JPMorgan Wealth Management Client Onboarding Team Lead 

United States, Arizona, Tempe 

889594237

Wealth Management (WM) is part of the Asset & Wealth Management (AWM) business segment. It has offered for over 160 years customized solutions and client service of the highest quality to solve the complex needs of wealthy individuals and their families around the world. With assets under management of $1.25 trillion, it is one of the largest asset and wealth managers in the world.

Job responsibilities

• Act as a subject matter expert on AML/KYC, Account Opening and Maintenance functions.
• Build relationships and work closely with key business stakeholders, Regional Market Managers, Legal, Compliance, Business Management, Product & Platform and Technology on fulfilling responsibilities of the Client Onboarding & Account Maintenance Teams.
• Ownership and proactive management of policies, processes and procedures; Develop new or amend existing policies, guidelines, and desktop procedures and influence global consistency as they are implemented to meet new and enhanced standards; identify gaps and liaise as necessary with other business units and stakeholders to escalate issues for resolution.
• Perform root cause analysis and work with appropriate groups to recommend controls and solutions when researching risk events, operational processes, and new regulatory initiatives.
• Manage the adherence and execution of quality metrics and results to identify recurring control issues and track trends.
• Proactively assess areas for process improvement and make/propose changes as needed.
• Facilitate meetings, prepare documentation, and meeting minutes, as necessary.
• Accomplishes staff results by communicating job expectations; planning, monitoring, and appraising job results; continuous coaching, training, counseling, and disciplining employees; developing, coordinating, and enforcing systems, policies, procedures, and productivity standards.

Required qualifications, capabilities, and skills

• Bachelor's degree or higher in Accounting, Finance, or Business preferred.
• 5-7+ years of experience within a financial services, operations, audit/compliance field preferred.
• Demonstrated track record of effective management of a team of 10+ employees.
• Series 99 required (Or must obtain within 120 days of hire).
• Series 7 & Series 24 preferred.
• General knowledge of brokerage industry regulatory requirements. Ensure compliance with all department and regulatory (AML, SEC, DOL, FINRA, etc.) requirements.
• Must possess excellent analytical, strategic and critical thinking skills, in addition to strong interpersonal and communication skills.
• Continuous improvement and change management mindset, questioning conventional ways of managing the business and driving change to improve processes.
• Flexible and able to work in a high-pressure, fast-paced environment to effectively meet deadlines; ability to recognize the need to escalate issues for rapid resolution in order to exceed client expectations and production goals.
• Strong knowledge of AML/KYC requirements preferred.
• Strong knowledge of risk and control techniques/procedures.
• Client Onboarding and/or documentation analysis experience preferred.
• In-depth knowledge of risk management techniques from both a detection and mitigation perspective.
• Ability to work effectively with a strong sense of urgency in a team environment and ability to adapt to a rapidly changing business and technological environment. Ability to work late and/or weekends to meet production SLAs.
• Ability to successfully navigate a complex infrastructure that involves numerous groups and individuals
• Demonstrated experience as a key contributing member of a high performing organization with a positive “can do” attitude