Corporate Oversight and Control

Firmwide Oversight and Control (O&C) was designed to ensure a strong and consistent control environment across the organization from front office to back office, regardless of line of business or functional area. With Control Officers appointed for each Line of Business, Function and Region, we have a comprehensive coverage/accountability model that promotes firmwide dialogue and consistency in approach and solutions.

The O&C Framework provides a formal structure allowing for cohesive and centralized oversight of the enterprise wide control environment, partnering closely with Compliance, Risk, Audit and other control disciplines.

Guiding Principles and Key Objectives

Our guiding principles

  • Establish appropriate and meaningful controls and operational risk measures across the firm
  • Execute robust, enterprise-wide governance and oversight of the end-to-end control environment.

There are several Key Objectives for the Oversight & Control Group

  • Enhance the firmwide control framework to ensure consistency and transparency through clear oversight and defined accountability
  • Systematically and consistently review control problems across all LOBs and Functions, delivering a coordinated model where appropriate
  • Early identification and escalation of control problems, ensuring timely and appropriate resolution
  • Address regulatory, compliance and customer issues with urgency and accountability

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