Avp-risk Resume Samples

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G Deckow

Guiseppe

Deckow

720 Garland Circles

Chicago

+1 (555) 136 7922

720 Garland Circles

Chicago

Phone

p +1 (555) 136 7922

Experience Experience

San Francisco, CA

AVP, Liquidity Risk

San Francisco, CA

Bernier, Jerde and Romaguera

San Francisco, CA

AVP, Liquidity Risk

Work effectively with management and support staff to ensure professionalism, productivity and team achievement
Refine and develop stress testing analytics both from a Treasury and an enterprise risk management level
Ensure clear goals and expectations are established and communicated by the beginning of each fiscal year
Liaise with the business on deposit pricing and product structures to manage Liquidity Risk
Oversee the liquidity management system and data that support daily, weekly and monthly liquidity reports and stress testing, Basel III liquidity ratios, OSFI Liquidity guidelines including NCCF ratios
Build a Liquidity Framework that ensures compliance with the bank’s risk appetite and regulatory limits, including a robust Liquidity Transfer Pricing Framework
Provide ongoing coaching and mentoring to direct and indirect reports

Houston, TX

AVP, STO Risk Management

Houston, TX

Walter Inc

Houston, TX

AVP, STO Risk Management

Analyzing the control structure within STO
Using data analysis to help STO develop a more proactive and anticipatory approach to risk management
Ongoing review and remediation of identified risk items
Lead in benchmarking STO effectiveness against industry standards and peer firms
Assist in identifying SOX, SSAE18, FICCA, and 17a-5 related issues, and document remediation processes
Lead in the creation of consistent and consolidated reporting for all of the STO areas that identify control weaknesses and corresponding management action plans
Assist with regulatory reviews, collection of data and materials for regulators or IA and assisting the operational departments in gathering requested information in a timely manner

present

San Francisco, CA

AVP / Risk Manager

San Francisco, CA

Batz-Stiedemann

present

San Francisco, CA

AVP / Risk Manager

present

Participate in committees to promote risk awareness, provide expertise/ guidance, and perform independent oversight
Act as a liaison and coordinate/share global investment risk reports with local investment teams and senior management
Actively investigate trends in order to better understand newly developing risks. Recommend action to minimize the firm’s exposure to risk
Lead-manage implementation of all elements of the Luxembourg Operational Risk Program including
Chair the local Risk Management Committee. Report important information/concerns up and down the organization
Coordinate risk activities with local legal/compliance/audit efforts and staff
Support central platforms for risk analysis by managing data, reports, and metrics already in place. Help establish/implement new tools and systems for risk analysis

Education Education

Bachelor’s Degree in Risk Management

University of California, Irvine

Bachelor’s Degree in Risk Management

Skills Skills

Excellent general business knowledge, insurance knowledge and knowledge about capital markets
Proven ability to build relationships with senior leaders
Strong influencing skills in order to get buy-in among managers and executives who have no direct reporting relationship to the individual
A combination of strong project management skills as well as day-to-day operational management abilities
Strong communication and presentation skills
Strong financial and business acumen
Experience working in at least one Business Unit in a risk management capacity
10+ years of experience
Risk-related industry designation

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Avp Cmb Reputational Risk Client Selection Manager Resume Examples & Samples

Reports to the Regional Head of the Client Selection Secretariat
Needs to be the point person for the exit execution process
Must work well with other regional CS team members
Minimum of five to seven years proven project management experience supporting assigned businesses or functions
Bachelor’s degree, or equivalent experience, in business-related field. Advanced degree strongly preferred
Extensive track record of strategic and tactical planning and program-wide implementation, operations management, and successful program delivery
Strong managerial, problem-solving, lateral thinking, communications, project management, planning, organizational and interpersonal skills
Knowledge and experience in managing relationships with service providers preferred
Proficiency with personal computers as well as pertinent business operational software and applications
Proven experience with presenting proposals and project findings to senior management
Proven ability to lead and manage program initiatives while transferring technical knowledge to staff and facilitating ongoing practice development

AVP Risk & Return Management Resume Examples & Samples

Minimum of five years proven, progressive and broad-based commercial banking experience or equivalent, including a minimum of three years proven management experience and a strong credit, audit or risk background or equivalent
Bachelors degree in commercial real estate, business, finance, related field or equivalent experience
Strong communications, problem-solving, project management, planning, organizational and interpersonal skills

Ops Risk AVP Resume Examples & Samples

Contribute to the strategy and development of the regional ORM Function
Contribute to special projects / task forces / working groups relating to the Governance Strategy
Promote the Risk culture and visibility of ORM
Represent the bank in regulatory industry groups related to OR
Support the management of the regional stakeholder relationships to several key regulators
Within the APAC countries
Ensuring Governance around Policies and Procedures across APAC

Private Banking Risk-avp Resume Examples & Samples

The ongoing development and governance of the risk control/framework for the APAC business
Handling the architecture of the all round risk structures
The support of on-going development of the risk policies and procedures for the APAC business
Being the bridge between PWM and institutional risk teams
Have at least 5-8 years of relevant experience in Risk Management within the PWM space
Have sound knowledge of developing risk frameworks
Have good knowledge of HKMA regulations

Avp-risk Resume Examples & Samples

Dissecting projects and identifying controls, documenting problem areas and offering solutions to the business
Development, maintenance and review of risk management reporting
Understanding risk as it is associated with data analytics, likely coming from an audit or risk background
Regulatory driven professional who can build out the control framework and implement new initiatives as they apply to major changes within the line of business
Engage in review and discussion of business initiatives and new products/services to identify risk concerns and challenges
KRI monitoring and ability to manage a direct report
Drive the right risk culture; constantly interacting with business partners and participating/ leading meetings around the Emerging Risk Forum
5 years of risk or audit experience
Ability to represent the business and interact with multiple individuals both internally and externally – this role is not for an introverted person!
Knowledge of basic computer software programs (Excel, Microsoft, Outlook)
Understanding of federal consumer protection laws and regulations (RESPA, ECOA, TILA)
Ability to work independently and within a team that values collaboration
EXTREME attention to detail and ability to adhere to strict guidelines and procedures

AVP Risk Management Risk Systems Resume Examples & Samples

Leads the continuous improvement of our ALM models, improving their sophistication and minimizing the scale of unexplained portions of attribution reports
Works with IT and governance processes to move proposed changes into the production environment
Assures that the ALM modeling environment is robust and functioning smoothly
Educates the ALM Production team on model features and their appropriate use and limitations
Coordinates with the Actuarial function to assure that the two groups’ models are consistent, as appropriate
Builds and manages a staff of risk analysts and / or actuaries

AVP, ORM Risk-it & Internal Controls Resume Examples & Samples

Provide leadership and oversight for collaboration efforts across functional areas and with Group Risk
Develop long-range functional objectives and strategies for assigned area of expertise
Utilize team personnel resources through strategic planning and scheduling of engagements; ensure resource are matched to the highest needs of the business
Develop and use analysis of data to determine predictable impacts on the business as a whole
Other duties and responsibilities as assigned based on specific discipline within Risk Management

Avp-field Risk Supervisory Practices Group Resume Examples & Samples

3+years of relevant experience with prior experience in WM Field Risk, Audit, Compliance, Legal or Operations
General familiarity with and/or strong aptitude for WM Risk, Compliance, Legal and AML principles
General familiarity and understanding of WM investment products, process and policies
Strong aptitude regarding all risk supervisory systems as well as a strong understanding of Actimize in order to be able to respond to inquiries from the Field and various business partners
Ability to work well with colleagues across a diverse range of working groups
Excellent problem-solving and business judgment
Strong organizational, planning and time management skills
Ability and willingness to voice ideas, identify problems, in addition to following direction and as part of a team
Self-starter with strong project management capabilities and an attention to detail
Advanced proficiency in MS Office, PowerPoint and Excel

Ccar-ihc Risk Identification & Assessment AVP Resume Examples & Samples

Understanding of market risk management and related reporting, including VaR and risks not in VaR
A degree-level education (or equivalent) in a numerate discipline (e.g. Finance, Accounting, Math, or Engineering)
Entrepreneurial and proactive mindset, including ability to learn quickly, self-direct, solution problems, think strategically, and work collaboratively with others
Advanced MS Office skills, particularly with MS Excel
Ability to work under tight deadlines and high-pressure environments
Understanding of risk measurement frameworks across risk types (i.e. market risk, credit risk, operational risk)
Previous experience supporting Risk Identification and Assessment processes for CCAR
Stress testing and scenario analysis experience across key risk stripes (market risk, credit risk and operational risk)
Excellent understanding of capital concepts (e.g. available capital, capital deductions, risk-weighted assets, and leverage ratio)
Post graduate qualifications within a relevant field (MS- Finance, MBA, etc.) and additional certifications such as CFA, FRM, PRIMA

AVP / Risk Manager Resume Examples & Samples

Understand portfolio risk and its decomposition across the local product line of UCITS and AIFs especially concerning market risk (VaR), counterparty risk, liquidity risk, leverage risk
Support central platforms for risk analysis by managing data, reports, and metrics already in place. Help establish/implement new tools and systems for risk analysis
Act as a liaison and coordinate/share global investment risk reports with local investment teams and senior management
Chair the local Risk Management Committee. Report important information/concerns up and down the organization
Report to the AB Lux Executive Committee and Board of Directors important information/concerns related to investment risk
Participate in committees to promote risk awareness, provide expertise/ guidance, and perform independent oversight
Lead-manage implementation of all elements of the Luxembourg Operational Risk Program including

Liquidity Risk Management, AVP Resume Examples & Samples

Design and develop new processes for liquidity risk measurement and 2052a reporting under the guidance of senior management
Remain up-to-date with liquidity risk-related and foreign banking organization-related regulation
Identify and remedy gaps between regulation and current liquidity risk management procedures and 2052a
5-7 years relevant work experience in a treasury department or in a liquidity risk management function or information technology for treasury/liquidity risk management
Basic understanding of financial products, liquidity risk reporting, and liquidity risk regulation including

AVP, Risk Management Resume Examples & Samples

Enable effective Risk Management and add value to the business
Promote and facilitate SLF U.S. management's understanding of the SLF Risk Management Framework and SLF U.S. integration within the Framework
Recommend alternatives to increase the efficiency of risk management practices and provide value-added information to the business
Ensure that SLF U.S. management has implemented effective risk management processes to identify, assess, manage, measure, report on, and monitor risks
Review risk based measurement and reporting metrics, for SLF U.S., and assess whether they are aligned with SLF U.S. business objectives and the business plan
Drive the Risk Management portion of the Strategic Plan and Business Plan processes for SLF U.S
Assist the Chief Actuary and Chief Risk Officer, SLF U.S. in building the collective knowledge of Risk Management by helping to share best practices
Educate and train Business Unit Risk Officers in the US with a view to raising the capability of the first line of defense
Draft the quarterly Key Risk report providing insight into key risks, emerging risks and progress related to the management of these risks
Advance SLF U.S. risk management practices, with a particular emphasis on Operational Risk Management and the identification and monitoring of Emerging Risks
Risk Appetite Monitoring
Monitor the overall level of compliance to risk appetite standards across the US for Strategic Plan and Business Plan
Conduct quarterly EaR Reporting and monitor market and credit risks
Communicate and interpret EaR metrics prepared by Corporate Risk
Ensure compliance with the Corporate Risk Framework
Establish and roll out SLF U.S. Risk Operating Guidelines within the parameters set out in the SLF Risk Management Framework and Enterprise Operating Guidelines
Working with relevant SLF U.S. leaders, manage the process of attesting to compliance with the Risk Management Policies
Ensure accurate and timely communication and reporting between SLF U.S. and the Corporate Office
Monitor to ensure that significant identified gaps in management's risk management processes are resolved on a timely basis
Ensure that the SLF U.S. risk management function complies with applicable regulatory and Corporate criteria for risk management; provide required sign-offs to this effect
Monitor overall level of compliance with risk policies and guidelines
Review and effectively challenge management’s risk reporting
LI-AE1
Risk-related industry designation
Minimum of 4 years of specific experience in risk management area, ideally with operational risk management experience
Experience working in at least one Business Unit in a risk management capacity
Excellent general business knowledge, insurance knowledge and knowledge about capital markets
Strong financial and business acumen
Proven ability to build relationships with senior leaders
Strong influencing skills in order to get buy-in among managers and executives who have no direct reporting relationship to the individual
A combination of strong project management skills as well as day-to-day operational management abilities
Must be able to present complex financial and risk management topics in a simple and concise way

AVP, Liquidity Risk Resume Examples & Samples

Minimum 7 years of experience including proven effective leadership and mentoring experience
Build a Liquidity Framework that ensures compliance with the bank’s risk appetite and regulatory limits, including a robust Liquidity Transfer Pricing Framework
Oversee the liquidity management system and data that support daily, weekly and monthly liquidity reports and stress testing, Basel III liquidity ratios, OSFI Liquidity guidelines including NCCF ratios
Liaise with the business on deposit pricing and product structures to manage Liquidity Risk
Review and recommend approval for liquidity and funding policies that would reflect the industry best practices for an institution of our size
Refine and develop stress testing analytics both from a Treasury and an enterprise risk management level
Lead formal review and approval process for liquidity risk model and assumption changes
Ensure clear goals and expectations are established and communicated by the beginning of each fiscal year
Foster and grow the transfer of knowledge to support career progression and succession planning
Provide ongoing coaching and mentoring to direct and indirect reports
Work effectively with management and support staff to ensure professionalism, productivity and team achievement
Communicate and act based on a foundation of integrity, accountability, respect, common sense and caring

R&A Risk Gen Developer, AVP Resume Examples & Samples

Beowulf development and testing to support Octon regulatory requirements
Technical design, development and automated testing and delivery
Work closely with QA, Risk Gen global team and the other technology team to drive the asset classes onboarding to strategic Beowulf risk stack
4+ years of experience in working in financial service
3+ years of the following computer skills that are required
Knowledge in C# and window development

AVP Risk Programme Assistant Resume Examples & Samples

Responsible for collating the reports risk, security and audit items aligned to the Digital Teams
Present the current Digital risk position to your manager and their lead
Arrange and hold meetings with each of the Digital Teams on their progress and status
Track individual Digital Teams to plans and dates
Be a point of contact for our GIS and Tech Risk Team for queries and reporting related to the Digital Teams
Ensure close interaction with other Risk Managers in BUK for alignment of reporting
Understand the asks( i.e. UIA) sufficiently to be able to articulate the requirements to the Digital Teams
Accountable for coordinating all risk, security and audit items aligned to the Digital Teams
Accountable for tracking the current status of Digital Teams for Risk, Security and Audit items
Responsible for all reporting providing the status updates for the Digital Teams
Assist with defining and agreeing the process by which our Teams deliver against the identified vulnerabilities, risks and audit items
Stand in for your Line Manager when required with Tech Risk and Global Information Security, attending meetings to ensure our positions are agreed with both teams
Assist in driving collaboration across the all the Digital Team to ensure if we do it once ensure successful delivery

Liquidity Risk AVP Resume Examples & Samples

Support the completion and delivery of Barclays/BUK ILAAP reports to the PRA, with the aim of ensuring that
The ILAAP is delivered on time and to regulatory requirements
Assist in providing a summary on liquidity risk issues/remediation plans/non-compliance with the process summaries to Risk Committees
Provide support to Treasury teams regarding Risk Oversight queries

Risk AVP Mexico Resume Examples & Samples

Monitor and reporting Mexico market risk exposures to Business Managers and Risk Management heads. Ensure consistency of corporate risk numbers are correctly represented in global systems and reports
Support the different risk areas of Barclays regarding Liquidity, Credit and Operational risk
Support Mexico Risk Manager with internal, external and regulatory audits regarding Risk Management function
Support Mexico Risk Manager to monitor risks levels, including quantifiable and non-quantifiable risks
Support in the documentation related to Risk Committee including minutes and monthly pack coordination
Participation on Capital Adequacy stress scenarios for regulatory and internal purposes
Automation on the process to generate reports Market Risk (VaR, Backtesting, Stress Testing), Counterparty Risk (Expected and Unexpected Loss, Counterparty Stress) and Liquidity Risk
Help align business needs and objectives with local policies and standards and regulatory requirements
Lead projects for global market risk team

Avp-operational Risk Capital Assessment Resume Examples & Samples

Evaluate adequacy of insurance coverage
Liaise with insurance broker on insurance claims
Annual renewal of D&O, Blended and Cyber insurance programmes
Allocation of insurance premium across the Group
Broker evaluation and appointment
Review insurance management policies

AVP, Risk Management Resume Examples & Samples

Assessing the integrity and effectiveness of certain risk management processes and controls within the SLF Canada Business Units
Monitoring of the Business Group’s compliance with the Risk Appetite Framework and allocated risk limits
Independent validation of risk exposure measurement methodologies implemented by the Business Units and the risk exposures reported by the Business Units
Consolidating and communicating risk exposures to senior management
Contributing insights and advice to SLF Canada Business Units with respect to risk management strategies
Providing liaison between the Corporate Risk function and SLF Canada’s Business Units to facilitate the delivery and communication of new initiatives and providing support on the execution of existing risk reporting requirements
Delivering on responsibilities as Risk Officer for various subsidiaries
Providing risk support and insights on various key Business Group initiatives

AVP, Servicing Operational Risk Resume Examples & Samples

Strong working knowledge of applicable federal and multi-state regulatory requirements as related to servicing in mortgage and/or consumer lending
Working knowledge of major financial institutions regulatory requirements including, but not limited to, Regulation B (Equal Credit Opportunity), Regulation C (HMDA), Regulation E (Electronic Banking), Regulation X (RESPA), Regulation Z (Truth in Lending), Fair Credit Reporting Act, Anti-Money Laundering, and Dodd-Frank Regulatory Reform Act, is desired as related to origination and servicing of consumer or mortgage loans
Experience in managing and carrying out compliance function for residential mortgage business
Familiarity with securitization process is preferred
Ability to work well with others and take on projects outside of current core competencies
Ability to work independently, prioritize workload and balance multiple duties
Ability to respond quickly to a changing environment
Analytical, detailed and results oriented with excellent organizational skills
Excellent verbal and written communication skills –ability to clearly articulate issues, interact with federal and state regulatory authorities, and make presentations to senior management
Training and Experience
6 year’s experience in field of mortgage banking/servicing with risk and regulatory audits
5-7 years’ experience performing complex functional activities of project management, providing supervision of multiple projects as well as technical direction

Wealth Management Operational Risk AVP Infrastructure Risk Resume Examples & Samples

Perform monitoring and surveillance functions with various types of in-house and third party products
Provide guidance to business units around Firm technology best practices
Conduct gap analyses of relevant data to identify trends to detect emerging patterns
Receive, request, and analyze information related to anomalous behaviors in order to improve operational processes
Participate in various internal reviews and readiness examinations to ensure the business is adequately prepared for all audit, compliance and regulatory reviews
Coordinate and communicate with Technology, Information Risk, and various Wealth Management business groups to ensure that the appropriate information security controls are in place
Seek to prevent data leakage as well as identify instances of unauthorized disclosures of confidential information all of which could result in reputational, regulatory & financial damage to the firm
Knowledge of the financial services industry; preferably in Wealth Management, finance, operations, and technology
Approximately 5-7 years of professional experience
Attention to detail, strong analytical, quantitative, and investigative problem-solving abilities; with the ability to make actionable recommendations from data analysis
Strong interpersonal and communication skills; capable of writing documentation, training users in complex topics, making presentations to an internal audience, interacting with external vendors, and interacting positively with upper management, colleagues and clients
Basic understanding of computer systems, network technologies, mobile devices, and peripherals
Basic knowledge of the cyber threat landscape and regulations governing the financial industry
Proficient with Microsoft Office products, particularly MS Excel

AVP, STO Risk Management Resume Examples & Samples

Analyzing the control structure within STO
Assist in identifying SOX, SSAE18, FICCA, and 17a-5 related issues, and document remediation processes
Lead in the creation of consistent and consolidated reporting for all of the STO areas that identify control weaknesses and corresponding management action plans
Track and close identified gaps and or potential risk items within each department
Using data analysis to help STO develop a more proactive and anticipatory approach to risk management
Lead in benchmarking STO effectiveness against industry standards and peer firms
Assist with regulatory reviews, collection of data and materials for regulators or IA and assisting the operational departments in gathering requested information in a timely manner
Continually access and identify new risk items within STO
Ongoing review and remediation of identified risk items
Will work closely with individuals throughout the organization including BTS, STO, IA, GRC and Legal, from staff to senior level to complete the various functions above, providing education (teaching) necessary to enable a culture of controls
10+ years of industry experience (preferably financial services) in several disciplines (operations, internal audit, compliance, risk management, other internal controls)
Internal or External Audit experience strongly preferred
Knowledge of control environment for SOX, SSAE18, FICCA, and 17a-5 required
Ability to aggregate, analyze and interpret control environment related data
Ability to manage and lead effectively in an ever changing environment (both corporate and regulatory)
Ability to leverage others’ expertise and experience in identifying, evaluating and mitigating risks within STO
Ability to interface effectively with various levels of employees

AVP, Infrastructure Risk Management Resume Examples & Samples

Enforcing a firm-wide controls framework that ensures the health of LPL’s electronic communications compliance program
Ensuring all means of electronic communications, including email, social media, instant messaging and more, are captured, archived, and easily retrievable
Identifying and mitigating emerging risks
Interfacing with counterparts in Legal and BTS to align strategies with action
Assisting with corporate initiatives and changes that introduce new means of electronic communication capabilities into the firm
Effectively communicating electronic communications policies and requirements to internal stakeholders as well as to financial advisors
Bachelor’s degree in a related field; advanced degree a plus
Series 7 and Series 24 a plus
Minimum of 5 years’ experience in the financial services industry in a compliance, legal, technology or risk capacity
Experience managing a team of direct reports required
Working knowledge and understanding of the functions of electronic communications, specifically email, security, privacy, and access
Excellent understanding of industry best practices on handling of electronic communications
Advanced Microsoft (Word, Excel, Access and PowerPoint), Visio, Adobe Acrobat, SharePoint and Outlook
Exceptional interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters
Strong attention to detail with a proactive approach to solving and preventing problems
Ability to interface effectively with all levels of management
Strong time management and organization skills

Enterprise Risk AVP Resume Examples & Samples

You will gain experience across Scenario Design, Risk Identification and Risk Appetite setting and gain expertise across different risk types
You will coordinate with partners, consolidate information, perform analysis, and prepare presentations
You will drive process improvement
You will participate in committee meetings; review minutes, resolve action items, and document review and challenge

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