Audit - Chase Wealth Management & JP Morgan Securities - Associate Auditor

New York, USA
Nov 12, 2019
Nov 27, 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.7 trillion and 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.

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 technology and financial business specialists.
The Chase Wealth Management (CWM) Audit Team, which is part of the Asset and Wealth Management Audit Team, is responsible for assessing the overall control environment across the Chase Investments, Chase Private Client and J.P. Morgan Securities channels in the United States.

The CWM Associate Auditor role will be based in Plano, Texas, and will be responsible for assisting with the ongoing risk assessment, control identification, audit testing, report drafting and continuous monitoring activities

As an Associate Auditor on the Chase Wealth Management (CWM) team, you will be responsible for the following:

  • Participate in audit activities including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation and follow up and verification of issue closure.
  • Partner with colleagues, clients and control community members to develop, evaluate, test and report on the adequacy and effectiveness of control environment. This is conducted in accordance with department and professional standards and will require the presentation of issue root cause to senior client management.
  • Build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value by recommending best practice solutions to issues.
  • Partner with other groups within Audit as appropriate to ensure the delivery of a seamless program of audit coverage.
  • Contribute to a business climate and culture that encourages integrity, respect, excellence and innovation.

  • Minimum Bachelors degree in Accounting, Finance, Economics or related discipline (or relevant financial services experience)
  • Professional accountancy qualification and/or other professional certifications, such as CFIRS, Series 7, or CFA are a plus
  • At least 3 years of Asset Management/Wealth Management audit or business experience
  • K nowledge of products and services provided within a Global Wealth Management business including investment management, discretionary activity, fiduciary requirements and brokerage
  • Knowledge of applicable laws and regulatory requirements banking (specifically OCC 12 CFR 9) and broker/dealer regulations
  • A bility to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically
  • A bility 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, problem solving, written and oral communication
  • Enthusiastic, self-motivated, effective under pressure and willing to take personal risk and accountability
  • Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness
  • Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
  • Be prepared to travel to the business locations