CIB -Transfer Agency - Fund Services - Vice President
Description : Title - Line Control VP - Transfer Agency (TA) Operations
Job Description :
- The role resides within the Operations team in Transfer Agency (TA) within Fund Services. The Line Control VP for Transfer Agency maintains a strong and consistent control environment across subfunctions within TA.
- The TA Line Control manager will ensure, there is a comprehensive coverage with the TA business operations leads that promotes daily completeness and accuracy checks , early compliance and operational risk identification and assessment, effective design and evaluation of controls and sustainable solutions to mitigate operational and compliance risk on a daily basis.
- Specifically, this position works in conjunction with OCM, TA Line operations, Change teams to support the development and implementation of a consistent and sustainable approach to the management of risks and controls within TA day to day operations.
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Control Management focuses on these key areas :
1. Daily continuous audit of the TA operations business to ensure completeness, accuracy and timeliness.
2. Risks and controls identification/assessment by performing daily monitoring, evaluation, mitigation and escalation of risks
3. Support risk resolution - work with TA change team to create end to end issue and action plan lifecycle management, and development of feedback loops to ensure impacted areas are leveraging this information for continuous improvement
4. Control governance & reporting - daily completeness attestation and reporting, appropriately govern the process to ensure there is no redundancy of tasks, develop broad categories of themes, and distill information for executive management
5. Support the TA operations leads on internal and external audits and the ownership therein
Roles and Responsibilities :
- Ensure completeness and accuracy of daily end to end activities or for specific cut-off points during the day, in Transfer Agency across regions.
- Governance over Transfer Agency operations control framework such as SOP's, Errors, Change Management, Action Plans, Audits, Resiliency plans, Location Strategy and compliances
- Will ensure the team creates test scripts for quality checks on evaluating the daily performance metrics for Transfer Agency operations
- Readiness of respective Ops functions in time bound manner before any new fund conversion such as resourcing, system accesses, procedures, control checklists, charters etc.
- Perform ongoing oversight and provide leadership and subject matter expertise to ensure the execution of a risk based oversight model
- Collaborate with cross functional teams i.e. Operations, Technology, Product and OCM to identify and resolve key business risks/issues
- Communicate overall program status, risk, issue, milestone achievement and progress; ensure alignment of goals and activities among program work-streams and across parallel initiatives
- Drive Controls related projects and other initiatives to further the controls agenda for the teams and participate in initiatives as assigned.
- Perform analysis to review controls and identify opportunities to improve efficiency / effectiveness.
- Maintain awareness of significant changes impacting compliance, both internally and externally, and ensure appropriate actions to mitigate risk and modify/expand control.
- Provide leadership for the end-to-end assessment of risk, including control breaks and resolutions, to reduce financial loss, regulatory exposure, and reputational risk
- Bachelor's degree or equivalent experience required
- 10+ years of financial service experience, preferably in Transfer Agency or Investor Services, in controls, audit, quality assurance, risk management, or compliance preferred
- Proficient knowledge of control and risk management concepts with experience in continuous audit methodology.
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Visio)
- Ability to work in a matrixed environment, provide oversight and directly influence change
- Knowledge of Financial Services and their operational processes
- Strong organizational and multi-tasking skills with demonstrated ability to manage expectations and deliver results
- High level of professionalism, self-motivation, and sense of urgency
- Strong team player, self-starter, must be flexible and able to quickly adapt to change
- Strong communication skills working with senior stakeholders
- Ability to understand a process and associated risk to inform control design
- Ability to partner with global stakeholders and developing strong working relationships
JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
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. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.
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