You are a strategic thinker passionate about driving solutions in Controls Management. You have found the right team.

As a Client Onboarding and Documentation Control Management Associate within the Compliance Risk Assessment team, you will work alongside your Control Manager colleagues to ensure a sustainable and disciplined end-to-end control environment. You will be responsible for identifying and escalating issues promptly. Your role will involve supporting the combined utilities of Wholesale KYC Onboarding and Digital Document Services, with a focus on measuring, managing, and reporting Compliance Risk. This includes identifying relevant risks and controls in line with the statutes, laws, rules, and regulations that govern the activities of WKO and DDS, and assessing residual risk. You will manage the non-financial operational risk of these utilities while maintaining an inventory of applicable statutes, laws, and regulations, and proactively managing the pipeline of regulatory change.

Job Responsibilities:

Execute efficiently the identification of controls relevant to specific statutes, laws and regulations (legal obligations). Participate actively in associated quality reviews and ongoing data hygiene activities. Support effectively the preparation, interpretation and review of Compliance Risk Assessments. Keep continuously the control tagging evergreen as the underlying control framework and population of associated legal obligations evolve. Develop expertly and deploy subject matter expertise of local business activities, applicability of rules and regulations and the local legal and regulatory framework. 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 Represent capably Client Onboarding and Documentation in working groups and other meetings for specific Compliance Risk Framework requirements. 

Required qualifications, capabilities and skills:

Relevant experience / knowledge of financial services and financial regulations. Professional, self motivated and able to work in a fast paced, results driven environment with a proven track record of execution against deliverables. Excellent business judgement, particularly the ability to proactively monitor the work stream to identify issues early.  Excellent project management skills and ability to instil structure, process and accountability is essential. Detail oriented, with a highly disciplined approach to process and quality control, attention to detail is critical in this role. Excellent interpersonal skills, comfort with working and partnering with people at all levels and across all functional areas. Ale to motivate and gain consensus among staff to drive initiatives to completion critical.

Preferred qualifications, capabilities and skills:

Bachelor’s degree or equivalent experience required. 3-7 years of experience in financial services industry with background in controls, audit, quality assurance, operational risk management, or compliance preferred; or equivalent subject matter expertise in a relevant business related function/operation. Adept at interpreting legal text as a layperson (note: formal legal qualifications are not required). Knowledge of CO&D processes and the supported business preferred, but not essential. Proficient in Microsoft Office Suite (Word, Excel, PowerPoint).