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Asset and Wealth Management - Investment Management Audit Manager - Vice President

Req #: 170038896
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. Information about JPMorgan Chase & Co. is available at


Our Internal Audit Function

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.


Within the Audit Department, the Asset & Wealth Management (AWM) Audit team is responsible for assessing the adequacy of the control environment across the AWM. This is achieved through a program of audit coverage performed and managed by a team of integrated business, technology and corporate sector specialists and coordinated on a global basis with colleagues in EMEA and Asia. 


Business Description
J.P. Morgan Asset & Wealth Management is a global leader in investment and wealth management.  Its clients include institutions, individuals and advisors in every major market throughout the world.


J.P. Morgan Asset Management, with assets under supervision of approximately $2.5 trillion and assets under management of $1.7 trillion, offers investment management across all major asset classes, including equities, fixed income, alternatives, multi-asset and liquidity. 


Position Description

The Asset and Wealth Management (AWM) Audit Team is responsible for assessing the adequacy of the control environments across all the AWM businesses. This is achieved through a program of audit coverage which is performed and managed by a global team of integrated business and technology specialists.


This Audit Manager position is based in New York and responsible for audit coverage of the AWM (e.g., Fixed Income, Equity, Global Liquidity and Operations groups) reporting directly to the AWM Americas Team Lead. This position is responsible for audit execution, ongoing risk assessment and relationship management with key business stakeholders and their support groups.


The applicant must be an experienced professional who possesses strong auditing skills, good knowledge of the asset and wealth management business, financial instruments and products, and solid understanding of the fiduciary activities and related internal controls systems within a financial institution.


As a member of the AWM Audit Team, you will be responsible for:

·         Develop and maintain an in-depth understanding of business areas, its products, and supporting functions

·         Lead and execute audits from planning to reporting and delivering quality products within department and professional standards. This includes; however, not limited: (1) perform detailed control assessments and test work across multiple AWM businesses, functions and processes; (2) make and present commercially effective recommendations to strengthen internal controls and improve operational efficiency; (3) ensure audits are completed timely and within specified timeframe and budget; and (4) follow-up on audit and regulatory identified issues and their resolutions

·         Perform continuous monitoring of various AWM business groups

·         Establish strong work relationships with AWM business and control groups (e.g., Risk, Compliance)

·         Work closely with regional audit colleagues within the AWM audit team in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders

·         Stay current with evolving industry and regulatory changes, and analyze impact to business objectives, processes, and compliance



·         At least 8+ years of Asset Management audit or business experience

·         Solid knowledge of products and services provided within an asset management business (e.g., portfolio management, trading, risk management, trade operations, pricing, portfolio analysis and measurement, regulatory reporting), including related fiduciary activities

·         Knowledge of applicable laws and regulatory requirements related to asset management such as Investment Advisors Act, Investment Company Act, OCC 12 CFR 9 and ERISA

·         Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner

·         Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness

·         Proven ability to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically

·         Ability to lead/execute multiple audits at once (proven ability to be able to multi task and be able to change priorities)

·         Works well individually, and in teams, shares information, supports colleagues and encourages participation

·         Strong skills in time management and problem solving

·         Enthusiastic, self motivated, effective under pressure and willing to take personal accountability

·         Be prepared to travel to the business locations

·         Minimum bachelors degree in Accounting, Finance, Economics or related discipline

·         MBA degree, professional accountancy qualification and/or other professional certifications, such as Series 7, CFA or CFIRS are a plus


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