Controls Manager Associate

Join COD Controls and help strengthen KYC and onboarding outcomes through strategic testing, data-driven insights, and smart automation. Work hands-on with large datasets and AI-enabled tools to reduce manual effort, improve accuracy, and increase transparency. Build your career in a high-impact role that partners across business, technology, and corporate functions to protect the firm and clients.

As a Strategic Testing Control Manager - Associate within Client Onboarding Documentation (COD) Controls, you execute control reviews and testing to ensure KYC/onboarding activities align with firm standards, operational policies, and regulatory requirements. You identify control gaps and BAU operational breaks through data-driven testing, audit-ready documentation, and proactive reviews. You drive AI-enabled simplification and automation-including LLM-based controls and prompt engineering-to improve testing consistency, accelerate turnaround times, and enhance controls monitoring.

Job Responsibilities

• Execute control testing across KYC/client onboarding processes, including CDD/EDD documentation completeness and evidence standards.
• Perform proactive reviews triggered by regulatory, audit, or risk/control partner engagements.
• Assess adherence to policies, laws, regulations, and internal guidelines across LOBs and corporate functions.
• Document scope, sampling approach, results, evidence, and conclusions in an audit-ready manner.
• Identify control gaps, operational breaks, and recurring themes; support root-cause discussions and remediation tracking.
• Communicate results, trends, and systemic issues through clear reporting and executive-ready summaries.
• Simplify and streamline testing and documentation processes using AI-enabled tools, including LLM-based solutions.
• Translate testing requirements into prompt engineering patterns and reusable prompt templates for evidence checks and issue summarization.
• Embed AI into BAU monitoring to surface breaks and control gaps proactively with appropriate governance.
• Maintain deep understanding of KYC/onboarding risk drivers and continuously improve testing methods and standards.
• Identify automation opportunities and contribute new ideas that strengthen continuous learning and innovation.

Required Qualifications, Capabilities, and Skills

• Hold an MBA, CA, or postgraduate qualification in Finance/Banking.
• Bring 7+ years of experience in financial services risk domains such as KYC/AML, financial crimes, operational risk, audit, or client onboarding.
• Demonstrate strong ownership mindset with proactive execution and ability to operate independently.
• Lead stakeholder discussions confidently, ensuring follow-through and timely closure of actions.
• Apply strong knowledge of KYC lifecycle, documentation standards, and key control points.
• Produce clear written and verbal communication, including executive-ready summaries with strong attention to detail.
• Analyze large datasets efficiently to identify trends and patterns and translate them into control insights.

Preferred Qualifications, Capabilities, and Skills

• Leverage prior control testing experience across first line testing, second line oversight, or internal audit.
• Apply control design concepts and root-cause analysis to drive sustainable remediation.
• Use LLMs in control testing for documentation quality checks, issue identification, and summarization with strong prompt engineering.
• Utilize Alteryx, Power BI, Tableau, UiPath, Pega, Python, and Microsoft tools to automate testing and reporting workflows.
• Demonstrate strong critical thinking and problem-solving to resolve complex control questions.
• Collaborate effectively with teams across multiple locations and time zones with flexible working hours.
• Standardize prompt libraries and testing templates to improve consistency and reduce variability.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.