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Asset & Wealth Management - AM Regulatory and Control Program Manager, Distribution & Client Service – Vice President

Req #: 170092420_1
Location: Columbus, OH, US
Job Category: Asset Management
Potential Referral Amount: 0 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 manager will oversee regulatory initiatives for  Funds and Institutional Sales and Client Service, and Business Platform, partnering with internal business managers across these teams.  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 manager is the point of contact for various firm-wide regulatory projects. This will involve becoming a subject matter expert for each business, providing the central teams with explanations and documentation of our processes to support how we meet certain regulatory requirements.
The position requires strong knowledge of asset management, business processes, and the ability to understand and 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 relevant businesses to develop or update procedures, and train individuals 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:
  • Liaise with the project teams and legal and compliance to understand regulatory requirements
  • Analyze the implications of the regulations and effects on a clients; work with Client Service, Legal, Risk, Compliance and Business Managers for proper implementation
  • Identify and 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
  • Understand and assess the adequacy of procedures and controls, identify control weaknesses and provide recommendations to resolve them.  In addition prepare presentations to explain issues to senior management, coordinate meetings and assist with completion of action plans. 
  • Partner with Oversight & Control, Audit, Compliance, Risk and Legal on all regulatory matters impacting the sales, client service, and business controls platforms
  • Change agent that can influence the broader control environment and culture
  • 8+ years’ experience in financial services, client services, audit, or compliance roles with strong knowledge/experience of regulations.
  • An understanding of contractual terms in an Investment Management agreement, subscription agreement and prospectus
  • Knowledge of ERISA plans, 40 Act Funds and Collective Investment Trusts
  • Strong analytical capabilities, with the ability to synthesize data sets, identify key themes, and propose solutions (comfortable working from a top down and bottom up perspective)
  • Strong risk and control mindset
  • Excellent 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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