AML/KYC Escalations Officer II - Data Controls Testing - Senior Associate

As a part of the  Consumer and Community Banking Escalations governance team you will partner with stakeholders across Risk, Compliance, Legal, Technology, and Operations to strengthen governance and execution for AML/KYC Escalations. This role supports a strong governance and control environment while helping reduce manual effort through pragmatic automation and data validation.
This role supports AML/KYC Escalations governance by combining hands-on data validation and pragmatic controls automation (primarily in Alteryx, with basic SQL used for validation and troubleshooting) with execution support for remediation work—tracking tasks and dependencies, coordinating stakeholders, escalating blockers, and driving items to closure.
 

Job Responsibilities: 

• Controls, documentation, and continuous improvement
• Data validation and controls automation
• Remediation cadence, delivery tracking, and execution management
• Stakeholder engagement and cross-functional coordination

Controls, documentation, and continuous improvement

• Maintain audit-ready documentation and evidence to support internal and external reviews, and review controls to identify gaps and implement improvement opportunities. Draft and maintain control write-ups and author/update procedure guides aligned to firmwide standards in partnership with relevant stakeholders. Support control monitoring by tracking exceptions/defects, documenting findings, and driving remediation through to closure.
• Use Alteryx to build and maintain workflows that reduce manual effort and improve the consistency of control execution, and perform data validation/reconciliation to confirm metric accuracy, identify breaks, and escalate themes with recommended fixes. SQL is used on a baseline basis to support data checks and troubleshooting and to validate reporting/controls outputs (comfortable reading or making small edits to simple queries; not expected to be an SME), while also helping maintain clear definitions for key Escalations data elements and metrics to reduce inconsistencies and rework.
• Support UAT for changes impacting Escalations controls, data, or reporting (test cases, execution, defect tracking, results documentation, and sign-off support).

Data validation and controls automation (baseline, learn-and-grow expectations)

Remediation cadence, delivery tracking, and execution management

• Maintain project plans, trackers, and status reporting to ensure clear visibility to progress, risks, and dependencies. Facilitate working sessions, document decisions, and manage follow-ups to keep deliverables on track.
• Operate with a high degree of autonomy in day-to-day execution; escalate when scope or strategic direction decisions are needed. Manage multiple concurrent priorities and coordinate execution across Ops, Tech, Risk, Compliance, and Legal to drive work to closure.

Stakeholder engagement and collaboration

• Partner with Risk, Compliance, Legal, Technology, and Operational stakeholders on line-of-business and cross-functional matters; build strong working relationships to drive alignment and resolve issues efficiently. Communicate clearly and directly—summarize progress, highlight blockers early, and drive closure.

Required Qualifications, Capabilities and Skills:

• Bachelor’s degree in a business discipline or equivalent experience.
• 2+ years in financial services with experience in one or more of: AML/KYC operations, operational risk/controls, UAT testing, process improvement, or automation.
• Strong organization and execution discipline (reliable follow-through, ability to manage multiple priorities, and comfort driving work forward through tracking and follow-up).
• Strong analytical/problem-solving skills and attention to detail.
• Experience with process documentation, procedure development, and/or business requirements.
• Proficient in Microsoft Office (Word, Excel, PowerPoint); familiarity with SharePoint/shared drives and access/security awareness.
• Baseline familiarity with Alteryx (building or maintaining workflows for automation/validation/reporting) and willingness to learn and iterate.
• Working knowledge of basic SQL for validation/troubleshooting (comfortable reading/editing simple queries; not expected to be an SME).
• Excellent written and verbal communication skills; strong collaboration and stakeholder management skills; able to work independently in a fast-paced environment.

Preferred Qualifications, Capabilities and Skills:

• Experience supporting audits/exams and maintaining control evidence.
• Experience with data quality controls, reconciliations, exception monitoring, or defect/root-cause tracking.
• Prior exposure to AML/KYC Escalations, customer exits, screening, or related case/workflow data.