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Asset Management Compliance - Senior Auditor - AVP - New York, NY

Job Description


JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, 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


The JPMorgan Chase Audit Department is accountable to the Audit Committee of the Board of Directors, the Office of the Chairman, senior management and our global and local regulators. The Audit Department is responsible for assessing the adequacy of the control environment across the firm’s line of business. This is achieved through a program of audit coverage which is performed and managed by a team of business and integrated technology specialists.


The Asset Management (AM) Compliance audit team is responsible for assessing the adequacy of the control environments across the AM Compliance control functions and works closely with the AM Business Audit teams to ensure appropriate coverage of key topics.


The Asset Management line of business serves institutional, ultra high net worth, high net worth and retail clients through its Global Investment Management and Global Wealth Management businesses. With client assets of $2.4 trillion and assets under management of $1.8 trillion, JPMC is one of the largest asset and wealth managers in the world. (Assets as of June 30, 2015).


The AM AVP auditor, based in New York, will report to the AM Compliance Audit Manager who is responsible for audit coverage over the AM Compliance and Legal control functions. This individual will be responsible for working with a team of professionals to assess the adequacy and effectiveness of controls designed to ensure the AM global businesses comply with relevant regulations.


The applicant must be an experienced professional who possesses strong auditing and/or regulatory examination skills, and a good knowledge of consumer finance products and relevant regulations. The individual is also expected to interact and to maintain relationships with senior internal stakeholders. The ability to communicate effectively verbally and in writing to support the maintenance of the program, as well as, strategic direction and goals of the firm is critical.


As a member of AM Compliance Audit Team you will be responsible to:

  • Participate in the execution of AM Compliance Audits within the context of the firm's global independent testing mandate, including robust tracking of audits, audit components, and issues.
  • Identify and implement best practices; drive change within Audit and AM to strengthen to the control framework.
  • Partner with other groups within Audit to ensure the delivery of a seamless program of audit coverage across the firm.
  • Participate on related AM committees and forums.
  • Follow-up with accountable business and compliance leaders and their teams to ensure control issues are effectively resolved.
  • Partner with the key AM Compliance stakeholders to identify emerging issues and distill thematic or systemic control issues affecting the global organization.
  • Develop and maintain relationships with the AM Compliance Management team.
  • Stay up to date with evolving regulatory and market events impacting the firm's risk organization.
  • Establish and maintain a business climate and culture that encourages integrity, respect, excellence and innovation.
  • At least 4 years past experience as a bank examiner, auditor, consultant or compliance professional with a deep understanding of AM Compliance
  • Bachelor degree required
  • Strong control orientation and analytical skills
  • Excellent communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
  • Collaboration with fellow managers in both the Audit and Compliance areas
  • Ability to build rapport with internal stakeholders and examiners
  • Experience establishing and meeting goals, tracking and driving optimization opportunities, and presenting progress of the same
  • Enthusiastic, self motivated, effective under pressure
  • Works well individually and in teams, shares information, supports colleagues and encourages participation

**Anyone not meeting all these qualifications can be considered for an Associate, Auditor position

Req #: 160017265
Location: New York, NY US
Job Category: Accounting/Finance/Audit/Risk
Employment Type: Full Time
Potential Referral Amount: 3000 US Dollar (USD)

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