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Wealth Management, Investment Products Middle Office, Control Officer, Associate

Req #: 170091650
Location: New York, NY, US
Job Category: Operations
Job Description:
J.P. Morgan Asset & Wealth Management, with client assets of $2.4 trillion, is a global leader in investment and wealth management. Its clients include institutions, high-net-worth individuals and retail investors in every major market throughout the world. The division offers investment management across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. For individual investors, the business also provides retirement products and services, brokerage and banking services including trusts and estates, loans, mortgages and deposits.
The Investment Products Middle Office team sits within Operations, and services front offices sales and product solutions teams focused on Alternatives, Derivatives, Equity, Fixed Income, Emerging Markets, and Commodities.  The team supports all three lines of business from Private Banking, JP Morgan Securities, and Chase Wealth Management. The teams performs a host of tasks that range from trade processing, investor and advisor support, fail management, control activities, exception review, and reporting to name a few.  The goal is to ensure we run a well-controlled operational platform while giving our clients a best in class service and experience.
This individual will be responsible for supporting key regulatory initiatives across Operations with a primary focus on coordinating and overseeing the Office of Legal Obligation (OLO) program.  This is a firm-wide, global initiative that brings together the expertise of Legal, Lines of Business (LoBs), Oversight & Control, Compliance, Risk Management and other key control functions, to proactively manage regulatory changes in our operations and allow us to trace end-to-end connections between laws, rules and regulations and our policies and procedures that demonstrate compliance.  The role will work extensively with Legal, Compliance, Oversight & Control and the Operations Teams during the project.  This will also include building awareness of the OLO program across Operations and ensuring consistency in global understanding and dissemination of regulatory requirements.
The position requires communication directly with various levels of management, including senior management.  In order to perform effectively in this function, the candidate must have an analytical approach to problem solving to assist in resolving issues quickly and accurately.  The individual will need to work effectively in a team environment, adapt to a rapidly changing business environment, work on multiple tasks simultaneously and have strong organizational skills to prioritize work accordingly.  The candidate must also have a consultative approach to encourage early escalation and resolution of potential issues.
  • Excellent project management skills and ability to instill structure, process and accountability is essential
  • Ability to motivate and gain consensus among staff to drive initiatives to completion critical
  • Excellent business judgment, particularly the ability to proactively monitor the program to identify and address issues early, performing root cause analysis to develop long term solutions
  • Detail oriented, with a highly disciplined approach to process and quality control.  Attention to detail is critical in this role
  • Strong business analysis skills to enable efficient, accurate and objective decision making
  • Excellent personnel and organizational management skills, including expertise in issue and conflict resolution
  • Ability to partner closely with related functions to ensure a coordinated and effective program
  • Outstanding listening and negotiation skills as well as being a strong written and verbal communicator at the senior management level.
  • Candidate needs to be comfortable working and partnering with people at all levels and across all functional areas
  • Professional, self-motivated and able to work in a fast-paced, results-driven environment with a proven track record of execution against deliverables
  • Relevant experience/knowledge of financial products highly desirable
  • Excellent software skills:  MS Office Suite (PowerPoint, Word, Excel, Access), SharePoint


  • Experience in Compliance, Risk Management, Audit or Operational roles with increasing responsibilities, and diverse experiences in addition to other work experience
  • Experience in a regulated broker-dealer and / or wealth management business strongly preferred


  • A.S. / B.S. Degree or equivalent work experience; Master’s Degree preferred
  • FINRA Series 99, Operations Professional Registration required or can be obtained within 120 days
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