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Wealth Management Global Controls Management Supervisory Practices Team member - SM Practices Team Senior Associate/VP

Req #: 170100360
Location: Brooklyn, NY, US
Job Category: Asset Management
Potential Referral Amount: 0 US Dollar (USD)
Global Controls Management works in partnership with the business, as the first line of defense for the Wealth Management line of business at J.P.Morgan. 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.  The Wealth Management (WM) Global Controls Management Supervisory Practices team is responsible for management, support and coordination for the global team of 100+ Supervisory Managers (SM) in WM who supervise the Front office Sales and Solutions employees. This team partners with the CEOs of PB US, PB LATAM, PB EMEA, PB ASIA, JPMS and Global Solutions to ensure appropriate oversight. The Team’s goal is to become the center for procedures for other areas of Controls Management.
The role is with the Practice Team, the WM procedures Center of Excellence. The qualified candidate will work with subject matter experts (SME) within Wealth Management to provide guidance and best practice in drafting new procedures and updating existing procedures as policies and business processes change for the various lines of business supported by the Practices Team. Additionally, this role will assist with the development and maintenance of a global supervisory operating model, and provide assistance for other related to Supervisory Management activities to identify potential trends from Regulatory and internal exams.  The role also requires the ability to be flexible and assist with other projects assigned for all LOB’s supported by the Global Controls Management team.
  • Collaborate with relevant subject matter experts and partner with business control officers who support regions to advice on procedure best practice and draft and maintain relevant applicable Controls Management owned procedures
  • Create and deliver relevant communication and training documentation for updated Controls Management owned procedures, such as Written Supervisory documents, Error escalation procedures, etc.
  • Assist with ad hoc reporting and manage other projects. Creating power point presentations as needed.
  • Manage and drive efforts on researching and gathering documentation for specialized projects.
  • Identify solutions and best practices to support quality of control activities to be in alignment with regional requirements and regulations, Firm and AWM practices and standards.
  • Provide input and ideas for ongoing analytics and ad hoc analyses on the current business control and future planning.
  • Work within the WM Global Business Controls’ Business Controls Management function as needed on other project related task as they arise

  • Bachelor's degree required
  • Minimum of 2 years of relevant experience
  • Knowledge in wealth management, investment solutions, and/or, risk and controls preferred
  • Ability to deliver work product in a clear and organized manner
  • Ability to study current business processes to identify solutions to improve efficiency
  • Possess excellent analytical and problem solving skills, ability to analyze information and propose recommendations.
  • Ability to directly address conflicts and escalate issues where appropriate.
  • Strong research, written, and communication skills
  • Ability to work effectively with all levels within the organization
  • Ability to prioritize, organize and multi-task
  • Working knowledge of FINRA regulations
  • Familiarity with Excel, PowerPoint, and Visio a plus

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