Compliance and Operations Risk Test Senior Lead - Vice President

Job Description

Bring your expertise to JPMorgan Chase.  As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers, and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Trade Surveillance Vice President on the Specialized Testing Team within the Compliance, Conduct and Operational Risk (CCOR) organization, you will be responsible for the execution of related testing activities, ensuring  proper risk mitigation is in place for market abuse, manipulation, insider trading, and other forms of misconduct.   

You will partner closely with CCOR Officers and business stakeholders globally to ensure activities are completed in a timely and thorough manner. Additionally, you will report into the North America CCOR Specialized Testing Manager. 

CCOR Testing is a risk-based, point-in-time evaluation of the design adequacy and execution effectiveness of controls and the output of business processes.  Leveraging both manual and automated testing methods, you will complete activities that represent an independent assessment of the first line of defense's compliance with laws and regulations, as well as internal policies, standards, and procedures.

Job Responsibilities

• Research, plan, and lead detailed reviews, in accordance with the CCOR Testing Program and within required testing timeframes;
• Prepare clear, concise, and organized work papers to document and support work performed, and conclusions reached;
• Acquire and analyze data from multiple sources and systems to reach and support conclusions;
• Identify potential, or actual weaknesses, in controls, processes, and procedures;
• Write test reports that effectively communicate testing objectives, processes, methodologies, and results to senior management, business control managers, and other relevant functions;
• Communicate status of ongoing reviews to relevant Business, CCOR Officers, and Technology partners while conducting detailed evaluations of i) internal controls, ii) policies, iii) procedures, and iv) processes that mitigate risks and reasonably ensure adherence to applicable regulations, legal obligations, and business requirements;
• Validate previously identified issues to confirm they were effectively remediated.
• Partner with Testing teams in in other regions to ensure global testing consistency and promote adherence to testing standards and requirements;
• Document information relating to testing reviews completed, issues identified, outstanding action plans and progress against plan;
• Produce clear, well thought through reporting/presentation decks for internal CCOR stakeholders and,
• Participate in special projects to enhance CCOR Testing processes and practices.

Required qualifications, capabilities and skills

• 7+ years of experience in leading and managing complex testing initiatives within a financial institution or similar industry.
• Proven track record in developing and implementing comprehensive testing strategies that align with regulatory requirements and firm policies.
• Understanding of control frameworks plus risk assessment analysis.
• Bachelor's degree required.
• Experienced business writer with proven ability to provide clear and concise descriptions of work performed and conclusions reached.
• Detail-oriented, robust analytical, investigative and problem-solving skills.
• Flexible to changing business priorities and ability to multitask in a constantly changing environment.
• Ability to work both independently and collaboratively within a team environment.
• Ability to manage multiple assignments simultaneously with minimal supervision.
• Strong interpersonal, communication, and organizational skills.
• Ability to interact with all levels of personnel within the corporate framework.

Preferred qualifications, capabilities, and skills

• 3+ years of experience in a Trade or Trade Surveillance role.

About Us

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

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. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans

About the Team

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.