EMEA Onboarding Audit/Regulatory Lead - Vice President - ROH0159

Last updated 5 hours ago
Location:Midlothian
Job Type:Full Time

Our Business

Wealth Management (WM) is part of the Asset & Wealth Management (AWM) business segment. It has offered for over 160 years customized solutions and client service of the highest quality to solve the complex needs of wealthy individuals and their families around the world. With assets under management of $1.25 trillion, it is one of the largest asset and wealth managers in the world.


Introduction to Role
WM has established a market-leading function to help manage the regulatory risks involved in Onboarding clients with special attention to meeting the regulatory AML, KYC, and Account Opening requirements. This is a great opportunity for the right individuals to work in a fast paced dynamic team and to help identify and establish best practices within JPMorgan and the industry.

Job Description
The EMEA Client Onboarding Audit Support Lead will be part of the global Client Operations team supporting all aspects of Client Onboarding to include the fulfilment of Anti Money Laundering (AML), Know Your Client (KYC), and Account Opening requirements. The primary function of the Client Onboarding Audit Support Lead will be to oversee internal and external exam management from a client operations perspective, including the execution and co-ordination of exam readiness, stakeholder and audit team interaction, management and execution of request for information (RFIs) including independent sampling and testing to assess internal adherence to operational policies and procedures for the EMEA Client Onboarding team. You will have responsibility for the ongoing risk assessment, control identification, management and development of the testing strategy and execution. You will partner with Client Onboarding and Quality Officers to understand and develop subject matter expertise knowledge of system and processes used in order to perform proper testing. Officers will be expected to stay current with all regulatory changes and requirements around client KYC, Suitability, Documentation, and product or account opening procedural changes.



Key Qualities:

    A strong sense of ownership, responsibility and sense of urgency

      Very strong analytical and organizational skills and detail oriented

        Comfortable with change, ambiguity, debate, conflict and informed risk taking

          Exercises independent judgment and decision making

            Multi-tasker who can manage multiple streams of work concurrently with competing deadlines

              Must have a proven ability to collaborate and build strong partnerships with staff across business, technology and operations as well as across regions and LOBs

              Responsibilities include:

                Primary Onboarding lead to oversee internal and external exam management from a client operations perspective, including the execution and co-ordination of exam readiness

                  Partner with the International PB onboarding teams to understand the end to end process (KYC Periodic Reviews and Account Opening)

                    Support Client Onboarding Risk and Control Group on internal Audit and Compliance Reviews (pulling samples, providing responses, etc.)

                      Define and execute sample testing to assess adherence to policy and procedures

                        Complete assigned independent assessments to help ensure consistency and quality throughout the department

                          Lead assigned projects and targeted testing reviews with a high degree of quality and accuracy

                            Review data to identify key issues and trends and/or control gaps and drive and champion solutions

                              Synthesize complex and/or diverse Client Onboarding information to “tell a story” in a digestible manner that effectively helps prioritize issues and aids in executive understanding

                                Act as a subject matter expert and provide strategic guidance

                                  Discuss and escalate with Compliance complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues

                                    Have difficult discussions with employees and members of management in situations where testing may identify adverse findings

                                      Promote a positive, inclusive and diverse work environment

                                      Required Skills and Qualifications

                                        BS/BA Degree or equivalent

                                          7+ years of experience with in a financial services institution, specifically with operational or risk / audit / compliance experience covering KYC/AML

                                            Ability to adapt messaging and presentations to meet the needs of a variety of audiences including senior stakeholders and executive management is a must

                                              Must have high degree of Risk & Control awareness

                                                Excellent verbal, interpersonal and written communication skills are a must

                                                  Ability to get up to speed quickly with new or unfamiliar subject matter

                                                    Strong client focus and ability to partner with various internal groups

                                                      Independent, self-motivated, with an ability to adapt and be flexible in a team environment

                                                        Ability to take the lead in unstructured situations and ensure optimal delivery and stakeholder experience

                                                          Ability to communicate clearly and confidently; able to influence internal and external stakeholders

                                                            Ability to directly address conflicts and escalate issues where appropriate

                                                              Strong analytical, prioritization and organizational skills with a high degree of attention to detail

                                                                Ability to successfully navigate a complex infrastructure that involves numerous groups and individuals

                                                                  Demonstrated experience as a key contributing member of a high performing organization with a positive “can do” attitude

                                                                    Ability to work under pressure and to fixed deadlines in order to meet deadlines