Join the team that is responsible for managing Controls Agenda in APAC.
Your new role will allow you to showcase your knowledge in driving Controls projects and assessments. You will also have many opportunities to leverage both your internal and external stakeholder skills.
As a Client Onboarding and Documentation (CO&D) Control manager, you will be responsible for managing the controls agenda in the APAC region whilst supporting global mandate including identifying and monitoring significant risks, ensuring compliance with operational policies, control procedures, and legal/regulatory requirements, and managing several engagements (e.g. Regulatory Exams, Regulatory Reporting, Internal/External Audits and Compliance Monitoring and Testing activities), special projects and risk assessments. The controls agenda support the end-to-end CO&D organization across Wholesale KYC Operations (WKO) and Digital Document Services (DDS) Operations by providing management with sufficient information to understand and monitor key operational risks and regulatory activities/concerns. CO&D control manager will partner with critical stakeholders including Operations, Cross-Regional control managers, Compliance, Technology, and Audit to ensure alignment to firm wide standards. CO&D is supported by Operations Control Management (OCM) team whose role is to develop and manage a Control Program in each region that identifies and monitors significant risks and ensures compliance with operational policies, control procedures and legal/regulatory requirements.
Job responsibilities
• Effectively manage a caseload of Engagements across CO&D remit including regulatory exams, internal audits, external audits, compliance tests and monitoring activities.
• Review requests for information from examiners, auditors, and testers, and in a timely and effective manner, prepare written responses, or coordinate with subject matter experts to collect, review, and submit responses.
• Develop and maintain strong knowledge of WKO/DDS Ops policies, procedures, and operating model as well as systems/platforms used to carry out these activities.
• Investigate and analyze emerging issues, perform root cause analysis, and work with Operations teams to define and execute plans to resolve the issue.
• Perform internal control reviews to document processes and validate the effectiveness of key controls in the CO&D operational processes.
• Advise on and continually reassess key risks and appropriateness of controls to ensure timely identification of significant risks and issues to support an evolving business & regulatory environment.
• Perform record level testing across different client types to ensure alignment to procedures and quality expectations.
• Develop a cohesive and effective partnership with Senior Business leaders, Compliance teams, local and regional onboarding and banking teams, Oversight and Controls, Legal, Internal Audit and Operations.
• Understand and become familiar with the various data sources, platforms and tools including the flow of data from source systems.
• Provide strategic, clear, and regular updates and key messages to management regarding significant matters, including potential issues requiring timely escalation and resolution.
• Ensure all issues and concerns highlighted during the Engagement, including those not included on the final report, are reviewed, and addressed. Also partner with applicable Action Plan owners and Control Managers to develop and complete test steps to address root cause of the issue.
Required qualifications, capabilities, and skills:
• Minimum 6 years of relevant experience in either AML/KYC/ Compliance,/Risk/Controls within the banking industry is required.
• Develop positive relationships throughout the regions and at multiple levels of the organization.
• Prior exam management, audit or consulting experience is required.
• Self-starter and results-oriented individual who can deliver high-quality results under tight deadlines.
• Experience with Digital Tools / Dashboards (e.g. Alteryx, Pega, Tableau), Proficiency in MS Office (Outlook/ Word/ Excel/ PowerPoint)
• Bachelor’s degree or equivalent
To apply for this position, please use the following URL:
https://ars2.equest.com/?response_id=ae9d9e8b3590d2df926f674e9797433f
