The Operations team is responsible for monitoring , processing and ensuring timely settlements across all supported products like equity, FI, mutual funds etc within Wealth management in India GSC. Team ensure adequate controls exist within the functions and provide oversight to the activities by working closely with the functional operations leaders, other control officers and other lines of defense.
Description of Role
WM Operational team seeks an Executive Director to provide leadership excellence and ensuring operational practices are in compliance with relevant risk standards, policies and regulations in order to maintain an effective control environment and to help support the management and oversight of various risk and control-related projects.
Key Roles and Responsibilities:
· Monitoring LOB compliance with Operational Risk Management Framework and internal oversight including firmwide op risk policies and procedures
· Proactively analyzes potential operational risks within the business
· Review and credible challenge business unit’s documented operational risk processes and procedures
· Provide a broad, metric and data-driven monitoring of key risk drivers, exposures, controls or potential risk events across processes; developing/leveraging metrics and KRI data (e.g., potential fraud, client complaints) to identify risk trends and themes
· Develop analytical capabilities to support and challenge the operational risk assessment (RCSA) processes for the business
· Promote risk and control awareness among business units; serve as subject matter expert on organization-wide risk and control policies and procedures
· Partner with various internal groups throughout Asset Management including Oversight and Control, Risk Management, Audit, Controllers as necessary
· Partner with operations and technology to automate risk and control activities
· Experience associated with Asset Management, Wealth Management business is preferred
· Working knowledge of banking operations, financial services laws and regulatory environment preferred
· Excellent analytical and problem-solving skills; inquisitive nature and comfortable in challenging current practices
· Confidence to take ideas forward and to challenge others, where appropriate
· Proven ability to anticipate and identify risks and effective mitigants
· Adept at developing relationships with senior business executives with a reputation for partnering across organization lines to mitigate risks
· 15+ years’ experience in financial services industry, with specific experience in Operational Risk, Finance, Audit, Compliance or other controls related area is required
· Excellent communication skills, both verbal and written
· Risk management certification like FRM / CRCMP / CIA preferred.
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