Asset and Wealth Management - Control Management - Retail Non-Deposit Investment Product (RNDIP) Sup
Financial Services - Banking/Investment/Finance
3251 S Western Blvd
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About JP Morgan Chase Wealth Management (CWM) and Intelligent Digital Solutions (IDS) Management Risk and Control
The CWM & IDS Risk and Control team's mission is to enable the proactive identification and timely remediation of risk by providing a framework, infrastructure and support system holistically encompassing the breadth and depth of risk across Asset & Wealth Management. We are responsible for the overall risk and control framework for CWM & IDS that incudes governance, regulatory response, risk mitigation, risk transformation and business intelligence. We also partner with Operations, Technology and Business leadership to take the best of what we do, within and across lines of business, and drive deliberate cross-pollination, lessons learned, and drive control initiatives all to help drive risk reduction.
Retail Non- Deposit Investment Product (RNDIP) Committee Support- Control Manager, Senior Associate Role will provide support to the RNDIP committee Secretary, be the primary contact for business partners, gather materials, administrative logistics, maintain meeting minutes, track follow-ups, conduct annual compliance activities with program requirements, and be the RNDIP subject matter expert. The role provides high exposure to executive leadership and cross firm lines of business within the Chase Wealth Management, Wealth Management and Consumer Banking space. Additionally, this role may be called upon to provide support to the Wealth Management U.S. Control Committee to assist in the collection and assembly of materials.
Retail Non- Deposit Investment Product (RNDIP) Committee operates through the Consumer Banking sub-line of business (JPMorgan Chase Bank, N.A.) of its Consumer & Community Banking line of business, a Retail Non-Deposit Investment Product (RNDIP) sales Program, through which it permits bank affiliates (JPMorgan Securities, LLC (JPMS) and Chase Insurance Agency (CIA)) to provide investment products and services to Bank customers in designated areas of the Bank's branches. The Program is designed to comply with the requirements of the Interagency Statement on Retail Sales of Non-deposit Investment Products, which the OCC has explained and expanded upon in its January 2015 Comptroller's Handbook on Retail Non-deposit Investment Products.
The Retail Non-Deposit Investment Products Oversight Committee (\"Committee\") is a committee of the Bank and oversees the Bank's RNDIP Program with various committees escalating into RNDIP.
Control Management (CM) maintains a strong and consistent control environment across the firm. With Control Managers appointed for each Line of Business, Function and Region, there is a comprehensive coverage and joint accountability model with the business executive that promotes early operational risk identification and assessment, effective design and evaluation of controls and sustainable solutions to mitigate operational risk.
Control Management focuses on four areas:
1) Control design and expertise
2) Risks and controls identification/assessment
3) Control breaks and resolution
4) Control governance & reporting
+ In partnership with stakeholders, gather reporting topics within tight timeframes, proof and consolidate materials, coordinate and participate in executive level pre-sessions
+ Ensure meeting minutes and follow-up are socialized with stakeholders, legal, compliance, and committee core members
+ Perform ongoing analysis of RNDIP program expectations, reporting topics, and audit readiness
+ Assist with development of Control Operational Risk Evaluation (CORE) mapping and documentations through participation in end-to-end process walkthroughs and deep dives
+ Drive continuous process improvements and efficiencies
+ On-going collaboration with legal and business stakeholders (e.g. CWM Business, Supervision, Product, CWM Operations, Risk, etc.)
+ Bachelor's degree or equivalent experience required
+ 5 years of experience in financial services industry with background in controls, audit, quality assurance, operational risk management, or compliance preferred; or equivalent subject matter expertise in a relevant business related function/operation
+ Prior committee work experience preferred
+ Focused attention to detail, analytical & inquisitive with high standards for quality and accuracy
+ Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, PitchPro, Visio) required
+ Strong SharePoint creation and working knowledge
+ Able to work across groups (Audit, Risk, Compliance and allied business
+ Analytic and investigative mindset, dedicated to continuously improving processes
+ **Business knowledge** - ability to understand the business / knowledge of regulation surrounding business
+ **Communication/presentation** - excellent written and verbal communication skills with an ability to influence business leaders in a meaningful and actionable manner
+ **Networking** - exceptional interpersonal skills; exceptional collaboration and relationship building skills
+ **Work autonomously to affect change** - flexible, adaptable to shifting priorities; manages competing priorities to achieve the most effective result and able to work in a fast-paced, results driven environment
+ **Process analysis / design acumen -** ability to understand a process and associated risk to inform control design
+ **Problem solving / Analytical skills** - solid critical thinking, attention to detail and analytical skills; able to synthesize large amounts of data and formulate appropriate conclusions
+ Understanding root cause / identifying control breaks
+ Developing timely and sustainable solutions
+ Analyze metrics for emerging risk
+ **Implementation skills**
+ Writing Action Plans, Procedures
+ Change Management
JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.