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Asset Management Compliance (AML & KYC) - 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 www.jpmorganchase.com

 

The Asset Management (AM) Compliance (AML & KYC) Auditor position is based in New York.  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 Anti Money Laundering (AML) requirements such as the Banking Secrecy Act (BSA) and Office of Foreign Assets Control (OFAC) requirements.   The AML & KYC manager will be a key member of the team responsible for the execution of key centralized AML audits and for providing subject matter expertise and oversight for AML audits conducted in AM which will include establishing, implementing, and monitoring firm-wide risk assessment and testing programs for BSA/AML and OFAC. 

 

The individual must be an experienced professional who possesses strong auditing and/or regulatory examination skills, and a good knowledge of the key regulations and current regulatory developments relevant to BSA and OFAC.  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 AML 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 AM's AML related 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 AML stakeholders in Compliance Practices, QA and Testing teams to identify emerging issues and distill thematic or systemic control issues affecting the global organization.
  • Develop and maintain relationships with the AM AML 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 5+ years experience as a bank examiner, auditor, consultant or compliance professional  with a deep understanding of BSA, AML, and OFAC (3+ years)
  • 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, and willing to take risk 
  • Works well individually and in teams, shares information, supports colleagues and encourages participation
  • CAMS Certification a plus

***Any candidate not meeting ALL the qualifications can be consider for an Associate, Auditor role

 

Req #: 160047391
Location: New York, NY US
Job Category: Accounting/Finance/Audit/Risk
Employment Type: Full Time
Potential Referral Amount: 5000 US Dollar (USD)

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