Control Management- Associate

You are a strategic thinker passionate about driving solutions in Control Management. You have found the right team

As a Control Management Associate within the Compliance and Operational Risk Evaluation (CORE) team, you will be responsible for preparing the Legal Entity Risk Assessment (LERA) and Qualitative Risk Appetite (QRA) for APAC Legal Entities. You will evaluate processes, risks, controls, and issues, and present your findings to the Legal Entitys board as part of an annual regulatory requirement. This role offers the opportunity to build partnerships with team members and stakeholders, manage key program milestones, and promote process improvements within the team.

Job Responsibilities

• Build partnership with team members, location and business control managers (LCMs & BCMs), and Compliance, Conduct & Operational Risk (CCOR), the Risk assessor to ensure timely and quality completion of applicable phases required in supporting the creation of the annual LERA as below:

  • Conduct qualitative assessments of CORE data prior to submission, raise exceptions, and remediate issues on CORE in collaboration with LCMs and BCMs.

  • Manage the Legal Entity Community of Practice by preparing meeting materials, tracking actions, and documenting feedback from key stakeholders, including Location Controls, Business Controls, Legal, and CCOR.
  • Oversee key program milestones by coordinating communications, tracking ongoing progress and reporting, and managing escalations as needed.
  • Prepare LERA (Legal Entity Risk Assessment) and QRA (Qualitative Risk Assessment) documentation.
  • Coordinate and resolve CCOR challenges in partnership with relevant control managers.

• Partner, build and establish strong relationships with central control teams across regions (APAC, EMEA, US), key stakeholders and data source providers, develop a thorough understanding of the business profile of the Legal Entities we are evaluating and comprehend how the compliance risk and control environment can impact the overall risk ratings

• Participate in key initiatives and drive process improvements within the team

Required qualifications, capabilities, and skills

• Excellent communication (verbal and written) skills
• Masters degree required, MBA (Finance)/CA with minimum 6 years of experience in Risk & Controls role,

• A strong team player with exceptional collaboration and influencing skills, capable of working closely with peers responsible for data analysis and assessments across APAC

• A highly motivated and energetic self-starter who takes initiative, exhibits sound judgement & maturity to recognize risks, provide constructive recommendations and escalate them as needed.

• Strong organizational skills to effectively manage and prioritize multiple tasks while maintaining high focus on quality

• An analytical mindset capable of identifying issues and problem solving at both strategic level and in detail with an understanding of its relevance across the business

• Proficient in Microsoft Office Suite (Excel, PowerPoint, Word)

Preferred qualifications, capabilities, and skills

• Knowledge of Tableau and Alteryx will be an added advantage

• Operational and or Compliance Risk Management would be beneficial

• Understanding of applications like CORE, ELA