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Corporate Sector - Compliance Audit Director [excluding Global Financial Crimes] - Executive Director

Req #: 180020995
Location: New York, NY, US
Job Category: Accounting/Finance/Audit/Risk
Job Description:

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. 


Department & Team Description


JPMC's Audit Department reports to the Audit Committee of the Board of Directors and is further accountable to the Chairman and CEO, senior management and regulatory agencies. Internal Audit is an independent function that provides objective assurance guided by a philosophy of adding value to improve the operations of the organization. It assists the organization in accomplishing its objectives by bringing a systematic and disciplined approach to evaluate and improve the effectiveness of the organization's governance, risk management, and internal control processes. The team’s priorities are focused on strong governance, transparency, strategic engagement and fostering a diverse and inclusive culture that focuses on people development 


The Corporate Functions Audit team provides audit coverage of key corporate functions including Finance, Risk, Compliance (including Global Financial Crimes Compliance) Legal, Human Resources, Global Real Estate, and Global Security & Investigation. The team also works closely with each Line of Business Audit team to ensure consistent coverage of these topics.



Position Description


The Corporate Sector – Compliance Audit Director will report directly into the Corporate Sector Managing Director, who is responsible for audit coverage over Global Compliance and Legal.  The Audit Director will drive the Global Compliance and Shared Functions Compliance audit plan, including, risk assessment, control identification, development of audit testing, completion of audit work and ongoing continuous monitoring activities.  This individual will be responsible for clear communication on these initiatives and risks across the LOB audit teams and stakeholders.



  • Lead and/or execute audit engagements from planning to reporting and produce high quality deliverables in line with department standards
  • Finalize audit findings and use judgment to provide an overall opinion on the control environment
  • Partner with colleagues, clients and control community members to evaluate the control environment and develop recommendations to strengthen internal controls.
  • Stay up-to-date with evolving regulatory changes and market events impacting the business.
  • Perform ongoing analysis of compliance risk trends through business monitoring and execution of audit coverage.
  • Drive plan creation, execution and changes based on changing business risk profile.
  • Establish strong working relationships with Compliance management 
  • Bachelor's degree required.
  • Professional certification (e.g. CIA, CRCM) or willingness to pursue required.
  • 10+ years of relevant experience which could include compliance, audit and/or risk management
  • Established track record of overseeing and executing both short term and long range objectives.
  • Strong control orientation and analytical skills.
  • Ability to manage multiple tasks concurrently, with a high sense of urgency.
  • Excellent communication and interpersonal skills required with ability to present complex and sensitive issues to senior management.
  • Sound risk judgment, ability to effectively dimension issues with clear supporting rationale.
  • Ability to build rapport across Audit teams, with internal stakeholders and examiners.
  • Experience in establishing and meeting goals, tracking and driving optimization opportunities, and presenting progress of the same.
  • Works well individually and in teams, shares information, supports colleagues and encourages participation.
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