Jonathan Alvarado
Phoenix,AZ
Summary
Dynamic professional with a proven track record in developing operational processes and tools that drive revenue and foster business growth. Expertise in leading key initiatives from inception to completion within fast-paced environments, ensuring alignment with strategic objectives. Proficient in defining program scopes, launching initiatives, and utilizing data analytics to inform decision-making and enhance performance. Recognized for effective prioritization, implementation of best practices, and creation of scalable solutions that navigate the complexities of high-performing, cross-functional teams while positively influencing stakeholders.
Overview
11
11
years of professional experience
1
1
Certification
Work History
Control Manager
JPMorgan Chase & Co.
Tempe, AZ
01.2023 - Current
- Direct business development initiatives to execute business control solutions and see projects to completion. Established long-term professional relationships with management and crew throughout the company. Actively engage in monitoring, reporting, and supporting the development of business control activities. Track progress, evaluate success, and deliver suggestions for improvement. Manage multiple Projects and Action Plans to improve day-to-day productivity.
- In partnership with stakeholders, evaluate and perform an end-to-end analysis of the designation status of over 1,200 employees, ensuring proper Public/Private designation, Broker Dealer Associate Persons, and Personal Account Dealing.
- Perform ongoing analysis of program-related data and develop ad-hoc reports as requested for senior leadership to support business-related programs and strategies.
- Assess internal or business risks and processes end-to-end and drive efforts across multiple business groups and operational functions to identify significant gaps and determine the root cause of issues.
- Work with compliance quality assurance to ensure control evaluations are properly evidenced and protocols followed.
- Conducted secondary reviews and audits of third-party intermediary engagements, evaluating contract terms, payment structures, and business justifications to ensure alignment with JPMorgan Chase's operational and compliance standards.
Business Controls Specialist
Bank of America
Phoenix, AZ
09.2021 - 12.2026
- Provide analytical support in executing internal control discipline within a Line of Business/Extended Credit Facility. Gather and organize data to monitor and test the effectiveness of key controls and status of mitigation and action plans.
- Selected to participate in a data review project to ensure reporting accuracy of The Community Reinvestment Act (CRA) to the Federal government.
- Influence change by identifying process gaps, working effectively with others, and recommending appropriate solutions in compliance with current laws and regulations.
- Validate loan documentation accuracy and ensure compliance with company risk policies.
- Act in accordance with the letter and spirit of all applicable laws, rules and regulations, code of conduct, risk framework, and policies. Proactive in identifying and managing risk.
Business Controls Oversight Analyst
Vanguard
Scottsdale, AZ
02.2021 - 09.2026
- Direct business development initiatives with the aim of executing divisional/business control solutions. Actively engage in monitoring, reporting, and supporting the development of divisional/business control activities. Create awareness of regulatory risk and control topics and perform broad industry and Vanguard trends.
- Defined, executed, and improved compliance while serving as an internal consultant.
- Ensured the resolution of problems by analyzing risk issues.
- Actively engaged in delivering special projects and completing other assigned duties.
Business Project Coordinator, Senior Associate
Vanguard
07.2021 - 01.2022
- Developed and executed project plans to attain project objectives as well as led and delivered projects with limited scope or workstreams. Created task plans and schedules. Continuously engaged with stakeholders such as leaders, team members, and senior managers to communicate project status and issues regularly. Developed and maintained long-term professional relationships. Identified and documented project risks.
- Played a key role in designing and implementing new systems and training that saved $72,606.00 annually.
- Actively contributed to the on-time achievement of project deliverables, milestones, and required tasks.
- Assured the alignment of project goals with overall department strategy and business needs.
- Proactively engaged in completing special projects.
Executive Resolution and Complaint Correspondent
Vanguard
03.2020 - 07.2021
- Successfully managed complicated client cases requesting a review of client harm and financial impact. Conducted research and administered detailed documentation of any risk and client reimbursements within regulatory guidelines. Performed review of all client communications such as phone calls, emails, and correspondence. Explored trends and led process improvement efforts. Served as an Executive Resolution Trainer.
- Created/implemented a training program that reduced new hire training from 8 weeks to 5, annual savings $34,594.56.
- Developed solutions to complex issues while identifying and collaborating with internal partners.
Retail Adjustments Processing Associate, Lean Center of Excellence Administrator (Intern), Retail Client Account Services Processing Associate
Vanguard
Scottsdale, AZ
06.2016 - 03.2020
- Early career roles focused on operational accuracy, compliance processing, continuous improvement initiatives, and internal stakeholder support.
- Created LEAN training videos adopted company wide.
- Coordinated LEAN technology enhancement submissions and support process enhancement initiatives.
- Processed complex asset transfers and client cases with high accuracy and attention to FINRA requirements.
- Identified operational gaps, worked cross-functionally to recommend controls enhancements, and escalated risk issues as needed.
Education
Bachelor of Science - Criminology and Criminal Justice
Northern Arizona University
Flagstaff, AZSkills
- Program Management
- Operational Leadership
- Continuous Process Improvement
- Strategic Planning & Execution
- Revenue Expansion & Growth
- Best Practice Implementation
- Regulatory Compliance
- Stakeholders Engagement
- Team Leadership
- Customer Service
- Excellent Communication
- Relationship Building
Certification
- Securities Industry Essentials (SIE)
- Series 7, 6, and 63 License (Expired January 2025)
Timeline
Control Manager
JPMorgan Chase & Co.
01.2023 - Current
Business Controls Specialist
Bank of America
09.2021 - 12.2026
Business Project Coordinator, Senior Associate
Vanguard
07.2021 - 01.2022
Business Controls Oversight Analyst
Vanguard
02.2021 - 09.2026
Executive Resolution and Complaint Correspondent
Vanguard
03.2020 - 07.2021
Retail Adjustments Processing Associate, Lean Center of Excellence Administrator (Intern), Retail Client Account Services Processing Associate
Vanguard
06.2016 - 03.2020
Bachelor of Science - Criminology and Criminal Justice
Northern Arizona University