JPMorgan Compliance - Monitoring/Testing Lead Vice President 

United States, Florida, Tampa 

686438034

As a Monitoring/Testing Lead - Vice President in the Global Financial Crimes Compliance (GFCC) andCompliance Conduct and Operational Risk (CCOR) Testing Team, you will be responsible for the execution of testing activities by the CCOR M&T team, partnering closely with CCOR Officers globally. You will report into the NAMR GFCC Testing Manager. which functions within the firm's Second Line of Defense and provides Compliance, conduct, and operational risk testing coverage aligned to the Firm’s lines of business and Corporate Functions.

CCOR Monitoring and Testing (M&T) activities represent an independent evaluation by the second line of defense of the first line of defense's compliance with laws and regulations, as well as internal policies, standards, and procedures. CCOR Testing is a risk-based, point-in-time evaluation of the design adequacy and execution effectiveness of controls and the output of processes. CCOR's testing program is executed using both automated and manual testing activities. CCOR Testing is based on targeted control evaluation of Compliance, conduct, and operational risk

Job responsibilities

• Research, plan and lead detailed reviews, in accordance with the CCOR M&T Program and within required testing timeframes;
• Prepare clear, concise and organized workpapers to document and support work performed, and conclusions reached;
• Acquire and analyze data from multiple sources and systems to reach and support conclusions;
• Identify potential, or actual weaknesses, in controls, processes, and procedures;
• Write test reports that effectively communicate testing objectives, processes, methodologies, and results to senior management, business control managers, and other relevant functions;
• Communicate status of ongoing reviews to relevant Business, CCOR Officers, and Technology partners while conducting detailed evaluations of i) internal controls, ii) policies, iii) procedures, and iv) processes that mitigate risks and reasonably ensure adherence to applicable regulations, legal obligations, and business requirements;
• Validate previously identified issues to confirm they were effectively remediated.
• Partner with M&T teams in in other regions to ensure global testing consistency and promote adherence to testing standards and requirements;
• Document information relating to testing reviews completed, issues identified, outstanding action plans and progress against plan;
• Produce clear, well thought through reporting/presentation decks for internal CCOR stakeholders and,
• Participate in special projects to enhance CCOR M&T processes and practices.

Required qualifications, capabilities, and skills

• Bachelor's degree required.
• Understanding of control frameworks and risk assessment analysis.
• Ability to produce clear, concise reporting related to the status of in progress and upcoming planned reviews.
• Experienced business writer with proven ability to provide clear and concise descriptions of work performed and conclusions reached.
• Detail-oriented, robust analytical, investigative and problem-solving skills.
• Flexible to changing business priorities and ability to multitask in a constantly changing environment.
• Ability to work both independently and collaboratively within a team environment.
• Ability to manage multiple assignments simultaneously with minimal supervision.
• Strong interpersonal, communication, and organizational skills.
• Ability to interact with all levels of personnel within the corporate framework.
• Ability to manage challenging issue socialization conversations with multiple stakeholders including senior audiences.

Preferred qualifications, capabilities, and skills

• Five or more years of relevant compliance/operational risk testing, regulatory, examination, or Internal Audit experience.
• Five or more years’ experience in Know Your Customer (KYC), Anti-money Laundering (AML), OFAC and Sanctions
• BSA/AML and OFAC experience conducting regulatory examinations, compliance/operational risk testing, or internal audits of complex financial institutions is preferred.
• Proficient in MS Teams, Microsoft Word, Excel and PowerPoint