As a KYC Audit and Exams Associate, lead KYC, AML, and regulatory risk exams, ensuring effective oversight and controls while collaborating with various teams to mitigate risks.
Job Description
Join the fast-paced and dynamic EMEA Client Operations team as KYC Audit and Exam Associate!
As a KYC Audit and Exams Associate in Client Operations team, you will lead exams in relation to KYC, AML and Regulatory risk. You will be required to ensure there is adequate oversight and controls for the department's activities. You will partner closely with key Business and Operations teams, Compliance, Legal, Internal Audit, External Regulators, and Senior Management to mitigate risk in a proactive manner. As a successful candidate, you will have strong stakeholder management experience and ability to influence at senior levels as well as a deep understanding of Regulatory and Audit environment in Financial Services.
Job Responsibilities
Required Qualifications, Capabilities and Skills
Preferred Qualifications, Capabilities and Skills
About Us
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.
About the Team
J.P. Morgan Asset & Wealth Management 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.
Join the fast-paced and dynamic EMEA Client Operations team as KYC Audit and Exam Associate!
As a KYC Audit and Exams Associate in Client Operations team, you will lead exams in relation to KYC, AML and Regulatory risk. You will be required to ensure there is adequate oversight and controls for the department's activities. You will partner closely with key Business and Operations teams, Compliance, Legal, Internal Audit, External Regulators, and Senior Management to mitigate risk in a proactive manner. As a successful candidate, you will have strong stakeholder management experience and ability to influence at senior levels as well as a deep understanding of Regulatory and Audit environment in Financial Services.
Job Responsibilities
- Partakes in engagements across a range of specialist areas including AML/KYC, Regulatory engagements, Internal audits and Issue management.
- Assists in mitigating and escalating all risks (operational, reputational, financial, regulatory etc.) that may impact on EMEA Client Onboarding.
- Assists in developing an appropriate risk culture across the Client Onboarding team and key partners.
- Assists in issue management through proactive management of Action Plans including analysis of solutions, plan proposal, oversight of plan tasks, validation, manage chain of approvals and closure.
- Controls design and implementation: process modelling, risk identification, solution design & implementation.
- Identifies the root cause of control breaks and implementing effective corrective actions
- Identifies and addressing emerging risks.
- Maintains strong working relationships with key business stakeholders including, Compliance, Control Management, Business Management, Product & Platform and Technology on fulfilling responsibilities of the risk team in EMEA.
Required Qualifications, Capabilities and Skills
- Experience in the financial services industry, with demonstrated knowledge of AML/KYC and Economic Sanctions.
- Ability to deal with ambiguity and uncertainty.
- Proven track record of consistent delivery in a fast-paced environment.
- Strong analytical and organizational skills, with a problem-solver mindset.
- Enthusiastic, self-motivated, effective under pressure and with a strong sense of ownership and accountability.
- Excellent communication skills, with the ability to present complex issues to key stakeholders.
- Ability to work effectively in a team environment and to adapt to a rapidly changing environment.
- Excellent working knowledge of MS Excel (pivot tables, v-lookups, etc.), PowerPoint, Word and Visio.
- Fluency in English.
Preferred Qualifications, Capabilities and Skills
- Background in controls, audit, operational risk, legal or compliance preferred.
- Knowledge of Alteryx is an advantage.
- Fluency in other languages are advantageous.
About Us
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.
About the Team
J.P. Morgan Asset & Wealth Management 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.
Top Skills
Alteryx
Excel
PowerPoint
Visio
Word
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