CIB, Securities Services, Control Manager, Associate
J.P. Morgan
Kwun Tong, Kowloon, Hong Kong

Job Description

  • Securities Services is a business within Corporate and Investment Bank that offers three complementary services : Custody, which provides safekeeping, settlement, asset servicing, foreign exchange and cash management services to asset managers, insurance companies and investment funds across approximately 100 securities markets;
  • Fund Services, which provides accounting and administration services to traditional and alternative asset managers, in addition to trust and fiduciary, transfer agency, compliance and portfolio reporting services;
  • and Trading Services, which provides agent lending of client securities to broker dealers and other financial institutions as well as issuance and cancellation of American and Global Depositary Receipts

    This role is in the Business Control Management (BCM) team for the Securities Services business in Asia Pacific. This team is part of a wider global Securities Services BCM team which report into the Corporate and Investment Bank CFO as well as the Oversight and Control office.

    The BCM will interact with multiple line and corporate functions and need to be able to partner effectively with senior executives of the firm.

    The individual will need to establish very strong relationships with the Securities Services business heads and develop a deep understanding of the business, its control challenges, the architecture and products

    Key Responsibilities include :

    Front Office Control Advisor

  • Enhance collaborative control environment with appropriate oversight and clearly defined responsibilities
  • Encourage business self-identification of control areas of concern
  • Facilitate risk event early escalation in accordance with firmwide and CIB policies and procedures
  • Cultivate strong working relationships and open dialogue with business partners regarding mitigation of potential risks and remediation
  • Regulatory and Audit Management

  • Prepare materials and participate in internal and external regulatory & control meetings / reviews
  • Coordinate with relevant stakeholders in preparation for internal and external audits
  • Address regulatory, audit and compliance issues with urgency
  • Control Priorities and Strategy

  • Reinforce the firm wide control framework to ensure consistency and transparency
  • Lead control deep dives and project working groups
  • Engage with key partners including Finance, Operations and Business Managers
  • Governance and Implementation

  • Issue identification, remediation and action plan management
  • Monitor major and critical control issues
  • Escalate control issues to more senior levels when appropriate
  • Develop, review and implement policy and procedures
  • Establish Risk Event standards and compliance
  • Ongoing evaluation of CORE for front office products and services.
  • Reporting and Monitoring

  • Oversee Front Office Supervision (FOS) portal including exception management
  • Monitor key metrics
  • Perform thematic risk event review including root cause analysis
  • Metric analysis to identify themes which are relevant to management of the business
  • Extracting data and performing analysis information from various core systems
  • Scorecard template management
  • Adhere to Weekly and Monthly reporting timeline
  • Identify and promote improvements to existing processes in an effort to create efficiencies and opportunities.
  • Partnering internally with various product, operations and client service teams
  • Escalate potential timeline impacts as soon as possible
  • Qualifications

  • Bachelor's degree in Finance, Accounting or Business related discipline is preferred
  • 4+ years of relevant work experience in Risk & Controls, Internal Controls Design & Review, or Risk Consulting
  • Fluency in written and spoken Mandarin Chinese is required, in order to provide advisory support in written and spoken Chinese
  • Relevant experience and understanding of key Alternative Investment processes, regulations and associated risks
  • Highly motivated, energetic self-starter who takes ownership and can drive change through innovation
  • Analytic and investigative mindset, dedicated to continuously improving processes
  • Extremely organized and attentive to detail
  • Excellent oral, interpersonal, communication skills; team oriented
  • Able to work across groups (Audit, Risk, Compliance and allied business groups)
  • Able to drive project and initiatives to completion
  • Drive projects through to completion, including working through potential road blocks and making use of appropriate escalation where required
  • Experience performing deep dive reviews to identify process and control gaps
  • A good understanding of controls and how to apply them to different processes and businesses
  • Highly proficient in Microsoft Office suite of products (Excel, SharePoint and PowerPoint)
  • Tableau / Qlikview skills are also a plus
  • Process mapping / re-engineering experience a plus
  • Strong influencing and negotiation skills
  • Proven presentation skills
  • Able to work under pressure, prioritise appropriately, meet deadlines and assess simultaneous demands
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