You are a strategic thinker passionate about driving solutions in control manager. You have found the right team.
As a CO&D Control Manager within the APAC region, you will manage the controls agenda, supporting a global mandate that includes identifying and monitoring significant risks. Your role will ensure compliance with operational policies, control procedures, and legal/regulatory requirements. You will manage various engagements such as Regulatory Exams, Regulatory Reporting, Internal/External Audits, and Compliance Monitoring and Testing activities. You will also handle special projects and risk assessments. Your role supports the end-to-end CO&D organization across WKO and DDS Operations by providing management with sufficient information to understand and monitor key operational risks and regulatory activities/concerns. As a CO&D Control Manager, you will partner with critical stakeholders including Operations, Cross-Regional control managers, Compliance, Technology, and Audit to ensure alignment to firmwide standards.
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.
- Manage the entire lifecycle of Engagements (planning, fieldwork, and reporting), where necessary.
- 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 manage action plans end to end until issue is resolved.
- 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, LOB 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.
Required qualifications, capabilities and skills
- Ability to work in a fast-paced environment with fluid regulatory and business requirements.
- Demonstrate strong AML/KYC/Operations knowledge, including a solid understanding of the onboarding/KYC lifecycle, systems, and platforms
- Excellent time management, organizational, and planning skills along with ability to handle multiple assignments at the same time.
- Knowledge of Operational management concepts ability to understand and interpret the impact of policy and procedural changes, as well as identify and convey potential problem areas.
- Experience in performing a Strategic end to end review and ability to assess risk and recommend control enhancement
- Experienced and comfortable working with databases, familiarity with database concepts and language.
- Ability to review documentation and provide executive summary overviews and trend analysis.
- Bachelor's degree and/or relevant work experience required.
- Experiencewith Digital Tools / Dashboards (e.g. Alteryx, Pega, Tableau), Proficiency in MS Office (Outlook/ Word/ Excel/ PowerPoint)
