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.