Risk & Controls Analyst Resume Samples

4.5 (86 votes) for Risk & Controls Analyst Resume Samples

The Guide To Resume Tailoring

Guide the recruiter to the conclusion that you are the best candidate for the risk & controls analyst job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

Craft your perfect resume by picking job responsibilities written by professional recruiters

Pick from the thousands of curated job responsibilities used by the leading companies

Tailor your resume & cover letter with wording that best fits for each job you apply

Resume Builder

Create a Resume in Minutes with Professional Resume Templates

Resume Builder
CHOOSE THE BEST TEMPLATE - Choose from 15 Leading Templates. No need to think about design details.
USE PRE-WRITTEN BULLET POINTS - Select from thousands of pre-written bullet points.
SAVE YOUR DOCUMENTS IN PDF FILES - Instantly download in PDF format or share a custom link.

Resume Builder

Create a Resume in Minutes with Professional Resume Templates

Create a Resume in Minutes
BM
B McCullough
Blanca
McCullough
73292 Lueilwitz Fall
Houston
TX
+1 (555) 349 3114
73292 Lueilwitz Fall
Houston
TX
Phone
p +1 (555) 349 3114
Experience Experience
Houston, TX
Risk & Controls Analyst
Houston, TX
Langosh LLC
Houston, TX
Risk & Controls Analyst
  • Supporting/co-ordinating the Annual Risk Assessment process
  • Reviewing policies and procedures to ensure risk and controls have been considered
  • Supporting in the preparation of risk reports to Management
  • Escalating risks, control weaknesses or compliance breaches
  • Logging of incidents into FORECAST
  • Working knowledge of Risk & Controls within a technology environment
  • Risk & Controls Governance: Coordinate the resolution of Client data risk and control issues, audits, corrective actions globally
Phoenix, AZ
Senior Risk & Controls Analyst
Phoenix, AZ
Bechtelar, Mohr and Hickle
Phoenix, AZ
Senior Risk & Controls Analyst
  • Define standards and implement enhanced risk and internal control processes across S&P Global Ratings, including periodic controls assessment, integration with risk assessment, continuous monitoring and testing and sufficiency of internal control resources
  • Drives process enhancements through the global organization to ensure alignment to S&P Global Ratings Internal Control Structure. For example, alignment of self-identified and independent review findings to the Risk and Control Framework and periodic assessments
  • Drives ongoing risk and internal control activities across the organization, including the semiannual controls assessment and the annual assessment of internal control resources
  • Performs the annual assessment of the effectiveness of the internal control structure, identifies gaps and recommends improvements to the Controls Working Group
  • Prepares regular reporting on the effectiveness of the internal control structure to the Risk Committee, Audit Committee and the various Board of Directors
  • Monitors the remediation of internal control deficiencies
  • Supports requests for information from management and/or the Regulators on risk and control activities
present
Los Angeles, CA
TTS In-business Risk & Controls Analyst, Dir
Los Angeles, CA
Collier LLC
present
Los Angeles, CA
TTS In-business Risk & Controls Analyst, Dir
present
  • Continual process improvement on MCA program: Identification of improved / enhanced processes and/or new processes that should be included
  • Make recommendations for future prevention
  • Effective Manager's Control Assessment programs Support, Oversight and Management
  • Improvement of IBAM rate
  • Oversight for TTS Issue and Cap Monitoring and Management
  • Provide ongoing support to business
  • Deeper exposure to TTS operating environment across all products through engagement with the MCA program
Education Education
Bachelor’s Degree in Related Field
Bachelor’s Degree in Related Field
The University of Alabama
Bachelor’s Degree in Related Field
Skills Skills
  • Excellent analytical ability and proficient technical skills
  • Basic knowledge of
  • Ability to influence others and quickly earn the confidence of others
  • Good verbal and excellent written communication skills
  • Quick learner and able to work in a diverse, global environment
  • Good knowledge of Service Now
  • Strong attention to detail
  • Possess the ability to develop and maintain good working relationships with various levels of management
  • Strong attention to detail, high level of accuracy and problem solving skills
  • Strong knowledge of Microsoft Office with Excel, Outlook, and PowerPoint skills
Create a Resume in Minutes

15 Risk & Controls Analyst resume templates

1

Risk & Controls Analyst Resume Examples & Samples

  • This position, based in Buffalo, will report to the Head of Client Data Risk & Controls in New York. It falls within the domain of the Global Head of ISG Risk & Controls based in London
  • Risk & Controls Governance: Coordinate the resolution of Client data risk and control issues, audits, corrective actions globally
  • Policy & Procedure: Policy and procedure development, standardization, awareness, and enforcement across the NAM, APAC, and EMEA regions -
  • Controls Testing: Conduct testing of policies, procedures, controls and assess their adequacy and sufficiency
  • Advisory: Provide subject matter expertise and trusted advice on risk and control issues to ISG Management
  • Relationship Management: Develop strong partnerships with AMC IT, EDM OPS, Global Risk & Control counterparts, Internal / External Auditors, Regulators, Compliance / Legal, Enterprise Risk Management, and Business Stakeholders. Liaise with Auditors/Regulators to provide requested information. Respond to IMRs, MRIAs, CAPs raised
  • Self Assessment/ Review: Conduct quarterly MCA reviews. Open CAPs when control weaknesses or breakdowns in procedures are detected. - Prepare Annual Risk Assessment Plans reflecting current operating environment and control infrastructure -Review adherence to current operating procedures. Create / modify procedures to reflect new requirements or technological enhancements
  • Track CAPs through ultimate resolution. Projects/ Metrics - Review monthly AMC Data Quality Metrics. Direct remediation efforts for data quality threshold breaches
  • Assist / drive regional risk and control related projects: Present findings / recommendations at monthly Risk & Control forums
  • Technology/ General - Contingency planning: Ensure contingency plans are executable, documented and tested
  • Knowledge of risk and controls gained through previous roles -
  • Understanding of Citi’s internal risk & controls policies and processes and the ability to quickly identify areas of weakness
  • Regulatory concepts and other key areas of risk within the operations and data environments
  • Risk & Control Business Analysis experience in the Financial Services industry
  • Experience with data profiling and information audit techniques
  • Familiarity with Institutional Banking and Securities Operations
  • Knowledge of reference data risk and control frameworks
  • Knowledge of business process reengineering and business modelling concepts, business systems development, and analysis
  • Strong verbal communication skills with ability to be assertive
  • Strong analytical skills and writing skills, including solid experience in writing functional and technical specifications
  • Ability to work with various levels of management and build and maintain effective working relationships
  • Ability to work closely with IT Project managers and development teams
  • Proven success in a team environment and strong influence / negotiation skills
  • Advanced knowledge of MS Office suite (Word ,Excel, PowerPoint
  • Ideal candidate will have over 5 years of relevant work experience in the Financial Services industry and over 3 years relevant experience
  • Exceptional candidates who do not meet these criteria may be considered for this position provided they have the requisite skills and experience
  • Ability to influence negotiate and build strong relationships at various level
  • Planning and organizing, with close attention to detail
  • Can make decisions quickly based on available information
  • Ability to work on several initiatives concurrently and cope with changing priorities
  • Ability to put together senior management presentation material
  • Strong teamwork skills in a local setting, as well as across different geographic locations
2

Assistant Market Risk Controls Analyst Resume Examples & Samples

  • Interactions and visibility with senior management, risk managers and auditors
  • Ensure the timely delivery, data integrity and completeness of monthly KPI/KRI metrics at a granular business line, source system and entity-specific level
  • Consistent communications and follow-ups with the Risk managers, Risk reporting and IT teams to collate detailed commentaries on the root causes and potential remediation of issues identified
  • Maintain and update comprehensive procedure documentation, change management controls and archives for relevant metrics processes
  • Fresh graduates welcome, previous working experience in MIS reporting, Market Risk or related Control function preferred
  • Strong analytical skills with an acute eye for detail
  • Excellent written and verbal communication skills, English language fluency
  • Effective stakeholder management skills and ability to understand business process flows
  • Highly self-organized, good time management, tracker and chaser and ability to deliver on tight deadlines
  • Proficiency in Oracle SQL, MS Access database, MS Excel and VBA
3

Markets Risk & Controls Analyst Resume Examples & Samples

  • Oversee daily regulatory reporting processes and compliance with internal or regulatory initiatives
  • Bachelors degree in Computer Science, Business Administration, Economics, Finance or Accounting
  • Series 7, 24 a plus
  • Exposure to database and Data Warehouse applications a plus
4

Assistant Market Risk Controls Analyst Resume Examples & Samples

  • Work closely with the Risk reporting, IT, Finance and Strategic Risk Project teams to align the business organizational hierarchies used between Risk and Finance
  • Evaluate impact of the alignment, communicate changes to affected parties, obtain necessary approvals and implement consolidated changes within agreed timelines
  • Early identification and prompt escalation of significant or material issues to ensure smooth delivery of project milestones
  • Generate targeted MI reports for various senior management forums
  • Maintain comprehensive issue logs, procedure documentation, version controls and archives
  • Project coordination support and communications to global project managers to resolve issues, breaks and control gaps identified
  • Participate in the roll-out of enhancements in risk systems, controls processes and databases
  • Undertake other adhoc projects or requests as necessary
5

Citibank Berhad Kl-senior Risk & Controls Analyst Resume Examples & Samples

  • Degree in Banking or Finance with 7 years in Operations Risk, Internal Audit or Risk Management
  • A mature person who is able to adapt to a fast paced highly regulated operating environment
  • Results oriented with excellent follow-up skills and meticulous attention to detail
  • Ability to manage multiple tasks and prioritize them to meet deadlines
  • Fast learner who is required to work independently with minimum supervision
  • Confident in interacting with peers, seniors and business unit heads
  • Internal relationship management skills with respect for others at all levels
  • Computer literate in MS Office and Sharepoint
  • Strong written and verbal skills in English
6

Regional O&T Risk & Controls Analyst Resume Examples & Samples

  • Reviewing management-raised issues and weaknesses raised by Internal Audit reviews and external examinations to identify emerging risks and common themes and to document these in actionable reports for regional and country process and product owners and control managers
  • Engaging with the respective regional process and product leads to identify regional preventive and corrective actions as a result of the risk and control analysis
  • Strengthening the IBAM (Issues Being Addressed by Management) process, enforcing and tracking country level adherence and monitoring the IBAM trend with the aim of materially improving the underlying components of IBAM
  • Reviewing, trending and initiating actions to improve the balance of Management Scorecard Metrics including On-Time Remediation (OTR), Reopen Rate (ROR) and Escalated Control Issues (ECIs)
  • Leading and coordinating mid-size control projects such as Decentralized Audit and Regulatory Review Tracking (DAART), Consolidated KRI Reporting, Reporting Rationalization and other projects of typically one to three months duration
  • Supporting key projects through quantitative and qualitative risk and control analysis, coordination of project sub-workstreams and progress tracking
  • Developing and maintaining a Lessons Learned process for risks and issues identified during Country Health Check reviews that ties into the overall regional Lessons Learned process
  • Supporting the Regional Country Health Check Lead in the identification of suitable countries to undergo the Health Check review through analysis of risk exposure and key risk indicators
  • Coordinating elements of Health Check reviews including the identification of suitable reviewers, request and tracking of deliverables and general review coordination
  • Participation in Health Check Reviews as may be relevant
  • Minimum of Bachelor’s degree or equivalent professional qualification
  • Minimum of three years in the financial services industry, with at least one year of relevant experience in an Internal Audit, Risk Management or Control Management-related role (includes experience in products and operational processes that relate to controls)
  • Good basis in key risk and control concepts, tools and trends relating to risk identification, rating and prioritization, mitigation and reporting
  • Understanding of banking processes and products, as well as Operations and Technology
  • Ability to manage and coordinate through influence (e.g. coordination in the absence of reporting lines)
  • Ability to build rapport and work closely with key country and regional stakeholders and partners
  • Ability to multi-task and manage concurrent tasks, initiatives and deliverables
  • Proficient in the use of basic Microsoft applications (Word, Excel, PowerPoint)
7

Lead Risk & Controls Analyst Resume Examples & Samples

  • Liaison to business partners within the following areas: Internal Audit, Business Continuity, Compliance, Legal, Risk, Outside Consultants and External Auditors
  • Responsible for review, design, and testing of internal controls and remediation plans on behalf of the Asset Management lines of business; mitigating operational risk
  • Plan, perform and document RCSAs throughout the Asset Management organization
  • Provide support to business units related to contingency planning
  • Coordinate testing efforts with Internal Audit, Compliance, Risk Management and other testing functions within the business
  • Perform ad hoc projects as assigned to assist in analyzing the risk and control environment related to the investment lifecycle
  • Design, implement, maintain and support enterprise wide GRC
  • Management and oversight of business unit specific Vendor Governance program
  • Review of OFAC requests (as needed)
  • 5+ years’ experience in a risk and control related function required
  • Solid understanding of regulatory agencies (e.g., FINRA, SEC)
  • Knowledge of SSAE16 and supplier governance program
  • Strong Internal Controls assessment skills (Level 1, 2, 3)
  • Investment industry experience preferred
  • Knowledge of Process Improvements, Six Sigma, LEAN and project management a plus
  • Customer oriented with the ability to form relationships across the organization
  • Organized and a keen attention to detail is critical
  • Knowledge of Microsoft SharePoint and PowerPoint
  • Effective time management skills are critical
8

Risk & Controls Analyst Resume Examples & Samples

  • Manage a team of people locally and remotely. Be responsible for staff development and appraisal activities. Assign workloads, ensure continuous improvements and quality of deliverables
  • Experience of managing teams locally and remotely
  • Excellent interpersonal, written and verbal communication skills
9

Infrastructure Risk & Controls Analyst Resume Examples & Samples

  • Partner with the GSO Controls, Resiliency, Risk, Hygiene and Asset Management teams to implement consistent controls and practices across operations
  • Ensure all RCSA artifacts are appropriately completed including: end to end process flows used to facilitate the identification of risks and controls, handshakes, risk and control matrix, residual risk reviews etc
  • Examine the effectiveness of controls; assign control ratings that are appropriately supported/justified
  • Partner with Asset Management Oversight & Control, Risk, Technology and Information Risk Management to increase risk awareness and drive efforts to strengthen the control environment
  • Understand and comply with regional and regulatory requirements pertaining to GTI-GSO Independent thinking, willingness to "step outside the box" and take reasonable, calculated risks and demonstrated ability to be reliable and flexible
  • Identify opportunities for process improvements to deliver increasing operational efficiency in the processes
  • Lead / Participate in other ad-hoc risk initiatives with minimal supervision
  • 5-7+ years of professional experience within Information Technology
  • 3+ years of Infrastructure experience with Systems Administration
  • 2-3+ years of experience with either IT Risk and Controls, IT Audit or IT Asset Management/Governance
  • Middleware experience is preferred
  • Working knowledge of the Risk Management systems is preferred
  • Previous experience in Project Management and & ITIL (Incident, Problem, Change Management) methodology is a plus
  • Preference given to individuals with demonstrated knowledge/background in internal control principles
  • Excellent software skills: MS Office Suite (PowerPoint, Word, Excel, Access, Project), SharePoint
  • Problem-Solving Skills: research, gather, arrange, compile, summarize and evaluate data in recommending solutions
  • Strong analytical/writing skills, ability to quickly analyze information and creatively reach solutions
  • Proven ability as a self-starter, detail-oriented, well organized, strong decision-making skills
  • Detail oriented; committed to quality and continuous improvement
  • Ability to operate in grey spaces and adapt to work flow variation and change
  • Ability to function productively in a fast paced changing environment
  • Ability to conceptualize and quickly understand new processes
  • Bachelor’s Degree in Technology or equivalent experience
10

Organizational Risk & Controls Analyst Resume Examples & Samples

  • Bachelor’s degree in related field or equivalent combination of education and experience is required
  • Minimum of five years of job related experience including three years auditing (operations, IT, or compliance), risk and controls assessment, or financial services operational controls experience is required
  • Ability to apply excellent customer service and analytical skills, while developing collaborative working relationships with both internal and external contacts
  • Ability to provide creative solutions in a high-pressure and short-timeline environment that do not adversely impact the business areas, yet still allows the bank to maintain operational and regulatory compliance
  • Strong project management skills with the ability to multi-task, keep multiple projects and issues on track simultaneously, and work independently and with minimal supervision
  • Ability to effectively communicate, both orally and in writing with colleagues, management, and executives as well as with regulators and other third parties as applicable
  • Working knowledge of Microsoft (MS) with an intermediate to advanced level of proficiency in word processing (Word) and spreadsheet (Excel) software applications is required
  • Intermediate to advanced level of proficiency in Business Objects and First Data software applications and proficiency in use of analytical packages and query languages used to analyze customer databases (SQL and TOAD) highly desired
  • Represent Nordstrom to our Customers in a professional manner at all times
  • Adhere to all Bank policies, procedures, and practices
  • Maintain a clean, safe, and accident-free work environment and comply with Bank safety rules
  • Understand the value, respect, and care of Bank assets
  • Treat all customers and employees in a fair and equitable manner
  • We offer a comprehensive benefits package that includes medical, vision and dental coverage, a fabulous merchandise discount, an employer-matched 401(k) plan and much more
11

IT Risk & Controls Analyst Resume Examples & Samples

  • Responding to CSA and RCSA control tests within required timeframes
  • Coordinating risk related responses with process owners
  • Providing status and communications to RSM and Risk teams
  • Conducting controls tests, documenting test results as evidence for substantiation
  • Assist with identification of control risks that require remediation
  • Develop control risk remediation action plans for approval by process owners
  • Coordinate the implementation of the action plans with appropriate systems developers and process owners
  • Communicate action item status with Phoenix and to LOB stakeholders
  • Provide management status communications
  • Work with RSM and Risk teams to develop a calendar of future control tests
  • Coordinate pre-RCSA process assessments with LOBs
  • 5-7 + years of professional experience within Information Technology
  • Experience with Risk and Controls, Audit, Compliance or Governance is preferred
  • Experience with Incident/Problem Management process support is a plus
  • Excellent writing skills; ability to accurately summarize test findings
  • Experience working as a business analyst; documenting specifications for IT related enhancements is a plus
  • Experience working with Microsoft applications; Word, Excel IE (and other browsers: E.g. Firefox), Outlook mail and calendaring
  • Ability to take the lead on completing assignments with minimal direction
  • Detailed oriented – required to successfully perform control tests
  • Experience working within a global organization
12

Senior Risk & Controls Analyst Resume Examples & Samples

  • Highly motivated individual with a broad array of financial & accounting knowledge
  • Self-starter with technical, analytical, planning, & organization skills (excellent attention to detail)
  • Strong problem solving, teamwork, business writing, & communication skills
  • Advanced computer skills (extensive use of SAP, Excel & PowerPoint)
13

Risk & Controls Analyst Resume Examples & Samples

  • Assist Lisbon with production of all Weekly and Monthly MI for Banking Services including Risk and Controls pack for the CCS MBR, Monthly Risk and Controls meeting, and Fortnightly breaks/IRIS meeting
  • Production and distribution of statistics on volumes etc. to Operational Risk teams
  • Provide statistics and data analysis around breaks and incidents logged in BIRDIE
  • Act as a contact point for BIRDIE issues within in both operational teams, helping with static data updates and technical issues
  • Logging of incidents into FORECAST
  • Follow up of BIRDIE and FORECAST action points
  • Help with quality control of incidents logged in BIRDIE, ensuring that incident descriptions and corrective actions are correctly completed
  • Complete monthly reconciliations between Midas incident P&L accounts and IRIS for both UK Finance and Paris Controls Team. Chase up and help resolve any differences
  • Ad hoc reporting for senior management projects and management support tasks
  • Follow up and help on closing of all recommendations (Internal audit, external audit and Compliance)
  • Work closely with the different areas including: Local and Global custody teams, Broker Dealer Outsourcing, Operational Risk, Compliance and Audit from a Risk and Controls perspective
  • Development and testing of Second Level controls
  • Maintenance of Rome database and Key Risk Register, including challenging the validity of the risk ratings and controls
14

Risk & Controls Analyst Resume Examples & Samples

  • Conduct risk assessments of current business practices and controls
  • Identifies the significant auditable areas
  • Researches laws and regulations as applicable
  • Develops the nature and extent of the audit scope to address risk including data reporting, data integrity and fraud prevention
  • Partner with internal clients to ensure appropriate controls are defined and consistently executed
  • Act as a security SME to answer questions and problem solve to ensure users obtain appropriate security access to our applications
  • Use discretion and decision making skills to evaluate and approve exception access requests, taking into consideration appropriate controls and segregation of duties
  • Develop and implement security procedures, modifying existing procedures to enhance controls and efficiencies or implementation of new procedures as appropriate
  • Perform system security and other controls issues from application analysis, new project meetings, or exception requests
  • Applicant should have 5+ years of related business experience (preferably with an employee benefits outsourcing company). Domain expertise is essential
  • Strong analytical, problem solving, interpersonal and communication (written and oral) skills
  • Ability to prioritize tasks and handle multiple tasks simultaneously in a changing work environment
  • Demonstrated ability to plan, manage and execute projects while ensuring deliverables and specification are met
  • High degree of discretion and independent judgment with an understanding of standard operating procedures
  • Strong knowledge of MS Office Suite, specifically Excel, Outlook and Word
15

Central Risk & Controls Analyst, Assistant VP Resume Examples & Samples

  • Accountable to help develop documents, meetings and reporting to stand up the risk and controls function and to maintain regular frequency reporting
  • Bachelor’s degree in Business, Finance desirable
  • Past experience in operational risk, compliance, audit or controls
  • Good PowerPoint and excel skills, ability to use Open Pages and reporting tools
16

IPB Risk & Controls Analyst Resume Examples & Samples

  • Audit experience in Financial Institutions
  • 3+ years of previous banking experience (AML and Operational Risk Management experience is a plus)
  • Specific experience working in compliance internal controls or audit role for financial institutions preferred
  • Requires understanding the legal and regulatory environment of the business
  • Proficient in the use of Microsoft applications (Word, Excel and PowerPoint)
17

Risk & Controls Analyst Resume Examples & Samples

  • Bachelor’s Degree and 5+ years of experience in IT audit or Governance, Risk and Compliance
  • Technical accounting knowledge
  • Strong analytical and strategic planning skills
  • Solid negotiation skills
  • Initiative and drive to pay attention to details and remain customer focused
18

Risk & Controls Analyst Resume Examples & Samples

  • 1+ year of experience in Finance and Risk & Controls
  • College Degree or currently in Graduate School
  • Microsoft Office/Suite proficient (Excel, Word and PowerPoint)
19

Senior Risk & Controls Analyst Resume Examples & Samples

  • Evaluates the impact of issues in the market, business changes, new and changed regulations on risk and internal control, identifies the required changes in S&P Global Ratings Internal Control Structure
  • Define standards and implement enhanced risk and internal control processes across S&P Global Ratings, including periodic controls assessment, integration with risk assessment, continuous monitoring and testing and sufficiency of internal control resources
  • Drives process enhancements through the global organization to ensure alignment to S&P Global Ratings Internal Control Structure. For example, alignment of self-identified and independent review findings to the Risk and Control Framework and periodic assessments
  • Drives ongoing risk and internal control activities across the organization, including the semiannual controls assessment and the annual assessment of internal control resources
  • Performs the annual assessment of the effectiveness of the internal control structure, identifies gaps and recommends improvements to the Controls Working Group
  • Prepares regular reporting on the effectiveness of the internal control structure to the Risk Committee, Audit Committee and the various Board of Directors
  • Prepares annual reporting on the effectiveness of the internal control structure to the SEC and other applicable regulators
  • Monitors the remediation of internal control deficiencies
  • Supports requests for information from management and/or the Regulators on risk and control activities
  • Communicates sensitive information, modifies beliefs or opinions based on collective facts or direction that has been set
  • Strong communication skills, both oral and written, and the ability to communicate clearly with constituents at various levels of the organization, including senior management as needed
  • Works independently to produce deliverables that are in near finished form, understandable and at the appropriate level of detail depending on the audience (e.g. staff vs senior management)
  • Ability to build effective relationships with management and staff in other departments with a proven record of building trust and credibility
  • Routinely impacts quality, timelines of results, planning and revenues or budgets of own team and related teams and frequently sets policies, procedures and standards
  • Delivers significant impact on internal control activities within the global organization, particularly in the practice areas and operations, data and IT
  • Identifies valuable improvements to internal control activities conducted on a global basis
  • Acts effectively as a change agent for the risk and control culture within the organization
  • Manages own work and allocates or coordinates the work of others but does not have full management responsibilities. Focus of the oversight is limited to quality and completion of work or tasks
  • Demonstrates leadership skills through ownership of issues through their resolution including driving decisions through the organization
  • Effectively manages multiple results within multiple disciplines
  • Establishes effective, collaborative relationships with the business and control functions
  • Sought out by management in other functions (legal, compliance, practice) for input on risk and internal control
  • Analytical thought needed to resolve issues in a variety of complex situations. Considers best practices and lessons learned to evaluate solutions. Makes decisions after analyzing multiple sources, internal and external
  • Analyzes complex and not well defined risk and control requirements and conceptualizes and designs solutions that appropriately consider risk and global needs
  • Experienced in the design of a multitude of diverse risk and control processes and deployment in global organizations
  • Works independently to drive the design and implementation of pragmatic processes to support our internal control structure
  • Strong attention to detail to deliver consistent high quality deliverables in near finished form. Develops effective business cases that are agreed by management that appropriately balance risk and cost
  • Applies broad knowledge of risk and internal control to multiple functional disciplines, geographies and specific business situations
  • Works effectively in new areas and learns new technical concepts
20

Risk & Controls Analyst Resume Examples & Samples

  • Work with the team to develop, implement and coordinate local operational risk oversight arrangements, policies, framework and processes
  • Co-ordinate the recording, coordination and timely reporting of Loss Events and Key Controls status
  • Support collation, tracking and quality control of risk appetite metrics across all risk types
  • Provide input to routine Risk reporting for senior management and oversight committees
  • Attendance at supplier oversight meetings and review and challenge of risks within supplier relationships
  • Degree level qualification and experience in Financial Services preferable
  • Experience of Operational Risk, or Risk/Compliance/Audit role preferable
  • General awareness of risk and control tools and methodologies
  • Knowledge of insurance and investment products and services
  • Good verbal and excellent written communication skills
  • Good numeracy and analytical skills
  • Ability to build effective relationships across the business
  • Positive and supportive outlook in line with the team culture
21

Business Risk & Controls Analyst, Cleveland Resume Examples & Samples

  • Identify findings and assist with remediation plans, and exception requests, escalating risks and issues outside of risk appetite, as applicable
  • Develop understanding of risk management requirements for new business/product initiatives, product/process changes, regulatory changes/guidance and third party activities
  • Under the Direction of the BRC Manager for ECP, facilitate understanding of risk management requirements for new business/product initiatives, product/process changes, customer complaints, losses, customer facing materials, regulatory changes/guidance and vendor/third party activities
  • Assist with implementation of risk management policies, programs and procedures by participating in projects and reviewing documentation
  • Actively engage with line of business and corporate risk management partners to understand and assess risks across Key Corporate Bank and standardize risk management processes and reporting
  • College degree or equivalent work experience with emphasis on business and risk management. J.D. preferred
  • Demonstrated ability to be self-motivated, build and manage relationships, and work in a dynamic, fast paced team environment
  • Demonstrated ability to work in a team environement
  • Strong interpersonal skills and the ability to interact effectively with external and internal clients including executive managers, along with building and sustaining collaborative relationships
22

Risk & Controls Analyst Resume Examples & Samples

  • Assist in planning, designing and implementing overall risk management process for the platform
  • Conduct audits of policy and compliance to standards
  • Check that all essential documents are implemented and complied with
  • Assist in the development of business continuity plans to limit risk and prepare for disaster recovery
  • Assist with developing an understanding of regulatory compliance
  • Assist in developing an understanding of essential components of quality compliance
  • Communicate using management lines on issues identified as concerns
  • Provide written reports of any audits undertaken requiring corrective action in services to the Audit, Risk and Compliance
  • Maintain internal audit schedule
  • Advise the Manager immediately of any critical issues relating to audit, risk and compliance
  • ITILv3 Certified
  • Good knowledge of Service Now
  • Good understanding of IT Production environments
  • Good understanding of IT infrastructure
  • Basic knowledge of
23

Risk & Controls Analyst Resume Examples & Samples

  • MS Excel, Word, Power Point and Outlook proficient
  • ARIS proficient (desirable)
  • Thorough understanding of how to develop a key controls framework
  • Understanding of the importance of IS & Programme controls
  • Thorough understanding of what delivers great customer service
  • Be able to display confidence and creditability
  • Ability to prioritise deliverables and plan accordingly
24

TTS In-business Risk & Controls Analyst, Dir Resume Examples & Samples

  • Effective Manager's Control Assessment programs Support, Oversight and Management
  • Implementation and oversight of standard PRCs Globally
  • Provide ongoing support to business
  • Ongoing Monitoring of MCA program
  • Continual process improvement on MCA program: Identification of improved / enhanced processes and/or new processes that should be included
  • Promoting consistency and standardization
  • Improvement of IBAM rate
  • Accurate metrics reporting and escalation to the business stakeholders – Regional and Global
  • Oversight for TTS Issue and Cap Monitoring and Management
  • Ongoing monitoring on Cap and Issue target dates
  • Monthly evaluation of issues
  • Report generation and follow-up’s
  • Operational Losses and Near Miss Reviews & attestations – Weekly, Monthly and Quarterly
  • Trend identification
  • Make recommendations for future prevention
  • Operational Risk Management Policy & Standards: Support to ensure adherence to Citi and TTS Operational Policies and standards and effective roll out of new and revised policies including: monitoring of operational risks and controls, enhancements to mitigate operational risk, KOR and KOR metrics, Risk and Regulatory Compliance, and support in the creation of a consistent In Business Controls infrastructure across the TTS business
  • Education: Bachelor’s Degree or equivalent experience (MBA a plus)
  • 8+ years of related experience in MCA program, operations processes and/or business control & compliance functions
  • Experience, or exposure to TTS Transaction processing, a plus
  • Risk based thinking and analytical mind set
  • Program/ Project Management experience a plus
  • Ability to work effectively and drive results with a virtual global team
  • Strong experience in analytics and problem solving
  • Ability to multi-task and manage concurrent projects and deliverables
  • Proficient in MS Suite of application
25

Risk & Controls Analyst Resume Examples & Samples

  • 2 to 3 years of relevant business experience with exposure to internal controls (i.e. audit, operational risk, finance-SOX)
  • Strong analytical and research skills able to synthesize information to provide practical business solutions to accomplish pragmatic, meaningful results
  • Ability to develop a thorough understanding of control concepts and practices
26

ICG Risk Controls Analyst Resume Examples & Samples

  • Partner with the ICG Risk Global Controls Officer and staff to set the strategy to build a strong ICG Risk Control framework and share lessons learned more broadly through Risk and Citi global functions and businesses
  • Lead ICG Risk’s Controls reporting responsibilities as well as internal and external informational requests impacting the controls framework
  • Develop a granular understanding of the drivers behind control issues and provide standardization of the relevant processes used to manage the control environment
  • Help coordinate ICG Risk’s Manager’s Control Assessment processes inclusive of the Annual Risk Assessment
  • Review internal and external assessments to identify gaps and key themes across ICG Risk
  • Build a strong understanding of core controls systems, including, but not limited to MCA, Integrated Corrective Action Plan System (iCAPS), Regulatory Exam Management System (REMS)
  • Preferred Experience: Operational Risk, Controls Coordinator, Project Management, Risk Architecture, Risk
  • Familiarity with Citi’s Risk systems and comfortable and eager to learn new systems
  • Methodical and proactive thinker with strong organizational and follow-up skills
  • Proven time and task management skills with the ability to multi-task effectively and promptly
  • Highly proficient in Excel, PowerPoint and data management/ mining
27

Market Risk & Controls Analyst Resume Examples & Samples

  • Liaise with CRIS members globally (and if necessary with Market Risk Management) to coordinate controls/governance activities - and in the process become a subject matter expert on all governance/control activities within CRIS Market Risk
  • Act as a co-ordination and advice point for CRIS Market Risk teams on Operational Risk incidents and liaise effectively with Risk Oversight
  • Represent CRIS Market risk in relevant Market Risk forums and prepare inputs that feed into these forums including design of dashboards for reporting on the controls
  • Assisting in projects and BAU processes relating to key dimensions of Data Quality – Timeliness, Accuracy and Completeness of Risk reported
28

Risk & Controls Analyst Resume Examples & Samples

  • Control Self Assessments (CSA/ICA)
  • Prior controls experience required
  • Ability to work in deadline oriented and controlled environment
  • Working knowledge of Risk & Controls within a technology environment
  • Ability to demonstrate flexibility and adaptability to rapidly changing business and technology needs
  • Self motivated and proactive with the ability to work in a team
  • Excellent knowledge of firm data protection standards
  • ISACA certification (CISA/CISM/CRISC/CGEIT) preferred
  • Proficient in IT Controls practices
  • Strong attention to detail, high level of accuracy and problem solving skills
  • Organizational, time management and multi-tasking skills
  • Strong presentational skill sets verbally, visible and written
  • General knowledge of Microsoft Office Suite
  • Strong communications, interpersonal, and consultative skills
  • Ability to take initiative and use proactive approach
  • Excellent analytical ability and proficient technical skills
29

Risk & Controls Analyst Resume Examples & Samples

  • Support the Control Self-Assessment framework and methodologies within ECS
  • Act as a liaison to ECS throughout the entire CSA process
  • Coordinate CSA/ICA Testing and perform the QA of the workpapers
  • Coordinate controls testing across all 3 ECS platforms
  • Risk & Control Self Assessment (R&CSA)
  • Support the R&CSA process testing for ECS
  • Coordinate controls testing across ECS and perform the QA of the workpapers
  • Phoenix Issues & Action Plans
  • Support the coordination of identified issues in Phoenix and the remediating Action Plans
  • Perform quality checks and reporting for management review
  • Support the RFI management for Audits
  • Provide reporting for management review
  • Risk and Control Governance
  • Provide support for programs such as ACA, Break management, Issue management
  • Administrative tasks for Risk and Control reporting, follow-ups, and governance
  • Five plus years of relevant work experience required
  • Ability to work in a deadline-oriented and controlled environment
  • Self motivated and proactive, with the ability to work in a team
  • Excellent knowledge of firm data protection standards preferred
  • Organizational, time management, and multi-tasking skills
  • Strong presentational skill set, including verbal, visible, and written
  • Ability to take initiative and use a proactive approach