Wealth Management- Client Operations Audits

**JOB DESCRIPTION**
The Audit and Exams Supervision and Coordination Officer position within the Business Sustainment Operations (BSO) Team forms part of the wider Client Operations Team. You will be part of an establishing market leading function to help manage the regulatory risks involved in onboarding clients with special attention to meeting the regulatory Anti-Money Laundering (AML) and Know Your Client (KYC) requirements.

**Responsibilities**:

- Provide expertise across a range of specialist areas including AML/KYC, Regulatory engagement, Audits and Exams and Issue management.
- Engage with key business stakeholders, Regional COOs, Legal, Compliance, Control Management, Business Management, Product & Platform and Technology on fulfilling responsibilities of the team.
- Proactive management of the testing cycle, validate test strategies, assess business risks and work with Regional Leads and teams to ensure adequate detective and preventative controls are in place to mitigate risk.
- Ownership of and proactive management of Action Plans including opening of plans, analysis of solutions, plan proposal, oversight of plan tasks, validation, manage chain of approvals and closure.
- Support a robust Audit management approach including proactive risk identification and information gathering and analysis.
- Preparation of substantive written responses to audit, regulatory requests and examination reports as it relates to the control environment, as necessary.

**Required qualifications, capabilities and skills**:

- Experience of regulatory, audit, assurance and financial crime management in complex financial enterprises
- Extensive experience in leading projects or initiatives with senior stakeholders and global stakeholders
- Proven track record of leading projects or initiatives with senior stakeholders and global stakeholders
- Exceptional interpersonal skills, with the ability to successfully engage a broad range of individuals across various business segments and key support functions, to achieve goals without direct control over resources

**Preferred qualifications, capabilities and skills**:

- Bachelor's Degree or higher in Law, Business or related studies

**ABOUT US**

J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as any mental health or physical disability needs.

**ABOUT THE TEAM**

J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.