Job Description
You are a strategic thinker passionate about driving solutions in Client Onboarding & Documentation control manager. You have found the right team.
As a Client Onboarding & Documentation Control Manager within the APAC region, you will manage the controls agenda and support a global mandate. Your role will involve identifying and monitoring significant risks, ensuring compliance with operational policies, control procedures, and legal/regulatory requirements. You will manage various engagements, special projects, and risk assessments, playing a key role in the CO&D organization across WKO and DDS Operations. You will provide management with crucial information to understand and monitor key operational risks and regulatory activities. Collaborating with critical stakeholders including Operations, Cross-Regional control managers, Compliance, Technology, and Audit, you will ensure alignment to firmwide standards. This role offers the opportunity to significantly impact our operations and contribute to our ongoing success.
Job Responsibilities:
- Effectively manage a caseload of Engagements across CO&D remit including regulatory exams, 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), where necessary.
- Develop and maintain strong knowledge of WKO/DDS 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 manage action plans end to end until issue is resolved.
- Perform internal control reviews to document processes and validate the effectiveness of key controls in the CO&D operational processes
- 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
- 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.
- 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.
- Synthesize large amount of information efficiently and effectively into clear and concise messages to be relayed to key stakeholders.
Required qualifications, capabilities and 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.
- 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.
- Demonstrate AML/KYC and data knowledge.
- 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.
- Experience with Digital Tools / Dashboards (e.g. Alteryx, Pega, Tableau), Proficiency in MS Office (Outlook/ Word/ Excel/ PowerPoint)
About Us
JPMorganChase, 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
J.P. Morgan's Commercial & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.
