Asset & Wealth Management – Regulatory Control Manager – VP
Job Type: Full time
You have a curious mind and experience in financial services industry or background in Process Improvement or Risk Management. You found the right team.
You will be part of a fast-paced, future focused, collaborative team. On any day of the week you might provide guidance on the operational risks involved in a recent JPMC merger, acquisition, or new product development, design an advanced technology solution built with machine learning to drive process improvement, or proactively identify and assess high profile issues of utmost importance to C-suite level committees.
The AWM Regulatory Controls Team (ARC) focuses on proactively identifying Regulatory exams that impact the Asset and Wealth Management business (AWM), understanding the scope of exam, assessing impact and exposure, proactively identifying any potential soft spots and increasing AWM’s ability to implement preventative controls, and provide support during the exam lifecycle.
You are empowered to add value and make an impact from day one. While we remain prepared and informed to drive innovation each day, our people-first culture underpins everything that we do. Here, you’ll have the opportunity to grow your career and master new skills for the future.
- Remain laser focused on the regulatory environment in EMEA and Asia and provide detailed regulatory exam landscape to AWM stakeholders
- Provide comprehensive and consistent reporting of exams, issues, priorities, and commitments to increase transparency and calibrate and engage with AWM Sub-LOBs, other LOBs, and Functions in horizontal/firmwide exams to drive consistency
- Serve as the Subject Matter Expert and be the Primary Point of Contact on regulatory matters and emerging regulatory issues impacting AWM International
- Collaborate with senior business management and partners across AWM functional areas (e.g., Legal, Finance, Compliance, Risk, Regulatory Strategy, Regulatory Exam Managers (REM), Control Management) and geographies to share information and create synergies
- Implement frameworks across exam engagement model, regulatory commitments, management response, issue management and lessons learned
- Enforce best exam management practices and increase transparency and accountability across AWM: e.g. preparing key stakeholders for designated regulatory exams, including performing deep dives, where applicable, reviewing files as part of a Regulatory submission for adequacy and completeness, and providing guidance related to exam management responses
- Provide operational risk guidance and analysis for new regulatory issues, engage with relevant Control Managers to review issue/action plan formulation as part of emerging issues from exam, as well as draft Regulatory Issues and Actions Plans owned by AWM Operations
Required qualifications, capabilities, and skills
- Bachelor’s Degree or equivalent preferred
- Relevant experience; financial services industry or background in Process Improvement or Risk Management preferred
- Proficiency working in Microsoft Office Suite (Word, Excel, PowerPoint)
- Strong problem solving and analytical skills. Ability to understand the business / knowledge of regulation surrounding business.
- A curious mind that prefers to go deep to understand details, understanding and anticipating business partner needs and proactively delivering solutions
- A positive attitude and team spirit with exceptional interpersonal and collaboration skills
- Ability to successfully navigate a complex infrastructure that involves numerous groups and individuals