Job Description:
As a Control Manager you will be responsible for overseeing and managing various compliance and conduct-related processes within the organization. You will ensures adherence to policies, conducts risk assessments, and facilitates training and education initiatives. The Control Manager will work closely with various departments to maintain a culture of compliance and integrity.
Job Responsibilities:
- Oversee the pre-clearance process for employee outside interests as per the Outside Interest Policy.
- Conduct annual procedure reviews and approvals.
- Perform quarterly reviews and research on outside interest submissions, including:
- Verifying denials to ensure compliance.
- Reviewing a minimum of 15% of cleared interests for policy adherence.
- Investigating discrepancies between denied and cleared interests.
- Manage disclosures of personal relationships with third-party decision-makers. Conduct annual procedure reviews and approvals.
- Review disclosed relationships monthly, ensuring manager action within 30 days. Distribute Culture of Respect metrics to relevant contacts monthly.
- Conduct & Violation Metrics: Perform monthly and quarterly reviews to identify trends and provide early warnings for reporting.
- Conduct Risk Appetite Assessment - Conduct quarterly assessments using metric data from the conduct portal.
- Draft summaries based on conduct and violation metrics, trends, and other relevant data.
- Conduct Education Needs Assessment:
- Conduct assessments twice a year based on conduct metrics and training plans.
- Organize and host Business Conduct Training sessions.
- Collaborate with sub-LOB leads and training partners to develop training materials.
- Personal Account Dealing – Annual Certification:
- Release weekly progress reports on annual certification events.
- Escalate overdue certifications to the BCM community.
- Code of Conduct – Annual Affirmation:
- Release weekly progress reports on Code of Conduct affirmations.
- Escalate overdue affirmations to the BCM community.
- Bi-Weekly AWM Delinquency Compliance Training:
- Utilize the AWM tableau dashboard for compliance training.
- Prepare communications on key themes and trends for the AWM BCM community.
- Address queries from Control Managers and learners.
- Backup Responsibilities:
- Serve as a backup for AWM HRCF and AWM Lessons Learned Associate.
Required qualifications, capabilities and skills:
- Strong understanding of compliance and conduct policies.
- Excellent research and analytical skills.
- Ability to manage multiple tasks and prioritize effectively.
- Strong communication and interpersonal skills.
- Experience in training and development is a plus.
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. 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.
