Control Manager - Senior Associate
Aumni
Job Description
Join a team where your expertise in risk and control management will help shape the future of Wealth Management products. You will collaborate with product owners and stakeholders to design and implement effective controls, support new business initiatives, and drive continuous improvement. Grow your career in a dynamic environment that values innovation, integrity, and professional development. Your contributions will help safeguard our business and support our clients. Be part of a team that champions collaboration and a “design for control” mindset.
As a Product Control Manager in Wealth Management, you will oversee and continuously monitor the operational risk and control environment for Wealth Management products. You will partner with product owners and stakeholders to identify, assess, and mitigate risks through robust control design, ongoing monitoring, and effective governance. You will drive continuous improvement, support change initiatives, and provide expert guidance on control matters, ensuring compliance with regulatory requirements and firm standards.
You will work closely with cross-functional teams, represent the product in control committees and regulatory forums, and deliver regular updates to executive management. This role offers exposure to senior leaders and the opportunity to contribute to process enhancements and specialized areas such as artificial intelligence and machine learning use cases.
Job Responsibilities
- Oversee and continuously monitor the operational risk and control environment for Wealth Management products, ensuring risks are identified, assessed, and mitigated.
- Partner with product owners and stakeholders to design, implement, and review effective controls, including annual assessments and updates to control documentation.
- Lead and support control-related activities for new business initiatives, change management, and product launches, providing risk and control due diligence.
- Facilitate issue management by preparing narratives, documenting issues, identifying root causes, and driving resolution through action plans and stakeholder collaboration.
- Conduct and review control testing, analyze results, and support remediation efforts to address control breaks and non-adherence to key metrics.
- Prepare and deliver regular control governance updates, including executive management reporting, escalation of control breaks, and communication of key risk indicators.
- Represent the product in control committees, regulatory forums, and cross-functional meetings to ensure alignment with firm standards and regulatory requirements.
- Drive continuous improvement by participating in self-assessments, root cause analysis, and process reviews to enhance the control environment.
- Provide expert guidance on control matters for specialized areas such as artificial intelligence and machine learning use cases, ensuring compliance with governance and regulatory expectations.
Required Qualifications, Capabilities, and Skills
- Bachelor’s degree or equivalent experience required.
- Minimum 3 years of financial services experience in controls, audit, risk management, or compliance.
- Strong understanding of operational risk management, risk and control assessments, and regulatory requirements for broker-dealer and investment products.
- Proven facilitation, negotiation, and project management skills.
- Action-oriented, analytical, and creative problem solver with strong judgment and leadership.
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Visio); able to develop executive presentations.
Preferred Qualifications, Capabilities, and Skills
- Deep understanding of Wealth Management business and regulatory landscape.
- Excellent written and verbal communication skills; able to influence and present to business leaders.
- Exceptional relationship-building and networking skills; works effectively across diverse teams.
- Flexible and adaptable; manages competing priorities in a fast-paced environment.
- Strong process analysis skills; able to inform and design effective controls.
- Critical thinker with attention to detail; synthesizes data to identify risks and solutions.
- Skilled in writing action plans, procedures, and driving change initiatives.
- Makes informed, subjective decisions; influences stakeholders and justifies recommendations.
This role may require a flexible work schedule to support business needs. Visa sponsorship is not available for this position.
Employer Description
Chase is a leading financial services firm, helping nearly half of America’s households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
Equal Opportunity Employer/Disability/Veterans
Organization Description
Our Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing. We’re proud to lead the U.S. in credit card sales and deposit growth and have the most-used digital solutions – all while ranking first in customer satisfaction.
Control Management maintains a strong and consistent control environment through a joint accountability model that aligns managers with each function and region to mitigate operational risk. The team focuses on four areas: Control Design & Expertise, Risks & Controls Identification/Assessment, Issues & Control Deficiencies and Control Governance & Reporting.
Chase is a leading financial services firm, helping nearly half of America’s households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
Equal Opportunity Employer/Disability/Veterans
Oversee and enhance risk and controls for Wealth Management products, driving mitigation, governance, and continuous improvement.