Operational Control Manager

5 months ago

Hong Kong, Hong Kong SAR China JPMorgan Chase & Co. Full time

The Client Onboarding and Documentation (CO&D) program is a cross-business program focused on building a global platform to streamline the Client On-boarding and Documentation process. This transformation program's goal is to implement a standardized and consistent Client on-boarding approach across . Morgan Chase Commercial and Investment Bank in order to deliver a best-in-class client experience. It includes specific groups such as WKO (Wholesale KYC Operations) and DDS (Digital Document Services). CO&D is supported by Operations Control Management (OCM) team whose role is to develop and manage a Control Program in each region that identifies and monitors significant risks and ensures compliance with operational policies, control procedures and legal/regulatory requirements.

As a CO&D Control Manager within OCM team, you will be responsible for managing the controls agenda in the APAC region whilst supporting global mandate including identifying and monitoring significant risks, ensuring compliance with operational policies, control procedures, and legal/regulatory requirements, and managing several engagements (. Regulatory Exams, Regulatory Reporting, Internal/External Audits and Compliance Monitoring and Testing activities), special projects and risk assessments. You will partner with critical stakeholders including Operations, Cross-Regional control managers, Compliance, Technology, and Audit to ensure alignment to firmwide standards. 

Job responsibilities:

Manage a caseload of Engagements across CO&D remit including regulatory exams, internal audits, external audits, compliance tests and monitoring activities. Review requests for information from examiners, auditors, and testers, and in a timely and effective manner, prepare written responses, or coordinate with subject matter experts to collect, review, and submit responses. Manage the entire lifecycle of Engagements (planning, fieldwork, and reporting), where necessary. Develop and maintain strong knowledge of WKO/DDS Ops policies, procedures, and operating model as well as systems/platforms used to carry out these activities Investigate and analyze emerging issues, perform root cause analysis, and work with Operations teams to define and execute plans to resolve the issue Perform internal control reviews and record level testing to review processes and validate the effectiveness of key controls in the CO&D operational processes Advise on and continually reassess key risks and appropriateness of controls to ensure timely identification of significant risks and issues to support an evolving business & regulatory environment. Develop a cohesive and effective partnership with Senior Business leaders, LOB Compliance teams, local and regional onboarding and banking teams, Oversight and Controls, Legal, Internal Audit and Operations. Understand and become familiar with the various data sources, platforms and tools including the flow of data from source systems. Provide strategic, clear, and regular updates and key messages to management regarding significant matters, including potential issues requiring timely escalation and resolution. Ensure all issues and concerns highlighted during the Engagement, including those not included on the final report, are reviewed, and addressed. Also partner with applicable Action Plan owners and Control Managers to develop and complete test steps to address root cause of the issue.

Required qualifications, capabilities, and skills:

Bachelor’s degree and minimum 10 years of relevant work experience required in AML/KYC, Compliance, or Risk/Controls within the Investment/Corporate Banking business of a financial institution Strong understanding of AML/KYC/Operations knowledge, including familiarity with onboarding/KYC lifecycle, systems, and platforms Knowledge of Operational risk management concepts; ability to understand and interpret the impact of policy and procedural changes, as well as identify and convey potential problem areas. Ability to work in a fast-paced environment with fluid regulatory and business requirements  Strong and effective communication and interpersonal skills to develop relationships throughout the regions and at multiple levels of the organization. Excellent time management, organizational, and planning skills along with ability to handle multiple assignments at the same time. Action-oriented with ability to deliver under tight deadlines in an fast-paced and dynamic environment. Experience in performing a Strategic end to end review and ability to assess risk and recommend control enhancement Ability to review documentation and provide executive summary overviews and trend analysis. Strong presentation, communication and investigative skills. A relationship builder with strong collaboration skills, who can establish trust and credibility across the organization.

Preferred qualifications, capabilities, and skills:

Experience with Digital Tools / Dashboards (. Alteryx, Pega, Tableau), Proficiency in MS Office (Outlook/ Word/ Excel/ PowerPoint) Prior exam management, audit or consulting experience preferred

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