Client Onboarding & Documentation Control Manager - Senior Associate
Job Type: Full time
As a Control Manager in Client Onboarding & Documentation 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 (e.g. regulatory exams, regulatory reporting, internal/external audits and Compliance tests and monitoring) and special projects globally. You will have the opportunity to interact across the global firmwide Wholesale KYC Operations, Digital Document Services, Client Tax Operations, and the Firmwide KYC Quality Assurance Programs as well as with Corporate Compliance, Corporate Exam Management, Internal Audit and cross - Line of Business (LOB) Control and Operations partners.
- Effectively manage a caseload of AML/KYC Engagements including regulatory examinations, internal and external audits and Compliance tests and monitoring activities. Review requests for information from examiners, auditors and testers, and, in a timely and effective manner, prepare sample KYC files and responses, or coordinate with 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.
- Ensure consistency in communication with all stakeholders globally, including external third parties, consistent delivery of responsive documentation, and tracking/reporting of identified findings and remediation efforts.
- Manage large and complex data requested by regulators. Understand and become familiar with the various data sources, platforms, and tools
- Engage and develop effective partnerships with LOB Compliance teams, local and regional onboarding and banking teams, Oversight and Controls, Legal, Internal Audit and Operations.
- Support automation or other control management related projects as required
Required qualifications, capabilities, and skills
- Excellent and effective communication and interpersonal skills to develop relationships , throughout the region and at multiple levels of the organization. Demonstrate excellent AML/KYC and data knowledge.
- Bachelor’s degree and/or relevant work experience required
- Self-starter and results-oriented individual that can deliver high-quality results under tight deadlines.
- Proficiency with MS Office (Outlook/Word/Excel/PowerPoint)
- Advanced user knowledge of excel required (i.e. ability to efficiently review and analyze data requests by performing internal and intelligent checks via formulas, pivots, and other data manipulation).
- Relevant years’ experience in Compliance, Risk/Controls or Audit within a Corporate Banking business of a financial institution (or this same experience obtained with a reputable financial consulting firm or public accounting firm).
Preferred qualifications, capabilities , and skills
- Ability to work in a fast-paced environment with fluid regulatory and business requirements.
- Excellent presentation, communication, and investigative skills.
- Experienced and comfortable working with databases, familiarity with database concepts and language.
- Excellent time management and planning skills along with the ability to handle multiple assignments at the same time. Sound judgment along with the ability to evaluate complex KYC and data issues.