1+ months

CB Regulatory Operations Control Manager-

JPMorgan Chase & Co.
Chicago, IL 60602
  • Job Code

CB Regulatory Operations Control Manager-

Req #: 190088477_1
Location: Chicago, IL, US
Job Category: Accounting/Finance/Audit/Risk
Potential Referral Amount: 0 US Dollar (USD)


The Commercial Banking (CB) Control Manager Vice President will be initially responsible for providing support for key efforts impacting CB Regulatory Operations to include the Centralized Records Management Program.  This role will facilitate team-wide action plan review meetings and produce executive level reporting.  Partner with peers and the business areas we support in the end-to-end execution of Quality Assurance testing and Control & Operational Risk Evaluation (CORE) testing, including control breaks and resolutions, to reduce financial loss, regulatory exposure and reputational risk.  The role will be part of the CB Regulatory Operations Business Operations Executive (BOE) team reporting directly to the Control Manager Executive Director.  The role will be working closely with various Operational roles and peers across the BOE team and will engage with legal, compliance, risk, audit, and technology control functions.    


Control Management (CM) maintains a strong and consistent control environment across the firm. With Control Managers appointed for each Line of Business, Function and Region, there is a comprehensive coverage and joint accountability model with the business executive that promotes early operational risk identification and assessment, effective design and evaluation of controls and sustainable solutions to mitigate operational risk.

Control Management focuses on four areas: 

1) Control design and expertise

2) Risks and controls identification/assessment

3) Control breaks and resolution

4) Control governance & reporting

Role Responsibilities:


·         Records Steward: Assist business unit contacts in delivery of milestones related to Centralized Records Management Program (CRMP) workstreams and to engender a culture of ownership related to firmwide records management policies within supported business units.  Ensure deliverables are well understood, deadlines are met, and issues are escalated as appropriated.  Work with Control Management peers to ensure related action plans are managed appropriately and that controls are sustainable.  Overtime, move the program to business as usual (BAU) holding the business leads accountable for Records Management.

·         Access Management:  Liaison between the CB Recertification Team and CB Regulatory Operations.  Facilitate thrice-yearly large-scale out of profile application/entitlement access recertification, administer the annual Security Administration Profile Certification, and reply to ad hoc requests.

·         Meeting administration:  Lead designated meetings to include establishing deadlines for key partners, delivering meeting minutes, and working with key partners to ensure the meetings continue to add value.  Create Power Point/Pitch Pro material as needed.

·         In partnership with stakeholders, evaluate and perform an end-to-end analysis of the business’ risk and control environment to identify significant gaps and weaknesses and determine root cause of control breaks

·         Ensure that controls are properly designed, operating effectively, and essential to a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols

·         Perform ongoing analysis of program related data (e.g., KRI/KPI) and develop ad-hoc reports as requested to support business-related programs and strategies

·         Assist with development of Control & Operational Risk Evaluation (CORE) mapping and documentations through participation in end-to-end process walkthroughs and deep dives with business units

·         Provide control related due diligence to business units to foster a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols

·         Partner effectively with colleagues across the firm, business, operations management, legal, compliance, risk, audit, regulators and technology control functions to drive consistent and rigorous operational risk practices and Control programs including: control committees, risk mitigation, key risk indicators, control design and effectiveness evaluation/testing

·         Help establish control governance and reporting to identify meaningful metrics to inform on health of operational risk and control environment; escalate control breaks based on key reporting indicators; and provide input to control committees and forums.

·         Perform Quality Assurance testing and/or CORE testing in support of control objectives and action plan validation.

·         Leverage technology and process improvements to mitigate reliance on manual processes.

  • Bachelor’s degree or equivalent experience required
  • 7+ years of financial services experience in controls, audit, quality assurance, risk management, or compliance preferred
  • Proficient knowledge of control and risk management concepts with the ability to design, create and evaluate Risk & Control Self-Assessment in conjunction with business partners.
  • Expert in Microsoft Power Point/Pitch Pro
  • Ability to visualize and present complex messages to stakeholders and executives 
  • Experience in leadership roles in business operations strongly preferred


  • Business knowledge - ability to understand the Commercial Banking business globally / knowledge of regulation surrounding business; demonstrated experience working in a highly complex business and controls environment preferred
  • Technical Acumen â€“ understand technical solutions to business problems
  • Team Player â€“ strong influencing skills and ability to develop strong partnerships across businesses
  • Communication/presentation - excellent written and verbal communication skills with an ability to influence business leaders in a meaningful and actionable manner
  • Emotional Intelligence â€“ exceptional interpersonal skills; exceptional collaboration and relationship building skills, ability to work with a broad range of partners
  • Strategic Mindset â€“ ability to look beyond today’s processes or expedient solutions and coherently and succinctly communicate ideas, influence stakeholders, and justify decision-making
  • Work autonomously to effect change - flexible, adaptable to shifting priorities; manages competing priorities to achieve the most effective result and able to work in a fast-paced, results driven environment
  • Process analysis / design acumen – ability to understand a process and associated risk to inform control design
  • Problem solving / Analytical skills - solid critical thinking, attention to detail and analytical skills; ablity to synthesize large amounts of data and formulate appropriate conclusions
    • Understanding root cause / identifying control breaks
    • Developing timely and sustainable solutions
    • Analyze metrics for emerging risk
  • Implementation skills
    • Writing Action Plans, Procedures
    • Change Management





Keyword: consumer%20banking


Posted: 2019-09-23 Expires: 2019-12-07

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CB Regulatory Operations Control Manager-

JPMorgan Chase & Co.
Chicago, IL 60602

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