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Vice President, Business Control Officer-ERISA & FIDUCIARY OVERSIGHT

Req #: 180031868_1
Location: New York, NY, US
Job Category: Operations
Job Description:


About JPMorgan Chase & Co.

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 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. 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. Information about JPMorgan Chase & Co. is available at


Custody & Fund Service (“CFS”) is a business 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.
The role is to join the Business Control Office in the Americas in support of CFS and fiduciary activities globally by liaising with the Firmwide Fiduciary Team and CIB ERISA Oversight team.  The individual will act as the controls expert responsible for ensuring that the various businesses within the CIB organization are informed of and adhering to the various ERISA and Fiduciary Framework requirements.   The individual is expected to manage projects end to end.
In addition, the role may provide opportunities to support the local Custody and Liquidity & Trading Services businesses in the United States. 
Key responsibilities will include
  • Manage Control and governance implementation and reporting relating to Fiduciary matters
  • Policy development, review and implementation – partner with Compliance,  Legal and Fiduciary &  ERISA Oversight Team to document and implement control framework/processes in conjunction with regulatory and firmwide requirements
  • Identify and remediate control gaps either directly, or in partnership with the organization’s Office of Legal Obligations
  • Prep for internal and external regulatory & control meetings/reviews
  • Support issue management
The candidate should be interested in working in a fast-paced and dynamic environment, participating in key initiatives and becoming involved Fiduciary related matters that have a direct impact on the organization.



    • 7 years experience in Financial Services
    • Experience in Securities Services with a solid understanding of CFS business lines desirable
    • Knowledge of the US fiduciary framework, notably OCC Part 9 and ERISA requirements a plus
    • Experience working with or responding to U.S. regulatory requests
    • Desire to learn about and keep abreast of the OCC regulatory framework, specifically Part 9
    • Highly motivated, energetic self-starter who takes ownership of issues and drives them to resolution
    • Good organizational skills - manages & prioritizes multiple tasks across different time horizons within deadlines
    • A good understanding of controls and how to apply them to different processes and businesses
    • Strong analytical, problem solving & process re-engineering skills
    • Excellent project management skills;  oral and written communication skills
    • Strong team player with the ability to develop partnerships
    • Managerial/supervisory experience is preferable.
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