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VP - Mortgage Banking Compliance Audit Manager
Title: VP - Mortgage Banking Compliance Audit Manager
Location: US-OH-Columbus-Polaris McCoy Center / 54101
Other Locations: US-TX-Lewisville-Lake Vista 7 - Lewisville / 58148, US-NY-New York-245 Park Avenue / 03360
JPMorgan Chase (JPMC) is a leading global financial services firm with assets of $2.1 trillion, over 200,000 employees and operations in more than 60 countries. The Firm serves millions of U.S. consumers and many of the world's most prominent corporate, institutional, and government clients. 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.
The JPMorgan Chase Audit Department is accountable to the Audit and Examining Committee of the Board of Directors, the Office of the Chairman, senior management and our global and local regulators. The global Audit Department has in excess of 700 Audit Officers. Audit is an independent risk assessment function established within the organization to evaluate, test and report on the adequacy and effectiveness of management's system of internal control.
The Mortgage Banking Audit team is responsible for assessing the adequacy of the control environment across all aspects of the Mortgage Banking businesses. This is achieved through a program of audit coverage which is performed and managed by a team of integrated technology and financial business specialists. As Compliance Audit Manager, you will be responsible for advising and executing audits related to Consumer Compliance (Reg B, Reg Z, Reg D, Reg E, RESPA, Fair Lending, UDAP, etc), AML/OFAC, and Compliance Management (Testing/Risk Assessment). This specifically requires applying a strong understanding of Consumer Regulation to plan and execute audits, conduct continuous auditing procedures including review of applicable compliance MIS for issues and trends, and tracking/reporting/analyzing Compliance audit coverage. The candidate must also possess strong compliance and audit skills combined with excellent communication skills.
ResponsibilitiesAdvise, lead and/or participate in compliance related audit activities including risk assessments, audit planning, oversight of 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 evaluate, test and report on the adequacy and effectiveness of management controls. This is conducted in accordance with department and professional standards and will require the presentation of issue root cause to senior client management.
Contribute to the audit process to risk assess and track regulatory applicability to drive audit coverage and clearly identify themes or gaps.
Closely monitor regulatory exams and ensure audit program is in line with regulatory expectations and focus
Monitor key risk indicators, significant change activities and timely escalation of emerging issues to senior management
Monitor and analyze key projects and initiatives including performance indicators to identify trends
Provide leadership across the audit team, including providing coaching and feedback to other auditors
Develop recommendations to strengthen internal controls and improve operational efficiency
Serve as an information resource on consumer regulations
Work closely with the mortgage banking auditors in the early identification of emerging control issues and reporting them to line of business and audit management
Partner with other groups within Audit as appropriate to ensure the delivery of a seamless program of audit coverage across JPMorgan Chase
Contribute to a business climate and culture that encourages integrity, respect, excellence and innovation
QualificationsBachelor's degree in Accounting/Finance or related discipline
At least 8 years auditing experience or compliance with specific experience in Consumer Regulation
Consumer compliance/legal experience in government/banking/financial institution is preferred
Strong understanding of Bank Regulations including Reg B, Reg Z, UDAP, AML, Fair Lending, SCRA and CRA
Ability to understand business processes, identify control points and gaps
Ability to manage multiple tasks concurrently in an efficient and effective manner and with minimal supervision
Ability to plan, lead and execute audit assignments
Perform audit work in accordance with department and professional standards and complete assignments in an efficient manner
Excellent communication (i.e., verbal and written) and interpersonal skills, with the ability to present complex and sensitive issue to senior management and influence change
Enthusiastic, self-motivated, effective under pressure and willing to take personal responsibility/accountability
Ability to perform out of state travel up to 25%
JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V.