Asset Management – Investment Management – Sr Auditor


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.

Job Purpose:

  • The Asset Management (AM) Audit Team is responsible for assessing the adequacy of the control environments across all the AM 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 position is responsible for audit execution, ongoing risk assessment and relationship management with key business stakeholders and their support groups.

Your Responsibilities:

  • Execute and lead audit engagements from planning to reporting and delivering quality products within department and professional standards
  • Perform continuous audit coverage and relationship management within Asset Management
  • Establish strong work relationships with Asset Management business management and other control groups (risk management, compliance, legal, etc.)
  • Work closely with other regional/global business and information technology audit colleagues within the Asset Management team in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
  • Perform ongoing analysis of risk trends through the development and implementation of audit coverage
  • Perform detailed control assessments and test work across multiple Asset Management functions and processes
  • Develop recommendations to strengthen internal controls and improve operational efficiency
  • Ensure audits are completed timely and within specified timeframe and budgets
  • Stay current with evolving industry and regulatory changes, and analyze impact to business objectives, processes, and compliance.

Skills and Qualifications:

  • 5 + years of Asset Management audit (including Alternatives) or business experience
  • Detailed knowledge of products and services provided within an asset management business (e.g., multiple asset portfolios, ETFs, client services, fund administration, guideline coding and monitoring, fees), 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 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 and effective under pressure
  • 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.

Source: for more information click here.

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For over 200 years, JPMorgan Chase & Co has provided innovative financial solutions for consumers, small businesses, corporations , governments and institutions around the world.

Today, we’re a leading global financial services firm with operations servicing clients in more than 100 countries.

Whether we are serving customers, helping small businesses, or putting our skills to work with partners, we strive to identify issues and propose solutions that will propel the future and strengthen both our clients and our communities.

  • Specialism Custodians
  • Location New York
  • Address Chase Headquarters 270 Park Ave. New York, NY 10017
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