AWM ICPM SOX Analyst Job For 0-50 Year Exp In JP Morgan Chase & Co. Bengaluru / Bangalore – 3768968


Job Description :
IC & PM- ANALYST
Business Description
J.P. Morgan Asset & Wealth Management, with client assets of $2.8 trillion, is a global leader in investment and wealth management.
AWM serves institutions, high-net-worth individuals and retail clients through two businesses: Asset Management (‘AM’) and Global Private Bank (‘GPB’). AWM offers investment management across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. For individual investors, the business also provides retirement products and services, brokerage and banking services including trusts and estates, loans, mortgages and deposits.
AM brings comprehensive investment management services and products on a global scale across multiple asset classes to retail investors and institutional clients. Such services include the provision of sub-advisory services to other investment managers, whether affiliated or unaffiliated, and their clients, from both the United States and Internationally. AM’s clients benefit from a range of investment activities, which include a range of strategies including, Equity, Fixed Income, Current and Real Assets, Multi-Asset Solutions. Liquidity, Private Equity and Hedge Funds.
GPB offers investment advice and wealth management services, including investment management, capital markets and risk management, trust and estate planning, banking, lending, custody, mortgage, and specialty wealth advisory services. GPB offers these services to high-net-worth and ultra-high-net-worth individuals, families, money managers, business owners, trusts, personal holding companies and corporations worldwide, including law firms, private equity and hedge funds where the principals of such firms also maintain individual relationships with GPB. GPB also provides services to charities, foundations and endowments, as well as structures associated with each of the above such as personal holding companies, trusts and corporations.
AWM Finance and Business Management is responsible for financial planning and analysis, regulatory reporting, strategy, capital stress, business management and internal control on a global basis. The Internal Control & Program Management (IC & PM) team is part of AWM Finance and Business Management and is responsible for several control initiatives and works closely with many support functions across AWM. The team manages the following control initiatives:

  • Sarbanes-Oxley (SOX) & CCAR CFO Attestation Program (‘CCAP’)
  • Resolution and Recovery Planning Program Management
  • Coordination and documentation of AWM’s quarterly Earnings Representation Letter and Control Affirmation process
  • Preparation and analysis of Legal Entity Reorganization and Capital Actions (‘RCA’) and inter-company guarantees
  • Legal Entity Structure / Reg-W Reporting (including Metrics / EMRs)
  • Legal entity reporting and analysis as it relates to the Global Enterprise Management System (‘GEMS’), rationalization and other business programs (i.e., FATCA)
  • Material Risk Inventory and
  • Control management

Roles & Responsibilities for SOX & CCAP

  • The candidate willparticipate in audit type testing for the SOX and CCAP controls to ensure the design of the control is adequate to mitigate the inherent risk and test the required samples for confirming the operating effectiveness of the control.
  • Provide support for AWM CCAR CFO Attestation Programs (CCAP)
  • Stay currentwith evolving industry and regulatory changes, analyzing their impact to business objectives, processes, and compliance.
  • The candidate will be responsible for the following tasks:
  • Perform and review of testing of controls which includes conducting walkthroughs, documenting process flows, requesting information from process owners, creating and executing appropriate test steps, participating in status updates with business owners to share progress and working with the team lead to consolidate results
  • Risk Assessment review by 10K/Q financial statement line item for both quantitative and qualitative risk factors
  • Partnering with LOB, finance, risk and/or technology stakeholders to support consistent implementation of the SOX & CCAP framework
  • Documenting the narratives and flows related to key processes and controls within AWM
  • Maintain accurate and complete documentation and follow-up on items through completion
  • Report findings to the Program manager
  • Assist in validation and closure of SOX/CCAP issues and related action plans
  • Track the status of deficiencies and their remediation by process owners
  • Assist in developing recommendations to strengthen internal controls and improve operational efficiency
  • Assist with monthly and quarterly reporting
  • Creating a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols
  • Support special projects, as needed, and
  • Stay currentwith evolving industry and regulatory changes, analyzing their impact to business objectives, processes, and compliance.

Experience & Skill Set

  • 1 to 3years experience in Auditing, Accounting, Internal Control, Quality Assurance and/or Finance
  • Degree or Post Graduate Degree in Accounting or Finance CA/ CPA (or any other professional accounting qualification) Preferred
  • Strong background in and/or familiarity with the Financial Services Industry preferred
  • Proficient knowledge of control and risk management concepts with the ability to design, create and evaluate risks and controls in conjunction with business partners
  • Working knowledge of financial reporting risks and controls
  • Strong skills in time management, problem solving, written and oral communication
  • Works well individually and in teams, shares information and supports colleagues
  • A problem solver with proven ability to evaluate processes, controls and issues to determine the inherent risks
  • Ability and desire to learn quickly, be flexible, and think strategically
  • Ability to work in an evolving environment, manage multiple projects and support a growing business
  • Ability to maintain high ethical standards with a drive to achieve the right answer in difficult and/or ever changing situations
  • Self-motivated and willingness to take ownership of a project and
  • Working knowledge of Microsoft Office applications (Word, Excel, PowerPoint, Visio).
  • Knowledge of business intelligent tools (such as Xceptor, Alteryx, Tableau etc.) preferred



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