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As a Vice President – Global Screening Operations Audits & Exams within JPMorgan Chase, you will lead day-to-day management of internal audits and regulatory examinations, ensuring timely, accurate, and well-controlled responses. You will serve as a central Control point and Governance Lead across Compliance, Risk, Legal, Technology, Operations, and business stakeholders, driving the RFI process, regulatory and audit engagement management, improving Audit/Exam governance processes, and strengthening readiness for future Audits/exams
Job Responsibilities
- Coordinate end-to-end execution of internal audits, regulatory examinations, due diligence questionnaires (DDQs), and regulatory information requests with the Audit Coordinators including planning, information requests, walkthroughs, testing support, and deliverables.
- Serve as a primary point of contact for auditors/examiners and internal stakeholders; maintain clear communication, expectations, timelines, and escalation management across global stakeholders.
- Ensure responses are consistent, evidence-based, and Service Owners have confirmed alignment to policies/procedures and control design/operation.
- Facilitate engagements across Transaction Screening, Client List Screening, Data Quality, Technology, Governance, Product, and Transformation teams
- Manage document and data requests, including intake, triage, assignment, tracking, escalation, and ownership identification for all audit and regulatory requests.
- Oversee First Day Letters (FDLs), Requests for Information (RFIs), and Follow-Up Requests (FURs), ensuring timely completion and adherence to strict regulatory deadlines and review written responses and supporting evidence for completeness, accuracy, clarity, and consistency; challenge gaps and drive closure.
- Maintain auditable records of submissions, decisions, approvals, evidence repositories, variances, and regulatory correspondence and ensure all submissions receive appropriate executive and operational approvals prior to regulator or auditor submission.
- Communicate Audit and Exam observations, findings, and remediation requirements to Service Owners and OCM partners. Share all supporting evidence and documentation provided during audits/exams to Service Owners and OCM for review and remediation planning and track outstanding findings, open actions, and follow-up requests through closure and management escalation when necessary.
- Identify themes and systemic risks across audits/exams; recommend control enhancements and process improvements and improve exam readiness through playbooks, standardized response templates, evidence inventories, training, and regulatory preparedness initiatives.
- Enhance the operating model by improving governance, documentation standards, metrics, and audit/exam tracking capabilities. and drive continuous improvement initiatives to support evolving regulatory expectations and examination requirements across global jurisdictions.
- Partner with Operations, Compliance, Controls, Legal, Technology, CORE, Audit, and Regulatory Affairs teams to ensure consistent treatment of regulatory and audit matters and also coordinate cross functional responses.
Required qualifications, capabilities and skills
- Master’s Degree or equivalent experience.
- Professional certifications in Audits/Control Management
- 6 plus years of experience in audit, regulatory exam management, compliance/risk management, Financial Crimes, AML/Sanctions Operations, or a closely related control function within financial services.
- Strong knowledge of risk and control frameworks (e.g., three lines of defense concepts, control design vs. operating effectiveness) and proven ability to manage multiple concurrent audits/exams, regulatory engagements and deadlines with high attention to detail.
- Excellent written and verbal communication skills, including producing clear narratives for senior audiences.
- Strong project/program management skills (planning, tracking, Status reporting, Stakeholder alignment, RFI governance and Executive reporting.
- Sound judgment and ability to appropriately escalate risk.
- Structured problem-solving and ability to synthesize complex information into actionable insights with the ability to influence without authority and drive accountability across functions and Global Stakeholders.
- Experience managing large-scale regulatory requests, examination deliverables, executive approvals, and evidence governance processes with a high integrity, confidentiality, and professionalism when handling sensitive information.
- Comfort operating in a fast-paced, highly regulated environment and experience interacting directly with banking regulators and/or leading exam responses.