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Firmwide Central Reg W Controllers Vice President – Inter-entity Analysis Group

Req #: 180019523
Location: Brooklyn, NY, US
Job Category: Accounting/Finance/Audit/Risk
Job Description:

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.

The Bank Controller Team within Corporate Finance is dedicated to supporting the JPMCB and broader Legal Entity end to end agenda in alignment with the Firm’s and Finance’s strategic control priorities.  Responsibilities include: Governance and oversight for the integrity and accuracy of the JPMCB financial results; Developing and reviewing LOB level planning and forecasting analyses for JPMCB; Working across functions on JPMCB and other legal entity level operating and strategic issues; Supporting the JPMCB board; Designing, implementing and overseeing an end to end, Firmwide, Reg W governance oversight framework; Defining, establishing and implementing a Firmwide LE simplification strategy and execution framework; Sponsoring and driving execution of key Legal Entity related milestones (incl. selected projects within the Finance Risk Roadmap and Data Governance programs) , Maintaining strong working relationships with regulators, auditors and internal partners, and Policy management of inter-entity reorganizations, capital actions and affiliates support documents.

The Interentity Analysis Group (IAG)

Within Bank Controller Team,  IAG provides a controlled and structured review process for LOB and corporate transactions, and a resource for legal entity, financial, and policy expertise.  IAG’s policy and Legal Entity involvement includes:

  • Ownership of the Legal Entity Reorganization and Capital Actions Policy, providing for review and approval of all Entity, Asset, and business reorganizations (Internal entity mergers, business moves, etc.) and capital actions (dividends and capital investments) among JPM entities.

  • Ownership of the Legal Entity Affiliate Support Document Policy, providing for review and approval of all interentity guarantees and related support documents within the firm. 

  • Ownership of the Reg W Policy – responsible for the establishment of an appropriate Reg W Control environment and for management of applicable limits on ‘Covered Transactions’.

  • Required reviewer for all NBIAs globally, addressing Legal Entity, Regulatory, and other financial impacts for proposals across all LOBs.

  • Engagement in the Firm’s Legal Entity Strategy and Simplification Group.  IAG advises all JPM Group businesses globally on the legal entity and related regulatory aspects of structuring and managing transactions and is an approver on all entity creation/dissolution proposals.

  • Supporting the management of JPMC&Co, JPMCB, JPMC Holdings LLC and JPMIF on a standalone basis, IAG also focuses on legal entity connectedness and the overall relationships among JPM entities

  • Preparation and delivery of explanatory presentations

IAG works closely with businesses and support groups in all regions - many initiatives have a global dimension and broad ramifications.  To add value, IAG needs to understand the overall business and product contexts that it faces.


To be a key component of the IAG’s Central Reg W Team, enhancing monitoring controls and policy mandates across all lines of business and legal entities. It is expected that the successful candidate will become a subject matter expert in Reg W and increase knowledge in the lines of business transactions, enforcing the controls process.  The Role’s focus will include:

  • Owning the ongoing day to day centralized Reg W governance processes such as internal and external reporting, approval of new and renewable transactions, overseeing and executing quality assurance reviews, enhancing controls to ensure completeness and accuracy of reportable Reg W transactions and exemptions.

  • Solving Reg W issues in collaboration with LOB Reg W Controllers and Leads.  This includes:

    1. Facilitating technology enhancements needed to complete execution of control and reporting improvements both centrally and across LOBs.

    2. Creating and implementing workflow solutions for manual processes, creating efficiencies and value-added analysis.

  • Participating in meetings with regulators to discuss the Reg W program.

  • Assisting completion of the annual Reg W risk-assessment / Applicability study.

  • Participating in central governance meetings and ad hoc working sessions, including setting up agenda, preparation of materials and keeping track of agreed actions.

  • Building relationships with colleagues in a wide variety of lines of business (Front, Middle, Back Office) and Corporate Sector functions, including Internal Audit.

Candidates for this unique role will probably have a finance/accounting background, but should possess the following characteristics:

  • Minimum of 8 years previous experience, working on complex financial projects or in a governance/control role; including experience in risk, compliance, audit, controllership, consulting or project management.  Preferred competencies include:

  • Knowledge of wholesale banking transactions and legal entity structures

  • Project management techniques and strong critical thinking and problem solving skills.

  • Strong understanding of business and management functions in financial services.

  • Strong control orientation, attention to detail and organization skills.

  • High level knowledge of Reg W

  • Sound written and verbal communication skills to communicate and influence complex issues and concepts in clear, concise and meaningful words and pictures.

  • Ability to multi task and work under pressure - both independently, as well as in a team-oriented, collaborative environment.

  • Ability to manage a staff (both directly and via matrix), including identifying and hiring, mentoring employees in a timely manner.

  • Bachelor’s degree or equivalent, with evidence of further professional development.


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