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Asset & Wealth Management | Oversight & Control | AWM RCSA Lead | Vice President

Req #: 170105602
Location: New York, NY, US
Job Category: Asset Management
Potential Referral Amount: 0 US Dollar (USD)


J.P. Morgan Asset and Wealth Management (AWM) is seeking talented candidates for a position as a Risk & Control Self-Assessment (RCSA) Lead – Vice President, based in Manhattan, NY.  This position will be a key part of the Asset and Wealth Management Oversight & Control team with a broad range of responsibilities across the breadth of core AWM businesses globally.
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 $2.6 trillion and assets under management of $1.9 trillion, we are one of the largest asset and wealth managers in the world. (Assets as of June 30, 2017.)
Oversight and Control (O&C), in partnership with the business and control functions, works to implement and/or strengthen the controls framework to consistently, quickly, and sustainably manage control issues. The team conducts cross functional control reviews and root cause analyses to identify overall enhancements to processes and procedures.  The unique position of Oversight & Control provides an end‑to‑end view of business activities allowing the team to deliver high quality solutions.
The AWM RCSA Lead will be responsible for all aspects of the global RCSA process.  The role will work in close partnership with the Business and Operations teams, Compliance, Internal Audit, the respective Regulators, and senior management to ensure clear stakeholder communications, accurate and complete data quality, process/procedural improvements, compliance with requirements, and end-to-end improvements within the corporate RCSA framework.
Responsibilities include but are not limited to the following:
  • Coordinate all RCSA Corporate deliverables across AWM
  • Monitor, update, and report on AWM Program status (Corporate scorecard, BCC updates, etc.)
  • Manage AWM RCSA FORCE team, which includes oversight of construction of RCSAs in FORCE (the corporate system for managing RCSAs), FORCE data entitlements, FORCE RCSA training, and FORCE change control, issue, and enhancement reporting across the AWM user base
  • Maintain a cross-LOB Governance structure, ensure accurate and timely deliverables, communicate with stakeholders, provide training where required
  • Conduct regular updates with business and operations teams with respect to their RCSA assessments
  • Chair critical RCSA Control forum(s) and drive agenda to ensure successful execution of RCSA program (e.g., Corporate risk calibrations, AWM RCSA working group, etc.)
  • Lead efforts with AWM Compliance to synchronize RCSA risk applicability and results with the Compliance Risk Assessment (CRA) tool
  • Act as a subject matter expert (SME) for the RCSA program for AWM stakeholders
  • Assist in development, implementation, maintenance, monitoring, and application of the firm wide RCSA strategy and framework (e.g., Residual Risk Reviews, Process Mapping, Risk & Control Identification, Control Evaluation, Issue Management, Control Testing, etc.)
  • Ensure alignment to firm wide RCSA strategy and framework
  • Manage relationships with internal partners such as Operational Risk, Audit, Compliance, and Legal to remove roadblocks while balancing the need for quality and regulatory and policy compliance
  • Maintain excellent working knowledge of audit, risk, and operational management concepts, as well as the ability to understand and interpret the impact of decisions and identify potential problem areas
  • Help design and communicate necessary system enhancements to projects and technology



  • 3-5+ years controls management, compliance, management consulting, risk, or equivalent experience in complex financial enterprises
  • Knowledge/experience within the asset management industry – products and services offered, distribution channels and asset classes (fixed income, equities, derivatives), preferred
  • Experience managing Risk control self-assessments (RCSA) a strong plus
  • Results driven, "can do" attitude
  • Possess a sense of urgency and resourcefulness with strong ability to anticipate issues and a passion for driving best practices
  • Flexible, with the ability to manage multiple and shifting priorities in a dynamic work environment
  • Strong collaboration, partnership, and influencing skills – ability to interact with colleagues at all levels and achieve goals without direct control over resources
  • Creative problem solving skills – ability to approach an issue/initiative with an innovative yet pragmatic, commercially reasonable approach to achieve desired outcomes
  • Careful attention to detail, with keen ability to quality check own work and the work of others
  • Exceptional communication skills, both verbal and written, with ability to target a wide range of audiences with confidence and credibility
  • Ability to directly address/identify conflict and obstacles and escalate as appropriate
  • Bachelor’s degree required
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