Job Description

Background:

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.

The Client Onboarding and Documentation (CO&D) program is a cross-business program focused on building a global platform to streamline the Client On-boarding and Documentation process. This transformation program's goal is to implement a standardized and consistent Client on-boarding approach across J.P. Morgan Chase Corporate & Investment Bank (CIB) in order to deliver a best in class client experience. It comprises of 3 specific groups viz. WKO (Wholesale KYC Operations), DMO (Document Management Operations) and Tax Operations.

CO&D is supported by Operations Control Management (OCM) team whose role is to develop and manage a Control Program in each region that identifies and monitors significant risks and ensures compliance with operational policies, control procedures and legal/regulatory requirements.

:

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) and special projects. The controls agenda support the end-to-end CO&D organization across Tax Operations, Document Management Operation and Wholesale KYC 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:

• Effectively manage a caseload of Engagements across CO&D remit including regulatory examinations, internal audits, external audits, compliance tests and monitoring activities.
• Review requests for information from examiners, auditors and testers, and in a timely and effective manner, prepare written responses, or coordinate with subject matter experts to collect, review and submit responses.
• Manage the entire lifecycle of Engagements (planning, fieldwork and reporting).
• Develop and maintain strong knowledge of WKO/DMO/Tax Ops policies, procedures, and operating model as well as systems/platforms used to carry out these activities
• Investigate and analyze emerging issues, perform root cause analysis, and work with Operations teams to define and execute plans to resolve the issue
• Perform internal control reviews to document processes and validate the effectiveness of key controls in the CO&D operational processes
• Develop a cohesive and effective partnership with Senior Business leaders, LOB Compliance teams, local and regional onboarding and banking teams, Oversight and Controls, Legal, Internal Audit and Operations.
• 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.
• Ensure all issues and concerns highlighted during the Engagement, including those not included on the final report, are reviewed and addressed. Also partner with applicable Action Plan owners and Control Managers to develop and complete test steps to address root cause of the issue.
• Influence and drive change in functional areas outside of the individual's direct control.
• Synthesize large amount of information efficiently and effectively into clear and concise messages to be relayed to key stakeholders
• Ability to deliver under tight deadlines in an aggressive and dynamic environment

Knowledge/Skills:

• Ability to work in a fast-paced environment with fluid regulatory and business requirements.
• 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. Solid judgment along with the ability to evaluate complex KYC, DMO, Tax and/or data issues.
• 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
• Strong presentation, communication and investigative skills.
• Action-oriented and effective listening skills.
• 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.

Qualifications:

• Minimum 10 years of relevant experience in either KYC / AML / Risk / Controls within the banking industry is required
• Prior experience in exam management/ audit/ consulting is advantageous
• Strong and effective communication and interpersonal skills to develop relationships throughout the regions and at multiple levels of the organization.
• Demonstrate AML/KYC and data knowledge.
• Prior exam management, audit or consulting experience preferred.
• Self-starter and results-oriented individual who can deliver high-quality results under tight deadlines.
• Proficiency with MS Office (Outlook/Word/Excel/PowerPoint).
• Strong communication (verbal and written) and presentation skills
• Bachelor's degree or equivalent
• We're a global company whose primary business language is English and so fluency in spoken and written English is required

J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives. 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. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.