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CCB Finance SOX/CCAP Office Internal Controls Finance Manager - Vice President

Job Description

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small businesses, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world’s most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at


Within CCB – Controllers, the Finance Control Team partners with the businesses and support groups of the organization to establish and maintain a strong Finance control environment. The group is responsible for oversight of the financial control agenda for Consumer & Community Banking Finance including, but not limited to, the following:

  • CCAR CFO Attestation Program (CCAP) – Management Assessment

  • Sarbanes-Oxley (SOX) Control Program

  • Coordination and documentation of the Quarterly Management Representation Letter and Control Affirmation process

  • Monthly / Quarterly submissions on behalf of CCB Finance for the Firm and CCB Control Committee meetings

  • Consumer & Community Banking Controllers Risk and Control Assessments

With such a broad project scope, the CCB Controllers – Finance Control Team provides an invaluable opportunity for exposure and interaction with people, including senior executives, across all areas of both Consumer & Community Banking Finance and Corporate Finance.

The CCB SOX/ CCAP Control Office is responsible for ensuring the execution of the Firmwide SOX and CCAP control framework across CCB line of businesses and functional areas as well as understanding and assessing Firmwide Finance control issues.  

The qualified candidate will support these objectives by providing subject matter expertise on control matters with a primary focus on Sarbanes-Oxley Section 404 compliance and Management Assessment of the CCAP program

Specific Role & Responsibilities


  • Establishing and managing CCAP program deliverables, timelines and milestones

  • Providing program updates to management and key governance forums

  • Manage the governance, monitoring, validation, and closure of SOX/ CCAP Issues and related Action Plans

  • Manage the planning, execution, and quality of testing for assigned processes/controls supporting the SOX/CCAP program for CCB

  • Developing recommendations to strengthen internal controls and improve operational efficiency

  • Performing ongoing analysis of risk trends through the development and implementation of results based metrics

  • Establishing and maintaining strong working relationships across CCB businesses, Corporate Finance and other control groups (i.e., risk management, compliance, legal, etc.)

  • Staying current with evolving industry and regulatory changes, and analyze impact to business objectives, processes, and compliance

  • Ensuring internal control reviews are planned, organized and managed appropriately;

  • Performing detailed risk assessments across processes supporting SOX/ CCAP programs

  • Working closely with regional and / or global business and information technology colleagues across CCB as issues emerge and reporting them timely to management and other stakeholders;

  • Supervise / review work of staff that will be responsible for the following:

    • Documenting the narratives and flows related to key processes and controls within CCB

    • Assessing design and operating effectiveness of control supporting SOX/CCAP programs

    • Risk Assessment review by 10K financial statement line item for both quantitative and qualitative risk factors

    • Continually assessing and enhancing existing processes to support ongoing evolution of the framework and related standards 

    • Partnering with LOB, finance, risk and/or technology stakeholders to support consistent implementation of the CCAP framework

  • Assist in SOX / CCAP management testing on a periodic basis and maintaining adequate work papers and evidence related to the testing. Create test plans and test procedures based on the control objective and risk of each control

  • Maintain integrity of testing documentation and provide when requested for various reviews for e.g. SCO QA, Internal Audit Review, and External Audit Requests



  • Bachelor's degree in Finance or Accounting required

  • 6 to 7 years + experience in Auditing, Accounting, Internal Control and/or Finance

  • Big Four public accounting experience and /or  CPA/CIA certification preferred, internal audit or financial reporting experience required, working  knowledge of SOX 302 and 404 and CCAR submissions required

  • Strong understanding of internal controls, particularly internal controls over Financial Reporting

  • A problem solver with proven ability to evaluate  processes, controls and issues to determine the inherent risks

  • 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

  • Ability to maintain high ethical standards with a drive to achieve the right answer in difficult and/or ever changing situations

  • A self starter, with a drive for improvement and efficiency, thinks out of the box and is creative

  • Attention to detail and ability to work independently

  • Ability to work in an evolving environment, manage multiple projects and support a growing business


Req #: 180043551
Location: Wilmington, DE US
Job Category: Accounting/Finance/Audit/Risk
Employment Type: Full Time
Potential Referral Amount: 5000 US Dollar (USD)

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