JPMorgan CIB Control Management - Trading Services Fiduciary Oversight Associate 

United Kingdom, England, London 

45523438

Its main objective as a team is to provide support, oversight, and control to the business to help it meet its fiduciary responsibilities.

As a member of the TSFO team you will be responsible for maintaining a strong and consistent control environment through a joint accountability model with the business.

Expected Daily Responsibilities:

• Perform/co-ordinate pre-acceptance and post acceptance/annual account reviews to comply with 12 CFR 9.6.
• Support global investment desk activity and oversee implementation of compliance rules in asset management system for client investment guidelines.
• Manage the oversight of various trading activities, to demonstrate that regulatory controls for key regulations such as 12 CFR 9, ERISA, CASS, MIFID II and Best Execution are adhered to.
• Reinforce the firm-wide control framework to ensure consistency and transparency.
• In partnership with stakeholders, identify significant control gaps and weaknesses and determine root cause of control breaks (as required).
• Ensure that controls are properly designed, operating effectively, and drive a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols.
• Identify issues and ensure prompt escalation, remediation and action plan management in line with core standards
• Cultivate effective working relationships and promote a strong controls environment with appropriate oversight and clearly defined responsibilities

Qualifications and Experience:

• Experience in financial services industry with background in controls, audit, quality assurance, operational risk management, or compliance preferred; or equivalent subject matter expertise in a relevant business related function/operation - preferably Securities Services/Agency Securities Finance
• Knowledge of Fiduciary obligations desirable but not essential.
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) preferred.