
Job Category: Operations
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.
The Investment Products Middle Office team sits within Operations, and services front offices sales and product solutions teams focused on Alternatives, Derivatives, Equity, Fixed Income, Emerging Markets, and Commodities.  The team supports all three lines of business from Private Banking, JP Morgan Securities, and Chase Wealth Management. The teams performs a host of tasks that range from trade processing, investor and advisor support, fail management, control activities, exception review, and reporting to name a few.  The goal is to ensure we run a well-controlled operational platform while giving our clients a best in class service and experience.
This individual will be responsible for supporting key regulatory initiatives across Operations with a primary focus on coordinating and overseeing the Office of Legal Obligation (OLO) program.  This is a firm-wide, global initiative that brings together the expertise of Legal, Lines of Business (LoBs), Oversight & Control, Compliance, Risk Management and other key control functions, to proactively manage regulatory changes in our operations and allow us to trace end-to-end connections between laws, rules and regulations and our policies and procedures that demonstrate compliance.  The role will work extensively with Legal, Compliance, Oversight & Control and the Operations Teams during the project.  This will also include building awareness of the OLO program across Operations and ensuring consistency in global understanding and dissemination of regulatory requirements.
The position requires communication directly with various levels of management, including senior management.  In order to perform effectively in this function, the candidate must have an analytical approach to problem solving to assist in resolving issues quickly and accurately.  The individual will need to work effectively in a team environment, adapt to a rapidly changing business environment, work on multiple tasks simultaneously and have strong organizational skills to prioritize work accordingly.  The candidate must also have a consultative approach to encourage early escalation and resolution of potential issues.
  • Excellent project management skills and ability to instill structure, process and accountability is essential
  • Ability to motivate and gain consensus among staff to drive initiatives to completion critical
  • Excellent business judgment, particularly the ability to proactively monitor the program to identify and address issues early, performing root cause analysis to develop long term solutions
  • Detail oriented, with a highly disciplined approach to process and quality control.  Attention to detail is critical in this role
  • Strong business analysis skills to enable efficient, accurate and objective decision making
  • Excellent personnel and organizational management skills, including expertise in issue and conflict resolution
  • Ability to partner closely with related functions to ensure a coordinated and effective program
  • Outstanding listening and negotiation skills as well as being a strong written and verbal communicator at the senior management level.
  • Candidate needs to be comfortable working and partnering with people at all levels and across all functional areas
  • Professional, self-motivated and able to work in a fast-paced, results-driven environment with a proven track record of execution against deliverables
  • Relevant experience/knowledge of financial products highly desirable
  • Excellent software skills:  MS Office Suite (PowerPoint, Word, Excel, Access), SharePoint


  • Experience in Compliance, Risk Management, Audit or Operational roles with increasing responsibilities, and diverse experiences in addition to other work experience
  • Experience in a regulated broker-dealer and / or wealth management business strongly preferred


  • A.S. / B.S. Degree or equivalent work experience; Master’s Degree preferred
  • FINRA Series 99, Operations Professional Registration required or can be obtained within 120 days
Apply Now    

Join our Talent Community

Not ready to apply? Leave your information with us and we will keep you up to date with new career opportunities.

Things to note

Sign in to our application system to continue your job search or update your profile.

Current employees sign in here. Contractors sign in here.

Any information you provide is confidential and will only be viewed by our recruiters in an effort to fill open positions. In addition, the information you provide is subject to our privacy policy practices.

Please note that J.P. Morgan will not accept unsolicited approaches or speculative CVs, nor will J.P. Morgan be responsible for any related fees, from Third Party Firms who are not preferred suppliers.

The firm invites all interested and qualified candidates to apply for employment opportunities.

Need disability related assistance?

If you are a US or Canadian applicant with a disability who is unable to use our online tools to search and apply for jobs, please click here.

Important links

Click here to view the "EEO is the Law" poster.

Click here to view the "EEO is the Law" supplemental poster.

Click here to view our U.S. Pay Transparency Policy.

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.