Associate - Finance Risk and Controls Management

Control Management - Associate

You are a strategic thinker passionate about driving innovative and disruptive solutions in risk and controls domain. You have found the right team.

As an Associate in our Finance Controls team, you will define, refine, and deliver set goals for our firm. You will lead the Asset & Wealth Management (AWM) Finance Sarbanes-Oxley (SOX) and CCAR CFO Attestation Programs (CCAP) by directing and coordinating various workstreams. Your role involves performing financial risk assessments and identifying key processes and controls for regulatory filings, including 10-K and FR Y-14 submissions. You will build and maintain process narratives and data flow diagrams for critical business processes and the controls framework. Collaborating with lines of business, finance, internal/external audit, risk, technology, and other stakeholders, you will ensure consistent implementation of the SOX/CCAP framework. You will validate and close SOX/CCAP issues, develop recommendations to strengthen the internal controls framework, and provide strategic and tactical input for key decisions in the risk and controls domain. Additionally, you will design controls for new business initiatives and enhance existing controls as needed. You will develop executive-ready presentations and materials for senior leadership decisions. Furthermore, you will lead and support the design, development, and deployment of Large Language Model (LLM)/AI-promoten solutions to enhance control management and risk analysis. Partnering with technology, business, and control teams, you will deliver AI and other next-generation technology solutions to improve efficiency and support strategic decision-making in risk and controls.

Job Responsibilities 

• Lead Asset & Wealth Management (AWM) Finance Sarbanes-Oxley (SOX) and CCAR CFO Attestation Programs (CCAP) by directing and coordinating the following workstreams.
• Perform financial risk assessments and identify key processes and controls supporting regulatory filings, including 10-K and FR Y-14 submissions.
• Build and maintain process narratives and data flow diagrams for critical business processes and the controls framework.
• Partner with lines of business, finance, internal/external audit, risk, technology, and other stakeholders to ensure consistent implementation of the SOX/CCAP framework.
• Validate and close SOX/CCAP issues and related action plans; develop recommendations to strengthen the internal controls framework.
• Understand business drivers and provide strategic and tactical input for key decisions in the risk and controls domain; design controls for new business initiatives and enhance existing controls as needed.
• Develop clear, executive-ready presentations and materials that facilitate timely, meaningful decisions by senior leadership.
• Lead and support the design, development, and deployment of Large Language Model (LLM)/AI-driven solutions to enhance control management, risk analysis, and other business objectives.
• Lead and support the writing, maintenance, and optimization of Python and other modern programming code to enable automation, analytics, and integration of LLMs into business workflows and reporting.
• Partner with technology, business, and control teams to deliver AI and other next-generation technology solutions that improve efficiency, strengthen business practices, and support strategic decision-making in risk and controls.

Required qualifications, capabilities, and skills

• Bachelor’s degree and solid understanding of typical finance functions in a large financial institution required

• Minimum 7 years’ experience in risk and controls domain and financial consulting

• Experience performing deep dive reviews to identify process, risk and control gaps

• Strong exposure / hands-on experience working with LLMs, AI based solutions , and other new age technologies

• Solid understanding of financial statement structures and US GAAP / IFRS or any local GAAP

• Excellent communication skills and ability to influence business leaders, critical thinking, attention to detail, and analytical skills

• Demonstrated ability to work autonomously to affect change; flexible, adaptable to shifting priorities; manages competing priorities with an objective oriented approach

Preferred qualifications, capabilities, and skills

• CA/MBA (Finance) an advantage

• Knowledge of Alteryx will be an added advantage

• Should be flexible to work in EMEA / partial US shifts