JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.
This role resides within Global Compliance Control and is accountable for supporting the effective execution of the firm wide control framework across Global Compliance. Specifically, the position provides support to Compliance Officers on matters related to risk control self assessment (RCSA), issue management, new business initiative approval (NBIA), third party oversight (TPO), control governance and reporting, technology controls and audit/exam preparedness.
This position requires a strong knowledge and background in controls management as well as familiarity with compliance or audit best practices.
The candidate will be expected to apply the firm wide oversight and control framework and protocols for strengthening the control environment, while serving as an expert control resource to the Global Compliance Officer team.
Oversee the execution of the control model within the context of the firm’s global compliance mandate
Support the implementation and execution of the Compliance Risk Control Self Assessment Program including:
Control Identification, Assessment and Substantiation
Follow-up with accountable business and Compliance leaders and their teams to ensure control issues (regulatory, audit, compliance identified, and business/self identified) are effectively resolved and subject to in-depth root cause analysis
Interface with the Global Compliance Regulatory Management (GCRM) team for management of issues resulting from supervisory exams
Oversee documentation, tracking and closure of Action Plans in the firm’s risk reporting system (Phoenix) across all Global Compliance matters
Compile, update and prepare reports and analysis on Compliance impact issues and controls
Partner with LOB/Region Compliance teams, Internal Audit, Operational Risk and other control functions in driving the strategic agenda to improve the control framework, as well as, the execution of tactical steps
Minimum of 5+ years as an auditor, compliance professional or regulator with a deep understanding of controls, RCSA frameworks, issue management protocols, and governance practices
Knowledge of compliance standards and best practices
Individual must have a strong control orientation with excellent communication skills to effectively engage and collaborate across Global Compliance, Business and Technology areas
The candidate must be motivated, energetic, detail-oriented, organized, articulate and willing to take responsibility
JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V.
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Office of the General Counsel
JPMorgan Chase & Co.
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