Are you experienced within financial services and have passion for the KYC lifecycle? Then you found the right position for you!
As an Associate Control Manager in the Client Onboarding and Documentation team, you will be responsible for ensuring the Wholesale KYC Operations and Digital Document Services business has a sustainable and disciplined end-to-end control environment. You will identify and escalate issues with a sense of urgency and partner with the business to ensure issues are remediated in a timely manner. The team assists in top-down risk analysis, real-time control issue detection, escalation, root cause analysis, remediation, and sustainability testing.
Job responsibilities
1. Develop and maintain solid knowledge of Client Onboarding & Documentation (CO&D) policies, procedures, and operating model, as well as systems/platforms used to carry out these activities.
2. Partner with stakeholders to evaluate and perform an end-to-end analysis of the business’s risk and control environment to identify significant gaps and weaknesses and determine root cause of control breaks.
3. Ensure controls are properly designed, operating effectively, and contribute to a proactive risk and control culture using proven evaluation strategies and sound change management protocols.
4. Perform ongoing analysis of program-related data (e.g., KRI/KPI) and develop ad-hoc reports as requested to support business-related programs and strategies.
5. Assist with development of Risk & Control Self-Assessment mapping and documentation through participation in end-to-end process walkthroughs and deep dives with assigned business units.
6. Complete the review and mapping of applicable legal obligations to CO&D procedures.
7. Review and provide impact/adherence assessments to Regulatory Event Notices and Non-CIB Policies, Procedures, and Standards.
8. Respond to and resolve items identified by QA and audit processes.
9. Ensure the process and control tagging remains current as the underlying control framework and legal obligations evolve.
10. Develop and deploy subject matter expertise of local business activities, rules, regulations, and the local legal and regulatory framework.
11. Represent CO&D in working groups and other meetings for OLO / REN requirements.
Required qualifications, capabilities, and skills
1. Experience in the financial services industry with a background in controls, audit, quality assurance, operational risk management, compliance, or related fields.
2. Strong AML/KYC knowledge; understanding of the onboarding/KYC lifecycle.
3. Risk management, operations, or internal control evaluation experience.
4. Good knowledge of control design and root cause analysis.
5. Effective at summarizing complex business problems and solutions for executives.
6. Strong analytical, critical thinking, and problem-solving skills.
7. Excellent written and verbal communication skills, with the ability to influence business leaders.
8. Attention to detail and ability to synthesize large data sets.
9. Excellent project management skills, with the ability to instill structure, process, and accountability.
10. Interpersonal skills to work effectively across all levels and functions, motivating and gaining consensus among staff.
Preferred qualifications, capabilities, and skills
1. Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).
2. Hands-on/control testing experience.
3. Adept at interpreting legal text as a layperson (legal qualifications not required).
4. Knowledge of CO&D processes and supported businesses.
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