Control Management
4 weeks ago
Job Description:
As a CO&D control manager, you will be responsible for managing the controls agenda in the APAC region whilst supporting global mandate including identifying and monitoring significant risks, ensuring compliance with operational policies, control procedures, and legal/regulatory requirements, and managing several engagements (e.g. Regulatory Exams, Regulatory Reporting, Internal/External Audits and Compliance Monitoring and Testing activities), special projects and risk assessments. The controls agenda support the end-to-end CO&D organization across WKO and DDS Operations by providing management with sufficient information to understand and monitor key operational risks and regulatory activities/concerns. CO&D control manager will partner with critical stakeholders including Operations, Cross-Regional control managers, Compliance, Technology, and Audit to ensure alignment to firmwide standards.
Responsibilities:
- Develop and maintain solid knowledge of Client Onboarding & Documentation Digital Document Services, Wholesale Know your customers (KYC) operations function and Control-related policies, procedures, and operating model as well as systems/platforms used to carry out these activities
- Perform internal control reviews to document processes and validate the effectiveness of key controls in the CO&D operational processes. Investigate and analyze emerging issues, perform root cause analysis, and work with Operations teams to define and execute plans to resolve the issue
- Advise on and continually reassess key risks and appropriateness of controls to ensure timely identification of significant risks and issues to support an evolving business & regulatory environment.
- Perform record level testing across different client types to ensure alignment to procedures and quality expectations
- Understand and become familiar with the various data sources, platforms and tools including the flow of data from source systems.
- Provide strategic, clear, and regular updates and key messages to management regarding significant matters, including potential issues requiring timely escalation and resolution.
- Perform root cause analysis and work with Operations and Controls teams to implement appropriate corrective action and best practices.
- 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
- Perform ongoing analysis of program related data (e.g., KRI/KPI) and develop ad-hoc reports as requested to support Controls-related programs and strategies
- Perform action plan validation testing and support Quality Assurance testing and CORE testing in support of control program objectives.
Required qualification, skills and capabilities:
- Demonstrate strong AML/KYC/Operations knowledge, including a solid understanding of the onboarding/KYC lifecycle, systems, and platforms
- Excellent time management, organizational, and planning skills along with ability to handle multiple assignments at the same time.
- Knowledge of Operational management concepts; ability to understand and interpret the impact of policy and procedural changes, as well as identify and convey potential problem areas.
- Experience in performing a Strategic end to end review and ability to assess risk and recommend control enhancement
- Experienced and comfortable working with databases, familiarity with database concepts and language.
- Ability to review documentation and provide executive summary overviews and trend analysis.
- A relationship builder with strong collaboration skills, who can establish trust and credibility across the organization.
- Bachelor's degree and/or relevant work experience required.
- Relevant experience in AML/KYC, Compliance, or Risk/Controls within the Investment/Corporate Banking business of a financial institution. Prior exam management, audit or consulting experience preferred.
- Experience with Digital Tools / Dashboards (e.g. Alteryx, Pega, Tableau), Proficiency in MS Office (Outlook/ Word/ Excel/ PowerPoint)
About us
JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
About the Team
The Corporate & Investment Bank is a global leader across investment banking, wholesale payments, markets and securities services. The world's most important corporations, governments and institutions entrust us with their business in more than 100 countries. We provide strategic advice, raise capital, manage risk and extend liquidity in markets around the world.
Control Management maintains a strong and consistent control environment through a joint accountability model that aligns managers with each function and region to mitigate operational risk. The team focuses on four areas: Control Design & Expertise, Risks & Controls Identification/Assessment, Issues & Control Deficiencies and Control Governance & Reporting.
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