J.P. Morgan Asset & Wealth Management (AWM) delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.
As an Asset and Wealth Management - SOX CCAP - Controls within J.P. Morgan Asset & Wealth Management, you will be tasked with providing support for Asset and Wealth Management Finance Sarbanes Oxley (SOX) and Comprehensive Capital Analysis and Review CFO Attestation Programs (CCAP). Your role will involve conducting design and operating effectiveness testing of business and IT SOX/ CCAP controls, aiding in the validation and closure of SOX/ CCAP Issues and associated Action Plans, and formulating recommendations to fortify internal controls and enhance operational efficiency. This position offers the chance to stay abreast with emerging technology, industry and regulatory changes, and assess their impact on business objectives, processes, and compliance.
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Control Management (CM) maintains a strong and consistent control environment across the firm. With Control Managers appointed for each Line of Business, Function and Region, there is a comprehensive coverage and joint accountability model with the business executive that promotes early operational risk identification and assessment, effective design and evaluation of controls and sustainable solutions to mitigate operational risk.
Job Responsibilities:
- Providing support for AWM Finance Sarbanes Oxley (SOX) and CCAR CFO Attestation Programs (CCAP) including an understanding of business and IT risk and controls, control breaks and resolutions, to reduce financial loss, regulatory exposure, and reputational risk
- Performing design and operating effectiveness testing of business and IT SOX/ CCAP controls. Including but not limited to:
- Creating a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols
- Assisting in validation and closure of SOX/ CCAP Issues and related Action Plans
- Assisting in developing recommendations to strengthen internal controls and improve operational efficiency
- Being up-to-date with evolving technology, industry and regulatory changes, and analyze impact to business objectives, processes, and compliance
- Maintaining integrity of testing documentation and provide when requested for various reviews for e.g. Corp QA, Internal Audit Review, and External Audit Requests
Required qualifications, capabilities and skills
- Bachelor's degree in Finance or Accounting required
- Understanding of control testing methodology
- Proficient knowledge of control and risk management concepts with the ability to design, create and evaluate business and IT risks and controls in conjunction with business partners
- Strong Microsoft Office skillset
- Proven ability to communicate effectively (both oral and written), with high degree of comfort communicating with senior management, internal and external audit as well as peer groups
- Strong interpersonal skills - verbal communications, written communications, with the ability to collaborate and influence
- A self-starter, with a drive for improvement and efficiency, attention to detail and ability to work independently in an evolving environment
Preferred qualifications, capabilities and skills
- Big Four public accounting experience and /or CA / CISA / CPA/CIA certification preferred
- 2+ years of financial service experience in controls, audit, quality assurance, risk management, or compliance preferred
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 Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.
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.