Client Onboarding & Documentation Control Manager - Associate

The Client Onboarding & Documentation (CO&D) utility is seeking a highly talented Associate to join one of the functional arms of CO&D Global Controls Team. The CO&D Global Controls Team is focused on ensuring a robust control environment for Wholesale KYC Operations and Digital Document Services through the proactive identification and timely remediation of risk. As a Control Manager in CO&D Controls Team, you will be responsible for working across multiple business and cross-functional organizations under the Exam Management team. Exam Management is responsible for managing AML/KYC engagements including regulatory examinations, internal and external audits and Compliance review activities. Review Requests for Information (RFI) from examiners, auditors and testers, in a timely and effective manner. Prepare sample KYC files and responses, or coordinate with the subject matter experts to collect, review and submit responses. Executive leadership and problem solving skills to help navigate complex global challenges in a highly fluid regulatory environment. Lead the regulatory reporting end-to-end with partnership with MIS Reporting and Operations. Manage large and complex data requested by regulators. Understand and be able to perform data analytics when required. Engage and develop effective partnerships with LOB Compliance teams, local and regional onboarding teams, Legal, Internal Audit, Business and Operations. Provide regular executive-ready management reporting to senior key stakeholders with actionable insights on regulatory audit themes. Use analytics and AI/LLM capabilities to anticipate trends and deliver solutions that elevate the risk and control environment. Support automation or other CO&D Controls related initiatives as required. Proactively engage with stakeholders to identify and assess risks.

Job responsibilities:

• Effectively manage a caseload of AML/KYC engagements including regulatory examinations, internal and external audits and Compliance review activities. Review Requests for Information (RFI) from examiners, auditors and testers, in a timely and effective manner. Prepare sample KYC files and responses, or coordinate with the subject matter experts to collect, review and submit responses.
• Executive leadership and problem solving skills to help navigate complex global challenges in a highly fluid regulatory environment.
• Lead the regulatory reporting end-to-end with partnership with MIS Reporting and Operations. Manage large and complex data requested by regulators. Understand and be able to perform data analytics when required.
• Engage and develop effective partnerships with LOB Compliance teams, local and regional onboarding teams, Legal, Internal Audit, Business and Operations. Provide regular executive-ready management reporting to senior key stakeholders with actionable insights on regulatory audit themes.
• Use analytics and AI/LLM capabilities to anticipate trends and deliver solutions that elevate the risk and control environment. Support automation or other CO&D Controls related initiatives as required.
• Proactively engage with stakeholders to identify and assess risks.

Required qualifications, capabilities, and skills:

• 5+ years in controls, compliance, audit, quality assurance, operational risk management, or other relevant experience within a commercial or investment banking environment at a financial institution, or equivalent experience with a reputable financial consulting or public accounting firm.
• Bachelor’s degree or equivalent relevant work experience required.
• Excellent communication and interpersonal skills, with the ability to build relationships across the region and at all organizational levels. Demonstrates strong AML/KYC and data expertise.
• Self-motivated and results-driven, with a proven ability to deliver high-quality outcomes under tight deadlines.
• Advanced Excel skills, including the ability to efficiently review and analyze data.

Preferred qualifications, capabilities, and skills:

• Excellent presentation, communication, and investigative skills, with strong judgment and the ability to assess complex KYC and data-related issues.

• Proficient in working with databases, with a solid understanding of database concepts and languages.

• Experience with AI solutions or tools such as JIRA, Alteryx, Tableau, and Python is an advantage.

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