Risk & Compliance Quality Associate

About the Role
Quality Assurance Associate — Office of Regulation and Document Governance
Join a collaborative team where curiosity, precision, and strong judgment help strengthen the firm’s regulatory adherence and change management practices. As a Quality Assurance Associate within the Office of Regulation and Document Governance, you will execute evidence-based QA testing, surface control and documentation gaps, and deliver clear reporting to stakeholders across Risk Management and Compliance. You’ll partner closely with colleagues across Legal, Risk, Compliance, and Control functions and gain broad exposure to enterprise governance.
Job Responsibilities
Execute QA sample testing using defined methodologies and test scripts.
Identify control weaknesses, documentation gaps, and potential regulatory issues; escalate risks through established governance channels.
Perform horizontal testing across Sub-LOBs to assess consistency in Performer/Relier tagging and procedure mapping.
Document findings and best practices to strengthen QA standards and lifecycle improvements.
Produce and maintain QA reporting and management information (MIS), including dashboards for Risk, Compliance, and senior stakeholders.
Maintain accurate QA documentation, evidence, and files; ensure traceability and audit-ready outputs.
Communicate complex issues clearly and concisely to stakeholders at all levels.
Own and project-manage a portfolio of QA work from initiation through closure, balancing deadlines and shifting priorities.
Leverage data analytics, automation, and approved AI-enabled solutions (including generative AI where appropriate) to improve testing efficiency and trend identification, with appropriate validation and human review.
Required Qualifications, Capabilities, and Skills
Bachelor’s degree or equivalent recognized qualification.
Minimum 4 years of relevant experience in QA, risk management, compliance, controls testing, audit, governance, or regulatory change management within financial services.
Ability to review and interpret regulatory, legal, policy, governance, or operational documentation.
Strong analytical skills and sound judgment; able to support conclusions with clear evidence.
Proven ownership mindset with strong follow-through and ability to work independently and collaboratively.
Strong written and verbal communication skills; able to influence and align across functions.
Strong prioritization and execution skills; able to manage competing demands and tight deadlines.
Proficiency with Microsoft Excel and PowerPoint; comfort working with data analysis tools.
Working knowledge of issue identification, escalation, remediation, governance, and QA frameworks.
Experience improving AI-generated outputs using prompting techniques, with an understanding of responsible use (human review, validation, transparency).
Preferred Qualifications, Capabilities, and Skills
5+ years of experience in regulatory change management, compliance testing, or internal audit within financial services.
Experience reviewing regulatory obligations, policies, standards, procedures, and/or control documentation.
Experience producing QA metrics, trend analysis, and governance reporting for senior stakeholders.
Familiarity with data visualization/analytics tools (e.g., Tableau, Alteryx, QlikSense).
Experience using automation and/or workflow tools (e.g., PEGA) to improve operational efficiency and reporting.
Working Hours: 1:00PM to 10:00PM India time