JPMorgan Control Management - Vice President 

India, Karnataka, Bengaluru 

179481589

Client Onboarding & Documentation (CO&D) Exam Management is responsible for managing several engagements (e.g. Regulatory Exams, Regulatory Reporting, Internal/External Audits and Compliance Monitoring and Testing activities) and special projects globally for Wholesale KYC Operations (WKO), Digital Document Services Operations (DDS), and the firm wide KYC Quality Assurance (QA) Program. This position manages a caseload of KYC, DDS Engagements as well as regulatory reporting activities in adherence to protocols established for pre-exam preparation, on-site facilitation, post exam processes and regulatory requests. Key responsibilities include Engagement coordination, requesting and reviewing materials/data procurement, management reporting, request intake and issue identification. This position will also utilize subject matter expertise to develop written responses to Engagement requests.

Job Responsibilities:

• Effectively manage a caseload of Engagements (primarily WKO with opportunities in DD, and KYC QA) including regulatory examinations, internal audits, external audits and Compliance tests and monitoring activities.
• 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.
• 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. This includes adequately explaining why there is no issue and communicating to applicable stakeholders of any potential issues.
• Manage the entire lifecycle of Engagements (planning, fieldwork and reporting).
• 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.
• Perform ad-hoc project work as identified such as SMARTE (CO&D Exam Management Application) development/enhancement and other MIS data requests.
• Synthesize large amount of information efficiently and effectively into clear and concise messages to be relayed to key stakeholders
• Work to tight deadlines and deliver in a very aggressive schedule.
• Ability to perform process deep dives / control reviews. Summarise findings and present to senior management and operations for further action
• Program manage implementation of action plans arising from issues. Engage with various stakeholders across operations to come up with right solutions that are sustainable and addresses the risk and ensure implementation within the timelines

Required qualification, skills and capabilities:

• Ability to work in a fast-paced environment with fluid regulatory and business requirements.
• Strong presentation, communication and investigative skills.
• 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, DDS 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. Eye for details.
• Experienced and comfortable working with databases, familiarity with database concepts and language. Ability to work with large data sets.
• Ability to review documentation and provide executive summary overviews and trend analysis.
• 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.
• Bachelor’s degree and/or relevant work experience required.
• Proficiency with MS Office (Outlook/Word/Excel/PowerPoint).
• Minimum of 5 years’ experience in Compliance, Risk/Controls or Operations within a Corporate Banking business of a financial institution