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Wealth Management - U.S. Controls Management Vice President

Req #: 170112473
Location: New York, NY, US
Job Category: Asset Management
Potential Referral Amount: 5000 US Dollar (USD)
J.P. Morgan Asset Management, with assets under supervision of approximately $2.1 trillion and assets under management of $1.4 trillion, is a global leader in investment management. J.P. Morgan Asset Management's clients include institutions, retail investors and high-net worth individuals in every major market throughout the world. 
Wealth Management (WM) – Global Controls Management primary function is to ensure the LOB has a sustainable and disciplined end to end control environment, identify and escalate issues with a sense of urgency, and partner with the Business to ensure issues are remediated in a timely manner. 
WM Global Controls Management works in partnership with the Business, as the first line of defense. 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 role of this US Controls Management Associate will primarily focus on controls and will further cover additional business initiatives and critical focused areas.
  • Work closely with the business, supervisory management, compliance and other control functions to define the scope of monitoring and surveillance business activities
  • Initial review of the business processes and subsequent design and implementation of assurance testing procedures covering business critical areas with a focus on quality assurance and risk and control frameworks
  • Working with US BCOs to manage internal Audit, Compliance and external regulatory exams and support the BCC and management reporting
  • Understand policies and procedures to determine proper application and compliance
  • Ensure procedures and policies are documented to accurately reflect current environment and ensure they contain components needed to cover RCSA and expectations of internal auditors
  • Perform testing, research results and evaluate information passed on quality control checks
  • 6 years controls management, legal and compliance, management consulting, or equivalent experience in complex financial enterprises; knowledge of wealth management businesses, risk & controls  preferred
  • Knowledge of laws, rules and regulations applicable to wealth or investment management businesses
  • The ideal candidate will have experience reviewing or advising on policies and procedures 
  • Exceptional leadership, interpersonal, and collaboration skills, with the ability to successfully engage a broad range of individuals across various business segments and key support functions, to achieve goals without direct control over resources
  • Ability to motivate and gain consensus among team members to determine impact and procedure sufficiency
  • Exceptional critical thinking, project management, analytical and communication skills with the ability to directly address conflicts and escalate issues where appropriate
  • Ability to multi-task and adapt to changing priorities in a dynamic business environment, and continually reprioritize to focus on the key issues / topics
  • Excellent skills using Excel and MS PowerPoint tools efficiently
  • Ability to learn new concepts, systems, processes, and initiatives
    Personal traits:  Intellectual curiosity and integrity, strong positive attitude and team spirit, desire to learn and grow and to mentor and develop others, confidence and strong presence (including with senior executives).  Highly organized, reliable, proactive, flexible, results and action oriented.


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