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AML Transaction Monitoring Audit Manager – Vice President

Job Description

JPMorgan Chase (NYSE: JPM) is one of the oldest financial institutions in the United States. With a history dating back over 200 years, here's where we stand today:
  • We are a leading global financial services firm with assets of $2.3 trillion.
  • We operate in more than 60 countries.
  • We have more than 240,000 employees.
  • We serve millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients.
  • We are a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management and private equity.
  • Our stock is a component of the Dow Jones Industrial Average.
Audit Department & Team Description

This position will be accountable for the oversight of program of audit coverage for AML Transaction Monitoring and other BSA, AML, OFAC related audit programs.


The AML Transaction Monitoring Audit VP will be a key member of the team responsible for the execution of centralized AML Transaction Monitoring audits and related regulatory validation and for providing AML Transaction Monitoring and/or AML related technology subject matter expertise/oversight for AML audits conducted in lines of business. 


The position requires knowledge of BSA/AML in banking and background in technology and/or business controls compliance or audit best practices. Prior technical knowledge of AML Transaction Monitoring will be a preference.


Using past experience as a bank examiner, audit/compliance professional or audit/compliance consultant, the candidate will be expected to:  plan, execute, and supervise AML Transaction Monitoring and other  BSA/AML and OFAC audits; direct global audit coverage of AML Transaction Monitoring and other BSA/AML and OFAC audits; establish, implement, and monitor firm-wide risk assessment and testing programs for BSA/AML and OFAC; interact with bank examiners; and establish and 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.

  • Execute and/or provide Audits within the context of the firm's global independent testing mandate, including robust tracking of audits, audit components, and issues
  • Design analytics test to support audit activities, including Audits, Continuous Monitoring, and Risk Assessments
  • Develop and improve current analytics service models in support of audit activities
  • Actively participate in the Audit Data Analytics forum, and contribute to the conversation.
  • Partner with peer Data Analytic teams in sharing ideas to add value to the audit department and firm.
  • Develop innovative, re-usable tools that can be leveraged by the audit teams.
  • Perform data analysis as needed using various techniques (statistical analysis, predictive analytics, forensics review) to reach and support conclusions.
  • Comply with JPMorgan Chase technology and data standards and policies.
  • Stay abreast of new tools and technologies to assist the team in creating the most efficient and effective data strategies.
  • Develop requirements, design, code, test, and analyze results using tools such as Microsoft Access, Business Objects, SQL, TOAD, and ACL.
  • Recommend solutions as part of planning to help execute audit tests by providing the ability to automate full-population testing, sampling, reproducing processes, and identifying exception testing.
  • Develop a team focused on AML Risk Assessment , AML control audits, and independent validation of remediation activities
  • Identify and implement best practices; drive change within the internal audit and the firm 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
  • Represent Audit on the firm'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 Global AML Management team
  • Partner with Training team to identify and implement robust training on AML within Audit
  • Partner with Model review teams on monitoring threshold testing strategies, and execution as necessary
  • 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

  • Past experience as a bank examiner, auditor, consultant or compliance professional  with a deep understanding of BSA, AML, and OFAC (8+ years)
  • Experience as a manager with an established track record of overseeing and executing both short term and long range objectives
  • 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 spaces
  • 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 and/or Audit Certification a plus

Req #: 150108209
Location: New York, NY US
Job Category: Accounting/Finance/Audit/Risk
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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