10 days old

Compliance Control Manager - Associate

JPMorgan Chase & Co.
Tampa, FL 33602
  • Job Code
    190103759

Compliance Control Manager - Associate

Req #: 190103759
Location: Tampa, FL, US
Job Category: Compliance
Potential Referral Amount: US Dollar (USD)

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.7 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com.

 

Job Description

 


The role resides within the Control Management team covering various disciplines within Compliance and Operational Risk Management. A control manager 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 compliance and operational risk identification and assessment, effective design and evaluation of controls and sustainable solutions to mitigate operational and compliance risk. Specifically, this position works in conjunction with the control officers to partner with senior management, compliance officers, program managers and other functional support groups (IT and IT Risk, Operational Risk Oversight, Compliance, Finance, and Audit) across the firm to support the development and implementation of a consistent approach to the management of risks and controls.  

 

Control Management focuses on four areas:

1)     Control design and expertise – provide control expertise on policy, standards, procedures, internal audits, regulatory exams and strategic initiatives

2)     Risks and controls identification/assessment – perform ongoing monitoring, evaluation, mitigation and escalation of risks

3)     Control breaks and resolution – perform end to end issue and action plan lifecycle management, heavy analysis of outstanding audit, regulatory, compliance identified, and business identified issues and development of feedback loops to ensure impacted areas are leveraging this information for continuous improvement

4)     Control governance & reporting – attend and manage governance forum and provide appropriate metrics reporting, being able to take a massive amount of information and develop broad categories of themes, and distill information for executive management  

 

Roles and Responsibilities

 

The successful candidate will work with the team to:

 

·         Create a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols

·         Review and analyze program related data (e.g., KRI/KPI) to support business-related programs and strategies

·         Provide leadership support for the end-to-end execution of the Risk & Control Self-Assessment, including control breaks and resolutions, to reduce financial loss, regulatory exposure, and reputational risk

·         Engage with control colleagues across the firm, business, operations management, legal, compliance, risk, audit, regulators and technology control functions

·         Assist with process mapping and risk and control identification sessions held within the business to support development, and periodic confirmation of the adequacy of scope and content of horizontal risk assessments

·         Assist with the coordination of Executive Risk Reviews and Bottoms Ups Process Mapping sessions designed to proactively identify, assess and prioritize risks

·         Maintain awareness of significant changes impacting compliance, both internally and externally, and ensure appropriate actions to mitigate risk and modify/expand control

·         Participate in various committees and meetings related to operational risk and control matters

·         Participate in, other operating risk and control projects or initiatives as assigned.

The role resides within the Control Management team covering various disciplines within Compliance and Operational Risk Management. A control manager 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 compliance and operational risk identification and assessment, effective design and evaluation of controls and sustainable solutions to mitigate operational and compliance risk. Specifically, this position works in conjunction with the control officers to partner with senior management, compliance officers, program managers and other functional support groups (IT and IT Risk, Operational Risk Oversight, Compliance, Finance, and Audit) across the firm to support the development and implementation of a consistent approach to the management of risks and controls.  

 

Control Management focuses on four areas:

  1. Control design and expertise – provide control expertise on policy, standards, procedures, internal audits, regulatory exams and strategic initiatives

  2. Risks and controls identification/assessment – perform ongoing monitoring, evaluation, mitigation and escalation of risks

  3. Control breaks and resolution – perform end to end issue and action plan lifecycle management,  analysis of outstanding audit, regulatory, compliance identified, and business identified issues and development of feedback loops to ensure impacted areas are leveraging this information for continuous improvement

  4. Control governance & reporting – attend and manage governance forums and provide appropriate metrics reporting, being able to take a massive amount of information and develop broad categories of themes, and distill information for executive management  

 

Roles and Responsibilities

 

  • Create a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols

  • Provide leadership support for the end-to-end execution of risk assessments, including control breaks and resolutions, to reduce financial loss, regulatory exposure, and reputational risk

  • Engage with control colleagues across the firm, business, operations management, legal, compliance, risk, audit, regulators and technology control functions

  • Assist with process mapping and risk and control identification sessions held within the business to support development, and periodic confirmation of the adequacy of scope and content of horizontal risk assessments

  • Maintain awareness of significant changes impacting compliance, both internally and externally, and ensure appropriate actions to mitigate risk and modify/expand control

  • Participate in various committees and meetings related to operational risk and control matters

  • Participate in, other operating risk and control projects or initiatives as assigned.

Qualifications

 

·         Bachelor’s degree or equivalent experience required

·         3+ years of financial service experience in controls, audit, quality assurance, risk management, or compliance preferred

·         Operational Risk experience preferred

·         Proficient knowledge of control and risk management concepts with the ability to design, create and evaluate a risk assessment in conjunction with business partners

·         Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Visio)

·         Ability to work in a matrixed environment, provide oversight and directly influence change

·         Knowledge of Financial Services and their operational processes

·         Ability to collaborate with business and functional experts to provide risk assessment guidance and direction, and to recognize risks, control gaps and design enhancements

·         Strong organizational and multi-tasking skills with demonstrated ability to manage expectations and deliver results

·         High level of professionalism, self-motivation, and sense of urgency

·         Strong team player, self starter, must be flexible and able to quickly adapt to change

Skills

 

·         Communication/presentation - excellent written and verbal communication skills with an ability to influence business leaders in a meaningful and actionable manner

·         Work autonomously to affect 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

·         Problem solving / Analytical skills - solid critical thinking, attention to detail and analytical skills; able 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

·         Ability to make subjective and informed decisions based upon output, influence stakeholders and justify decision making


Keyword: consumer%20banking

Categories

Posted: 2019-11-28 Expires: 2019-12-28

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Compliance Control Manager - Associate

JPMorgan Chase & Co.
Tampa, FL 33602

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