J.P. Morgan
Overview
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.
Responsibilities
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.
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 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.
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.
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Responsibilities
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.
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 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.
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.
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