AI Control Manager - Senior Associate

Job Responsibilities

• Conduct AI Risk Assessments on AI/ML solutions deployed within CO&D, ensuring risks are clearly documented, escalated where appropriate, and remediated in a timely manner.
• Ensure all AI/ML solutions within CO&D are compliant within the firmwide AI Governance standards and policies.
• Execute control testing activities as an individual contributor across KYC / client onboarding processes (e.g., CDD/EDD documentation completeness, evidence standards, adherence to procedures).
• Perform proactive reviews as identified through regulatory, audit, or risk/control partner engagement.
• Document testing scope, sampling approach, results, supporting evidence, and conclusions in a clear and audit-ready manner.
• Identify control gaps, operational breaks, and recurring themes; support root cause discussions and remediation tracking with stakeholders.
• Partner with Business, Operations, Control Managers, and other stakeholders to communicate results, trends, systemic issues, and control weaknesses through appropriate reporting.
• Lead hands-on initiatives to simplify and streamline KYC/client onboarding control testing and documentation processes using AI-enabled tools (including LLM-based solutions), focusing on reducing manual effort, improving accuracy, and accelerating turnaround times.
• Translate control testing requirements into effective prompt engineering and reusable prompt templates (e.g., for evidence checks, policy/procedure adherence validation, issue summarization), and iterate prompts based on testing outcomes and stakeholder feedback.
• Determine and share ideas on automation opportunities and actively contribute to the continuous learning mindset of the organization by bringing in new ideas.

Required Qualifications, Capabilities And Skills

• Bachelor's degree in Finance, Business, Technology or a related field.
• Demonstrated understanding of AI/ML concepts, with the ability to evaluate AI systems from a Risk & Controls perspective.
• Self-motivated, proactive “go-getter” with a strong sense of ownership and ability to hit the ground running.
• Strong stakeholder management skills, with confidence in leading and handling calls, driving discussions, and ensuring timely follow-ups.
• Able to manage multiple priorities and engage effectively with stakeholders across functions.
• Able to work with large volumes of data efficiently and analyze large sets of data to accurately identify trends, patterns of problems.
• Hands-on experience simplifying and streamlining processes using AI and automation tools, including practical application of Large Language Models (LLMs) in control testing, documentation quality checks, issue identification, and executive-ready summarization.

Preferred Qualifications, Capabilities And Skills

• Minimum 7+ years of experience in risk management and financial services industry; domains could include KYC, AML compliance, financial crimes, operational risk, audit, credit risk, market risk, business process management, Client onboarding & Documentation.
• Exposure to AI model validation, or AI oversight functions within a financial services institution.
• Prior hands-on control testing experience (first line testing, second line oversight testing, or internal audit).
• Hands on / extensive control testing experience will be an advantage.
• Good knowledge of control design and root cause analysis.
• Strong analytical, critical thinking and problem-solving skills.
• Working knowledge of Alteryx, Power BI, Tableau, UI Path, Pega, Python, and Microsoft Applications is preferred.