Job Description
The Client Onboarding & Documentation (CO&D) utility is seeking a highly talented Associate to join one of the functional arms of the CO&D Global Controls Team. The team ensures a robust control environment for Wholesale Know Your Customer (KYC) Operations and Digital Document Services (DDS) teams through proactive identification and timely remediation of risk.
This individual will work across multiple business and cross‑functional organizations as a member of the Exam Management team. Exam Management is responsible for managing AML/KYC engagements—including regulatory exams, regulatory reporting, internal and external audits, and compliance tests—alongside special projects worldwide. The role collaborates with WKO KYC Operations, DDS teams, WKO Policy & Procedure, and GFCC Compliance during AML/KYC engagements.
This position manages a caseload of KYC engagements and regulatory reporting activities, following protocols for pre‑exam preparation, on‑site facilitation, post‑exam processes, and regulatory requests. Key responsibilities include engagement coordination, requesting and reviewing materials/data procurement, management reporting, request intake, and issue identification.
Responsibilities
* Effectively manage a caseload of AML/KYC engagements, including regulatory examinations, internal and external audits, and compliance tests.
* Utilize executive leadership and problem‑solving skills to navigate complex global challenges in a fluid regulatory environment.
* Maintain consistent communication with all stakeholders globally, ensuring timely delivery of responsive documentation and tracking/reporting of identified findings and remediation efforts.
* Manage large and complex data requests from regulators.
* Engage and develop effective partnerships with LOB compliance teams, local and regional onboarding and banking teams, oversight and controls, legal, internal audit, and operations.
* Review requests for information from examiners, auditors, and testers, and prepare sample KYC files and responses or coordinate with subject‑matter experts to collect, review, and submit responses.
* Prepare substantial written responses to inquiries, advocating when necessary, by applying the facts of each matter to the applicable laws or regulations at issue.
* Understand and become familiar with the various data sources, platforms, and tools used in the engagement.
* Support automation or other control‑management related projects as required.
Skills
* Ability to work in a fast‑paced environment with fluid regulatory and business requirements.
* Ability to reprioritize workload based on competing priorities.
* Strong presentation, communication, and investigative skills.
* Excellent time management and planning skills, with the ability to handle multiple assignments simultaneously and evaluate complex KYC and data issues.
* Analytical and organized with a systematic thought process and a data‑driven approach.
* Strong working knowledge of compliance, audit, risk, and operational management concepts, and the ability to understand and interpret the impact of policy and procedural changes.
* Action‑oriented and effective listening skills.
* Experienced and comfortable working with databases, with familiarity in database concepts and languages.
* Ability to review documentation and provide executive‑summary overviews and trending analysis.
* A relationship builder who can establish trust and credibility across the organization.
Requirements
* Strong and effective communication and interpersonal skills to develop relationships throughout the region and at multiple levels of the organization.
* Demonstrate strong AML/KYC and data knowledge.
* Bachelor’s degree and/or relevant work experience required.
* Self‑starter and results‑oriented individual capable of delivering high‑quality results under tight deadlines.
* Proficiency with MS Office (Outlook, Word, Excel, PowerPoint).
* Advanced user knowledge of Excel, including the ability to efficiently review and analyze MIS data requests through formulas, pivots, and other data manipulation techniques.
* Relevant years’ experience in compliance, risk/controls, or audit within a corporate banking business of a financial institution (or equivalent experience from a reputable financial consulting or public accounting firm).
Equal Employment Opportunity
We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy, disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs.
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