AWM_Control Manager_SOX CCAP

J.P. Morgan Asset & Wealth Management (AWM) delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.​

As an Asset and Wealth Management - SOX CCAP - Controls within J.P. Morgan Asset & Wealth Management, you will be tasked with providing support for Asset and Wealth Management Finance Sarbanes Oxley (SOX) and Comprehensive Capital Analysis and Review CFO Attestation Programs (CCAP). Your role will involve conducting design and operating effectiveness testing of business and IT SOX/ CCAP controls, aiding in the validation and closure of SOX/ CCAP Issues and associated Action Plans, and formulating recommendations to fortify internal controls and enhance operational efficiency. This position offers the chance to stay abreast with emerging technology, industry and regulatory changes, and assess their impact on business objectives, processes, and compliance.

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.

Job Responsibilities:

• Providing support for AWM Finance Sarbanes Oxley (SOX) and CCAR CFO Attestation Programs (CCAP) including an understanding of business and IT risk and controls, control breaks and resolutions, to reduce financial loss, regulatory exposure, and reputational risk 
• Performing design and operating effectiveness testing of business and IT SOX/ CCAP controls. Including but not limited to:
• Creating a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols
• Assisting in validation and closure of SOX/ CCAP Issues and related Action Plans 
• Assisting in developing recommendations to strengthen internal controls and improve operational efficiency
• Being up-to-date with evolving technology,  industry and regulatory changes, and analyze impact to business objectives, processes, and compliance
• Maintaining integrity of testing documentation and provide when requested for various reviews for e.g. Corp QA, Internal Audit Review, and External Audit Requests

Required qualifications, capabilities and skills 

• Bachelor's degree in Finance or Accounting required
• Understanding of control testing methodology
• Proficient knowledge of control and risk management concepts with the ability to design, create and evaluate business and IT risks and controls in conjunction with business partners 
• Strong Microsoft Office skillset
• Proven ability to communicate effectively (both oral and written), with high degree of comfort communicating with senior management, internal and external audit as well as peer groups
• Strong interpersonal skills - verbal communications, written communications, with the ability to collaborate and influence
• A self-starter, with a drive for improvement and efficiency, attention to detail and ability to work independently in an evolving environment 

Preferred qualifications, capabilities and skills

• Big Four public accounting experience and /or  CA / CISA / CPA/CIA certification preferred
• 2+ years of financial service experience in controls, audit, quality assurance, risk management, or compliance preferred