Business Control Resume Samples

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J Connelly

Jeanie

Connelly

25516 Pouros Passage

Phoenix

+1 (555) 569 4089

25516 Pouros Passage

Phoenix

Phone

p +1 (555) 569 4089

Experience Experience

Boston, MA

Business Control

Boston, MA

Hilll-Treutel

Boston, MA

Business Control

Proposing and participating in developing processes and procedures to minimize operational risks
Executing controls to detect unauthorized trading or unusual activity and escalate in a timely manner to senior management
Ensuring complete, accurate and timely P&L, Balance Sheets and analysis
Detailed knowledge around accounting and valuation of the aforementioned products
The independent validation of the value of our trading portfolios
Working with the businesses and the new business product groups to evaluate & integrate new products and businesses into our financial environment in a controlled manner
Proposing and participating in improvements to the overall Financial Control operating and engagement models to improve transparency of issues and efficiency in fixing them

Detroit, MI

Business Control Mgr

Detroit, MI

Larkin-Homenick

Detroit, MI

Business Control Mgr

Demonstrated track record having worked as a Project Manager and/or Lead, managing a team and large, strategic projects
Participates in Enterprise level projects, meetings, workgroups
Executes the Risk & Controls Self-Assessment (RCSA) for RCS and PSB
Manages the Process Risk & Control (PRC) program; ensures identification and satisfactory controls for key processes
Leads the High Risk Process program, engaging with senior leaders and key partners to drive enterprise wide improvements
Leads a team of 11 with Business Control Managers and Senior Business Control Specialists
Strong Risk Management expertise

present

Los Angeles, CA

Head of Global Business Control Function

Los Angeles, CA

Kulas, Hermiston and Lakin

present

Los Angeles, CA

Head of Global Business Control Function

present

Sets Vision/Mission for BCF as well as a core set of values, adopted consistently across the Function
Responsible for Sarbanes Oxley compliance and support of management’s assertion over effectiveness of internal controls
Develops, administers and addresses commercial, financial and functional control risk assessments
Develops continuous improvements to financial and operational business risk function
Works in close cooperation with financial operations, compliance, legal and operating management in support of the internal control environment and related risk assessment process
Maintains close working relationship with Market/Functional FDs, understands their operational challenges and engages in collaborative problem-solving
Oversight of program to ensure adequate and prompt remediation of internal audit observations

Education Education

Bachelor’s Degree in Accountancy

University of Washington

Bachelor’s Degree in Accountancy

Skills Skills

Ability to analyze financial results and recommend and implement necessary actions to maximize the business returns and enhance the operation performance
Understand how to monitor and control processes, providing a change management approach to constant improvement while managing day-to-day issues in a fast-paced environment
Ideally 3+ years working in a product control environment or business support role, familiarity with financial products and accounting practices
Commitment to one's own development and continuously learning new skills and knowledge
Showing responsibility and perseverance at work, a total commitment to offer the highest quality work and ensure attention to detail
Having a positive impact on others, creating a good impression in order to negotiate or convince others of ideas
Transferring one's own knowledge using formal and informal means including ensuring processes and systems are in place to co-ordinate and manage information and knowledge making it easy for others to access information
Making timely decisions based on (in)complete information and initiating appropriate responses and actions taking into account associated advantages and disadvantages and the alternative options
Offering innovative and original ideas that do not stem from existing processes and identifying less evident models or original combinations
Integrating: Integrating and linking data into coherent information, identifying relationships between pieces of information, generating alternatives and logical and sound conclusions

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PWM , Business Control Unit Resume Examples & Samples

Perform branch correspondence and daily supervisory/surveillance reviews to ensure adherence to Firm's policy and procedures and resolve any issues and exceptions highlighted
Monitor and identify internal breaches / control weaknesses and ensure gaps are addressed and in compliance with applicable rules, regulations and Firm policies
Act as Business Unit Information Security Officer; responsible for the review of user access rights and system entitlements; exceptional approvals for various Information Security items; work with Information Security Team on information security incidents or new initiatives
Act as Business Continuity Planning (BCP) coordinator; review any BCP related matters and coordinate any tests for the branch offices to comply with the firm’s policy and regulatory requirements
Assess Operational risks and manage the risk and control self-assessment of the department
Assist Management with preparing various management reports on Operational Risks, BCP, Information Security Incidents, etc
Participate in process re-engineering projects to reduce the residual risks of the department and streamline the processes of the department
3-8 years of relevant working experience in the financial services industry
Good working knowledge of various asset-classes including equity, fixed income, listed and OTC derivatives and banking products
Must have good analytical and follow-up skills
Organized and detail-orientated
Ability to influence others at all levels
Audit and/or PWM Compliance experience
Previous work experience in a similar control/risk function within the business

Ts-global Trade & Loan Product Regional Business Control Management Resume Examples & Samples

Responsible for risk and control gap identification, mitigation and remediation for Global Trade & Loan Product business within the region
Assist in process design, procedures, monitoring and reporting to effectively address risk management requirements in Global Trade & Loan Product Business
Analyze Global Trade & Loan Product business processes to identify control points and areas of remediation
Support the Global BCM in overall Global Trade & Loan Product Risk Control Self Assessment (‘RSCA’) governance within the region
Work across the different consent order articles as assigned
Create power point presentations for management review based upon analysis and report output based upon consent order articles and other analysis resulting from that work
Administer Expired KYC Approval
Monitor changes in high severity risk countries by performing financial analysis and modeling of outcomes considering different AML scenarios and research against the various bank databases
Support the monthly Business Control Committee meetings, as required
Facilitate product end to end reviews as required
Participate in the review of non-standard business processes exceptions
Support business in region in preparation activities for internal audits & regulatory exams
Ensure Trade’s adherence to and compliance with the Model and Third Party Vendor policies and procedures within the region
Liaison and coordination with the Regional control functions and Global BCM
Oversee non-technology, non-operations (‘NTNO’) semi annual critical control and annual non-critical control substantiation in region

Ccb-in-business Control Team Head Resume Examples & Samples

Must have analytical inquisitiveness and problem-solving ability; must be able to sift through complexity and see issues clearly; have an ability to ask insightful questions, break analytical and business challenges into workable components and draw meaningful conclusions
Demonstrated ability to think strategically and ‘connect the dots’, yet be detail-oriented, and manage multiple competing priorities including emerging risks to deliver solutions in an effective control environment
Leadership skills – Demonstrated ability in leading a team in delivering projects within deadlines as well as effective audit management/ability to interface confidently and logically with internal and external auditors
Must be able to influence key partners and be persuasive while working with cross-functional groups that do not report to him/her – Compliance, Enterprise Risk Management, Operations and Technology and other internal and external partners
Ability to communicate effectively with Compliance, Enterprise Risk Management and internal & external auditors
Background in either Operational risk or Credit risk
Good understanding of the CCB business and operating model a plus
Demonstrated analytical skills and experience
Strong Excel & PowerPoint skills

Meac / Field Business Control Specialists Resume Examples & Samples

MEAC/Home Office experience preferred
Ability to navigate Siebel and Interact
Proficiency in use and development of data analytic tools(MS Excel, Access, etc) and PowerPoint
Exposure and familiarity with GWIM business processes andterminology
Risk and Control or Compliance related experience
Excellent written and verbal communication
Strong sense of judgment, knows when to escalate
Well organized and strong attention to detail
Excellent work ethic and team player
Positive and motivated
Flexible approach
Able to work without detailed oversight
Excellent MS Office andPowerPoint skill

Business Control Mgr Resume Examples & Samples

Ability to analyze, determine, drive and build solutions independently and proactively
Broad knowledge across many functional business areas
Ability to interface with regulators
Demonstrated leadership and assertiveness

CIB F&bm-gem Americas Business Control Resume Examples & Samples

Understand and validate RWA results for the business, analyzing main drivers, ensuring results are accurate and communicate results and issues accordingly
Understand balance sheet usage and reporting and provide analysis as needed
Able to understand RWA and IBT calculations and provide advise to the business on balance sheet, RWA and funding cost impact for new structures and positions
Work closely with the CEM External regulatory reporting team to understand the various regulatory changes (Basel, Dodd Frank) that might impact the business and work with the business and the various support functions to proactively manage the changes
Contribute, as needed in global or regional ad-hoc projects and requests
Suggest and implement controls and processes to improve accuracy and efficiency of reporting
Provide ad-hoc business and financial analysis and reporting
Develop solid working relationships with numerous other support functions and business partners
Certified Public Accountant or strong accounting background with 3 to 4 years of experience highly preferred
Solid understanding of financial products as bonds, derivatives, structured notes, etc
Ability to multitask and prioritize effectively
Ability to coordinate and contribute to projects

SVP Business Control Director Resume Examples & Samples

Work with Senior Management and other Control Functions in evaluating processes for compliance with Corporate and regulatory policies as well as internal control requirements. Provide advice and guidance on regulatory and corporate policy to the Businesses
Interface with Internal Audit, Regulators, Risk, Compliance and Legal to understand current and future focus, maintain partnership, and obtain information that will ensure consistent understanding and application of risk control strategies and process across Collections portfolios
Ensure that Manager’s Control Assessment (MCA) ratings properly reflect the risk of the issues and any change to downgrade ratings are escalated to the appropriate Senior Management
Optimize and manage regulatory monitoring process for all Collections lines of business
Formulate strategy and day to day execution for managing control functions across all Collections Lines of Business
Exercise full management responsibility for multiple teams including centralized collections regulatory monitoring team (domestic and off-shore), the NA Collections Control Reporting team and Collections Emerging and Transferable Risk process
Manage Risk Control for the business or large functions within a business across multiple sites
Interact and collaborate with all levels of management
Build strong collaborative network across the organization in order to accomplish the objectives
Bachelor’s Degree required. Master’s Degree preferred or equivalent work experience
5+ years of experience in regulatory compliance environment
Demonstrated experience in control strategy and execution
Prefer knowledge of collections or default operations Skills
Ability to balance multiple demands and work both independently and as part of a team to develop solutions
Ability to understand customer needs and manage expectations
Strong communication and diplomacy skills
Ability to adapt to a rapidly changing environment
Strong people management skills with a proven track record of effective delegation, motivation, and employee and customer satisfaction
Excellent verbal and written communication skills. Able to present information to senior level audiences in simple, logical business terms

Gcg-head of Quality & In-business Control Resume Examples & Samples

Responsible for working with Compliance (Citi/ AIA) in delivering Global and APAC Insurance Policies including periodic updates to the same
Ensure regulatory compliance by working closely with Citi/ AIA control functions
Coordinate Regional Business Insurance Committee (Citi’s internal Governance forum on all insurance matters)
Design and develop product and sales compliance framework to ensure robust and compliant insurance franchise
8-10 years of relevant industry experience with background in insurance and/ or banking compliance
Knowledge of regulatory frameworks in Asian markets. Experience in dealing in regulatory compliance
In-depth knowledge of insurance products/ processes across life and non-life
Strong control and compliance focus
Demonstrated analytical skills and decision-making capabilities
Ability to engage with various stakeholders and deliver timely results

Head of In-business Control Resume Examples & Samples

Strong understanding of process and controls concepts, including risk identification, monitoring frameworks and methodologies
Excellent interpersonal skills with the ability to interact with staff at all levels
Sound background in corporate or commercial bank products
Experience in dealing with auditors
Understanding of regulatory framework
Over 10 years of working experience. Experience in banking, audit, compliance or risk are preferred
Strategic thinking
Excellent influence skills
Ability to breakdown and communicate technical/complex concepts to a broader audience

Club Business Control Partner Resume Examples & Samples

Analyze compliance adherence, identify potential gaps and opportunities to enhance compliance execution and ensure practice matches process within assigned business functions. Leverage findings from CLUB compliance testing plans, FDIC, Audit and other reviews and develop, document and track trend reporting to ensure effective oversight of CLUB Operational Controls processes, procedures and controls and resolution of implemented solutions
Lead development and execution of solutions to drive compliance solutions including process improvement, training and communication. Partner with key stakeholders to execute solutions and ensure appropriate processes and procedures are developed, documented and monitored
Prioritize compliance-related efforts within CLUB Operational Controls based on risk, strategic priorities and business need and ensure integration with all other organizational compliance initiatives. Partner consistently with the CLUB Compliance Department to understand compliance and regulatory risks, requirements or issues relevant to the assigned business unit. Ensure that other compliance solutions identified by the CLUB Compliance Department to address compliance-related issues or risks are implemented or addressed within the assigned business unit
Provide technical assistance to all CLUB Operational Controls stakeholders. Maintain a working knowledge of all relevant regulations and priorities, consult on business initiatives and provide information and guidance as needed
Lead and participate in all compliance-related tests, audits and reviews as conducted by internal and external stakeholders. Lead gathering and submission of information, response to findings and development of solutions
Foster a culture of compliance within the business unit. Influence leadership decision-making on compliance-related business practices and increase employee awareness and knowledge of compliance-related policies and procedures
Experience with business unit systems, procedures, processes and general operations preferred
Ability to collaborate with multiple stakeholders in order to understand business drivers and processes and effectively implement compliance solutions and process enhancements
Extensive communication (written and verbal), mediation (conflict resolution) and facilitation skills
Ability to positively and effectively influence decision making within the organization
Strong leadership skills with proven ability to facilitate cross-functional teams
Experience with project management and related methodology
Visionary with long term focus - able to see the end result
Self starter; demonstrates personal initiative and willingly assumes responsibility and ownership
Ability to create an open environment supportive of free sharing of information and ideas that is also conducive to contribution, growth and achievement
Customer focused behavior
Exemplary standards of integrity, personal work ethic and continuous involvement in self education and development
Proficiency in Windows, Excel, Word and PowerPoint software
Ability to travel up to 10% of the time

Head of Business Control Group Resume Examples & Samples

10+ years’ experience with Investment Management Legal, Compliance and regulator issues
Thorough understanding of traditional investment products / vehicles
Strong understanding of buy-side policies, procedures and practices
Able to take initiative, lead across multiple areas of the organization, drive towards goals/deadlines, detail-oriented
Strong interpersonal skills and ability to work with people at all levels across all functions
Strong communication skills (verbal and written), and client service skills
Able to work independently, promote teamwork
Enjoy working in a fast-paced and demanding environment

Asset Management International Fiduciary Services VP of Fiduciary Business Control Nassau Resume Examples & Samples

Provide ongoing review and assessment of RCSAs and action plans
Perform periodic testing of RCSA risks and controls
Review errors, provide direction on appropriate preventative actions, and ensure accurate management reporting
Perform monitoring and reporting of client complaints and privacy breaches
Assist in the development and execution of the quality assurance program for administrative reviews, new business, and sworn documents
Articulate complex issues and themes to senior management
Work with senior management, independent risk, and independent compliance to develop and update policies and procedures
Monitor the control environment and develop program to support continuous improvement
Develop control solutions to mitigate risks identified
Manage and monitor implementation of controls projects
Prepare and deliver status of control projects to senior management
Excellent desktop application skills in Microsoft Word, Excel, PowerPoint and Visio
Strong analytical skills with experience in assessing the probability and impact of control weaknesses
Excellent verbal and written communication skills with an ability to present complex and sensitive issues to management in a persuasive manner
Principled, enthusiastic, self motivated, effective under pressure, and willing to be responsible and accountable for work performed
Proven ability and desire to learn quickly, be flexible, and think strategically
Able to work through conflict to find appropriate solutions to key issues
Detail oriented and proven ability to multi-task
Minimum of 7 years of experience in risk management and/or audit with subject matter knowledge of the International Fiduciary business
Bachelor's degree required; advanced degree desirable

Credit Business Control Resume Examples & Samples

Ensure Daily Profit & Loss, Clean Profit & Loss splits and Attribution calculated by Line Control is materially correct
Review Daily Profit & Loss commentary produced by Line Control, adding market context and link to desk strategy where relevant
Produce Weekly and Monthly Profit & Loss, and New Deal for review by Product Control senior managements
Produce Analytical Review of month on month trends and cross referencing with market and business knowledge, including monthly Balance Sheet review and Inventory analysis
Produce and analyse Multi GAAP - Generally accepted accounting principles adjustments per Accounting Policy guidance
Produce Quarterly Financial Disclosures under various GAAP - Generally accepted accounting principles requirements, including Fair Value Leveling, Fair Value Option and other disclosures
Understand the business model including trading strategies, risk positions and motivations

Cib Business Control Intern Based Resume Examples & Samples

Daily balance sheet analysis and corroboration with regional information
Regulatory reports generation during month and quarter end
Special projects to improve the business

Business Control Assistant Resume Examples & Samples

OneSource (CRM/CRF/AAM)
Support Sales unit generating reports from OneSource (CRM/CRF/AAM) related to new relationships, annual reviews, or alerts (HBI, Exception Request or Overlay Report, o etc.)
Translate from Spanish to English data to input on system for different levels of approval (Venezuela Control Unit, Compliance, Account Opening Manager, and Business Head)
Analysis of alert rejections/ requirements to identify next steps to follow and avoid future rejections
Other functions
Keep record of requirement responses and follow up on timely and proper responses
Provide assistance to Sales Unit on Know your Client (KYC) process, record, consolidation and input of data on systems
Keep updated all forms and procedures used by Wealth Managers to get information from clients
Alert Venezuela Control Unit and/ or BUCO about non fulfillment of IOB policies or regulatory requirements found on alert reviews
Follow proper escalation process on any non-fulfillment of rules, procedures or policies established by Citimerca or Citigroup
Input on KYC 360 system all client information, conversations, agreements, discussions, interactions or comments
2-3 years of experience on related positions
Fully Bilingual: Spanish / English
Basic analytical skills
Basic knowledge of banking and/ or investment area or related studies (a plus)
Ability to use Microsoft tool suite (Word, Excel)
Excellent customer service orientation (customer service experience with internal/external clients)

Citibank Berhad Kl-in-business Control AML & Branch Control Unit Resume Examples & Samples

Tertiary education (i.e. banking, accounting, finance, law, business administration or related discipline)
Minimum 5 -10 years work experience in regulatory, bank, investment, insurance and/or fund management environment with audit, compliance and/or legal background preferred
Self-starter, independent, adaptable to changes and disciplined
Action and results oriented, pleasant personality
Good verbal and written communication skills including excel and power point applications
High degree of energy and drive; good organizational and people management skills including understanding of sales personnel behavior
Commitment to teamwork, quality, details and integrity

Manager, Deposit Business Control Unit Resume Examples & Samples

Develop, enhance, implement and monitor controls to ensure operational compliance with key consumer banking regulations, including but not limited to Reg E, Reg D, Reg CC, Reg B and Reg O
Leads the deposit Business Control Unit team by coaching, mentoring and recognizing colleagues
Partner with surveillance team to ensure the Business Control Unit serves as an effective first line of defense (production) for operational compliance
Collaborate across teams and functions to coordinate control activities with operations, surveillance, compliance, legal, internal controls, risk, IT and marketing
Role modeling cultural and behavioral skills to ensure collaboration among team members and across internal teams
Interface effectively across teams and functions in consumer banking
Be a customer advocate
Identify, research and report system processing issues and tracks to resolution
Compile daily operation reports for senior management review
Create ad hoc reports for senior management to be used in decision making and planning
Work with internal and external auditors and provides documentation to certify compliance
Search out new and innovative ways to process work efficiently and identifies and implements process and system changes/enhancements
Work on projects as defined by senior management
Project liaison for vendor applications and reporting including enhancements, certifications, and SLA deliveries
Develop and validate query criteria with IT Reporting for processing controls or issue remediation
Cultivate an environment of trust, teamwork, self-confidence and ownership
Provide regular feedback to associates on the quality of work and productivity, proactively identify and implement strategies to improve quality of work and productivity
Bachelor’s degree or High School Diploma/GED or a minimum of 4 year experience in a financial services, collection, operations or customer service setting
Minimum of 2 years of supervisory or leadership experience
Demonstrated effective leadership skills & experience leading teams of 15+ personnel. Excellent organization, prioritization, time management skills
Proven ability to lead and manage multiple projects through to completion with minimal supervision
Demonstrated ability to handle multiple priorities
Proven track record of using sound judgment in decision making & problem solving
Excellent knowledge of Microsoft office suite including Excel, PowerPoint and Word
Ability to work with multiple levels of management internally and with
High integrity & ability to handle confidential information
Strong overall business perspective. Ability to become proficient with applicable Retail Finance systems in order to effectively lead teams
Creativity and high energy level
Ability to work flexible hours as the business needs
Familiarity with Kronos
Strong knowledge of banking regulations, including but not limited to Reg E, Reg D, Reg CC, Reg B and Reg O

Business Control Mgr Resume Examples & Samples

Incumbents typically have over eight years of Requirements Management related experience.Desired Skills:Experience with SQL Server Management Studio, SAS or similar database query/data mining tool
Experience documenting Business RequirementsAdvanced knowledge of mortgage credit. Advanced knowledge of risk and control framework
Experience interacting with auditors and regulators

Junior PC Business Control Resume Examples & Samples

Perform analysis of the daily trading profit and loss by understanding trading strategies, risk profile, market conditions and accounting treatments
Provide commentaries on significant individual items (cluster and entity)
Review price testing result and provision on all the inventories held by the desk
Review of booking, valuation and revenue recognition for complex and structured trades
Understanding of key Product Control tasks
Understanding of some financial knowledge
Strong US GAAP accounting knowledge

Capital Markets Business Control Group Resume Examples & Samples

Audit coverage – Coordinate with internal/external auditors and compliance regulatory examinations ensuring the business is adequately prepared for all reviews
Audit management report – Track the status of open risks identified by Internal/External audit and work with each audit action owners to come to remediate/reduce the risk
Error documentation – Conduct a mini front-to-back analysis of errors in Capital Markets to determine if an enhancement is needed to a function/process is needed and report this into the Firm’s RECAP error tracking application
Regulatory monthly report – Keep track of open regulatory inquiries and prepare a deck to senior management on a monthly basis and tying this into the group’s RCSA plan
Supervisory Control Principal – Documenting the risks around our current supervisory processes and testing the supervisory process to ensure our coverage is adequate
Tracking progress of these IT items – partnering with management and the PMO group to ensure IT related projects are up to date
Possession and Control – Coordinating with the trading desk and operations to track and cover short positions in deficit
Risk and Control Self-Assessment testing – Implementing testing for critical functions to measure performance vs expectations
Cancel and Correct Review Committee – Participant in the cancel and correct oversight process to review and approve trade amendments
Trader Mandate – Coordinate with trading desks to ensure that transactions are consistent with approved products
Bachelors Degree in related field
5-7 years relevant work experience
Possess a basic understanding of the financial services industry and global capital markets
Audit and RCSA experience preferred
Strong Microsoft Office skills
Strong interpersonal skills - ability to work with various professionals and levels of management (i.e. Desk Managers, legal, compliance and senior management)
Excellent organizational skills, ability to manage multiple tasks and meet assigned deadlines

Business Control Anaylst Resume Examples & Samples

Ensure capital charges calculations are accurate and taking action to reduce capital charges for operational and financing categories of the monthly FOCUS report, such as Aged Fails and Repo/Reverse Repo and Stock Borrow/Loan Deficits, pursuant to SEC Net Capital rule 15c3-1
Ensure the components of the customer protection process (SEC Rule 15c3-3) from an Operations perspective are valid. Mentioned components will include suspense, stock record and depot breaks, segregation breaks, etc
Analyze data for regulatory reporting obligations to US regulators, such as Short Interest and Portfolio Margining to FINRA and FR 2004 and TIC S reporting to the Federal Reserve
Maintain a centralized inventory of regulatory reporting obligations and Monitor and track the firm’s regulatory reporting obligations performed by Operations
Develop and maintain effective partnerships with all stakeholders on regulatory related issues. Manage, escalate, track and ensure resolution on issues that pose operational regulatory risk to the firm
Develop junior members of the team to become the future leaders of the organization
An undergraduate degree in business, finance, other related fields. Strong analytical skills
3+ years of related experience in the banking industry
Experience desired on operational risk disciplines; processes, risks and controls and familiarity with financial product and services, as well as brokerage accounting
Familiarity with SEC Rule15c3-1 & 15c3-3 preferred
Strong interpersonal skills and ability to communicate effectively in both oral and written form
Technical skills in various Microsoft Office Tools (particularly Excel)
Strong work ethic and highly motivated individual with outstanding record of professional achievement

Product Control Business Control Resume Examples & Samples

Validation of the trade details of all trading positions. This includes review of booking, valuation and revenue recognition
Ensure the appropriate presentation of positions in the financial statements
Work closely with Front office to understand their trading strategies and risks
Work with the businesses and the new business product groups to evaluate & integrate new products and businesses into our financial environment in a controlled manner
Various involvement with strategic and continuous improvement projects as well as initiatives to continuously improve daily functions and systems/ applications
Understanding of Product Control processes
Strong accounting knowledge

Business Control Professional Resume Examples & Samples

5-7 years experience in Internal Audit, Compliance or Security related job role
At least 1 year experience in Advise on Management of Business Risk
At least 1 year experience in Perform Control Assessments
At least 1 year experience in Apply Analytical and Decision Making Skills
At least 1 year experience in Apply Leadership Abilities and Team Building in Cross Functional Teams
At least 1 year experience in Apply Knowledge of Business Process Controls (IT/Applications, Finance, Procurement, Operations, etc.)

Capital Markets Business Control Group Manager Resume Examples & Samples

Direct responsibility for the management and daily operation of the Capital Markets Mumbai team
Line management responsibilities; including supervision, performance reviews, goal setting and career management for all direct reports
Managing deployment, training, oversight, and development to achieve the global objectives
Supervise offshore operations; notably Mumbai based deliverables
To play a lead role in managing inter-departmental and business relationships for the reporting function
Ensuring all procedural documentation is up to date and accurate
Working proactively with counterparts, in making recommendations for process improvement and consistency, to ultimately achieve best in class standards for the deliverables
Prospectus review and analysis of different types of securities
Clear understanding of how data should be interpreted and ability to take complex tables and data and turn them into meaningful presentations
Candidates for this position should have strong, proven experience in a managerial capacity within financial markets or within a similar environment
Experience in managing direct reports, including day-to-day oversight, talent development, career management, performance reviews, goal setting and conflict resolution
The individual must have excellent attention to detail and be a self-starter who is able to maintain a high standard of accuracy while managing multiple deadlines, a creative individual that can work both independently and as part of a global team to exceed expectations
Strong analytical skills, along with excellent planning and prioritization skills
Strong work ethic and ability to be flexible and proactive in ad-hoc projects as and when they arise
Strong project management skills and a proven ability to operate and influence on a global basis
Ability to handle pressure effectively
Execute sound judgment on escalating risk
Excellent interpersonal skills, both oral and written
Ability to communicate effectively across cultures
Good motivator of others
Ability to deal effectively across all levels of the firm’s extensive support structure
Comfortable dealing with senior individuals and management across functions
Knowledge and hands on experience with Microsoft Office, SharePoint and Bloomberg

Manager, Deposit Business Control Unit Resume Examples & Samples

Ability to work with multiple levels of management internally
Strong overall business perspective
Ability to become proficient with applicable Retail Finance systems in order to effectively lead teams

Location Business Control Management Resume Examples & Samples

Perform regular (daily/weekly/monthly) monitoring and surveillance on operational risk controls to ensure that Front office conducts activities per internal policy and procedure
Manage the key risks and controls in the areas of AML, sales & suitability monitoring, call monitoring, cross border, dormant account handling, hold mail, client confidentiality, etc
Timely follow-up on any identified deficiencies to minimize potential regulatory breaches and escalate to management as needed
Analyse and identify gaps in existing operational controls and processes, and proactively channel back to the respective owners to ensure continuous procedural and control enhancements
Provide counsel to the PB business on risk issues upon enquiry
Liaise with Business Risk Management to enhance key risk indicators per review findings
Liaise with respective department/owner to establish and enhance risk awareness training for the HK branch to esnure service quality

Assistant VP-in-business Control Resume Examples & Samples

Identify and report of Operational Risk events to BRCC
Capture and track control exceptions and analyze trends to come up with corrective action to mitigate these risks
Work with other In-Business Control heads across other COEs/countries to implement best practices
Ensure all migrations related documents are in place with appropriate sign off prior to the transition
Support business for performing MCA on time as and when required
Coordinate and execute COB and IS awareness across the Consumer Ops COE
A minimum of 8-12 years direct experience in an operations units
Enthusiastic team player, willing to work with colleagues towards a common goal
Can conform to shifting priorities, demands and timelines through analytical and problem-solving capabilities
Good communications and written skills
Good at documentation and presentation skills

Product Control Business Control Resume Examples & Samples

Analysis of Daily P&L (with Greeks) produced by India Line Control team
Providing supporting evidence using risk based, market based or attribution based analysis
Understand and substantiate the balance sheet
Understand and validate the calculation of trading provisions and their movements
Perform price testing, both month end and intra month, and assessment of valuation uncertainty
Accounting disclosure and reporting as required under various GAAP
New deal approval: Review new bespoke transactions and work with other support groups to work out a plan for P&L recognition, accounting treatment, valuation treatment etc
Project experience, lead from PC perspective for infrastructure set up and discussion

Junior PC Business Control Resume Examples & Samples

The independent validation of the value of our trading portfolios
Validation and control around the PnL & Balance Sheet with a license to challenge valuation and accounting methodologies, residual trading and operational risks and the overall impact on the bank
Obtaining and understanding of the underlying businesses and develop, maintain and govern an effective control framework
Maintaining key relationships and representing the PC agenda in meeting with functions such as Front Office, COO, Market Risk, Credit Risk, Technical Accounting, Financial Modeling, etc
Managing a close relationship with on-shore Line Control teams (PC P&L production) to ensure that daily, weekly and monthly hand-offs are efficient and that there is no gap in PC’s overall control model

PC Business Control Resume Examples & Samples

Ensuring complete, accurate and timely P&L, Balance Sheets and analysis
Working with the businesses and the new business product groups to evaluate & integrate new products and businesses into our financial environment in a controlled manner
Analytically evaluate the performance of trading desks to help prepare commercial and business focused commentary for the use of senior management and regulators
Prepare and review key disclosures from accounting disclosure such as Fair Value leveling (FAS 157) to regulatory disclosures
Validate and substantiate that new trades are accurate through Structured Trade Reviews, New Deal Reviews, New Business Initiatives and the Pre Trade Approval process
Develop and drive a change agenda with a focus on not only delivering efficiencies but also to meet an ever challenging regulatory environment

In Business Control Head Resume Examples & Samples

Identifying which Consumer Banking in-business control activities are being performed and by which in-country units, and establishing a model and a plan that ensures that these are brought within the IBC Head’s span of control, and that these are centrally and coherently coordinated by the IBC Function, preventing any duplication in controls. This will include management responsibility of key Consumer Control departments such as CBSU, Branch Policies and Sales Monitoring functions
End to end responsibility for Controls within the Consumer organization
Leading and assisting in the implementation of global, regional and country risk and control policy requirements
Develop interaction model at a country level with other control functions, legal, compliance, ERM, IA etc. to ensure awareness of all Consumer related risks to ensure delivery of Single Point of Contact responsibility
Maintaining oversight over emerging and existing Consumer Banking key risks, issues, controls, corrective actions and enhancement initiatives on an end-to-end basis
Manage effectively the Operational Risk framework for Consumer. Evaluating, assessing and validating controls through processes and tools including MCA, Key Risk Indicators (KRIs), Key Performance Indicators (KPIs). Participate in quarterly MCA rating process
Develop standard metrics for evaluation and appropriate action
Proactively and promptly notifying and escalating material emerging and existing issues and risks, such as control breaks, fraud events, etc, to country and regional management (within BH rules of the road framework)
Actively partnering with Consumer Businesses and Functions in the coordination of internal audits and regulatory reviews and providing support with audit and examination deliverables, tracking of engagements, monitoring of issues and CAPs raised as part of the audit process, etc
Promoting a strong culture of risk and control awareness and compliance with policies and requirements in the Consumer Bank
Leading and assisting initiatives for providing training and raising awareness on Consumer Bank risks and controls, as well as processes and tools for risk prevention, detection, and reporting
Strengthen Consumer governance within the Country
Enhance controls based on learnings from Operational Losses, IA reports etc
Review and approval of all business Policy and Procedures from a control perspective
Ensure appropriate change management controls are in place and all parties understand their responsibility
Enhance oversight of controls for Consumer on Third Party management/IS/Tech Controls
Extensive knowledge of Citi policies
Experience in control function or strong audit results
Ability to deliver results through collaboration
Excellent coordination and organisational skills
Ability to assess balance of risks and controls
Minimum of graduation is required
Extensive Consumer business experience, preferably across various products/functions

VP-business Control Resume Examples & Samples

Coordinate completion of all FID Deep Dives ensuring all follow up / action points are addressed and appropriate quality of deep dives is maintained
Assist in the rollout of BC/VC integrated control projects across APAC FID
Ensure consistency in control processes across APAC FID. This would include SOX, IPV, PL Analysis, Monthend tasks
Coordinate action plans to improve control processes and monitor progress toward remediation
Coordinate Scorecard Review and follow up of outstanding items
Manual Adjustments Reviews: Assist in monthly review of adjustments including P&L and balance sheet substantiation within each BC area. Document adjustments of concern and escalate appropriately, review hard journals posted
Compilation and documentation of monthly work conducted around IVR including evidence of review by the L3
Issues Tracking: Assess, monitor and track outstanding issues and action plans from audit reviews, control incidents, and other internal control reviews. Monitor progress toward resolving such issues
Assist in ongoing assessment of the existing financial operating environment, identify areas of potential control weakness and bring forth forward thinking ideas to create more robust control framework
Ensuring timely Masterfile compilation / completeness
Perform periodic deep dives on different businesses to identify tasks that can be rationalized / done more efficiently
Serve as FID SOX coordinator and Accounting representative
Creep list coordinator and ensuring all saves are detailed
Work with L2s to have a standardised control process for all new regulatory requirements ( eg PRA) or new change initiatives, with a focus on adoption
Pulse check to ensure that the benefits of the changes are being realised by the respective teams
Educate the team on new regulatory requirements or changes in the policy via regular updates of same
IVR secretariat for APAC division

Team Leader Business Control Management Team Resume Examples & Samples

You are managing, driving and steering a dynamic and motivated team of business controllers with the overall purpose to strengthen the bank's control framework
You are responsible to orchestre the performance of business controls and ad hoc review in good quality and timely manner
You ensure that control and review results are being tracked
You are representing the Location BCM team on risk and control related issues in meetings with department internal and external stakeholders

Director Volcker Business Control Unit Resume Examples & Samples

Monitoring and reviewing Volcker alerts and metrics for the Global Markets - Debt businesses as part of the Volcker Compliance Program (VCP)
Presenting findings to Senior Management
Assisting Front Office and the Volcker Risk Office (VRO) in resolving concerns, pertaining to the VCP
Monitoring limits required under Volcker, including market making inventory limits calibrated to Reasonably Expected Near Term Demand (RENTD)
Monitoring the efficacy of the limit framework implemented under VCP, for the purpose of ensuring compliance with Volcker Rule
Analysing performed for risk mitigating hedge exemptions and the subsequent monitoring of hedge effectiveness
Monitoring selected risk factor sensitivities submitted
Assisting in VRO documentation of reviews undertaken, covering quantitative and qualitative reviews of the Volcker Compliance Program
Providing support for regulatory enquiries, trade surveillance queries & Senior Management reviews

Investor Services Business Control Resume Examples & Samples

Represent IS BCO in the Americas and act as an ambassador for the team
Work closely with different business and service providers to develop and implement a controls framework that can satisfy BCO, DCO, AFC/AML, ABC and business needs
Work with infrastructure support functions to coordinate and facilitate various risk assessments being conducted across all InvS business lines globally. Maintain annual risk assessment calendar of scheduled reviews (e.g. R&CAs, Compliance Risk Assessments, CCF, CEF, and LRAPs, etc.) to ensure effective management and timely escalation of issues identified. Work with businesses to address deficiencies identified to ensure appropriate controls are implemented, KOPs are developed and timely training is conducted to relevant businesses/functions impacted
Facilitate reporting and presentation of performance metrics against the controls framework to InvS management
Work with InvS country Point of Contact (PoCs) persons to ensure customer complaints are captured, escalated, reported to the InvS SMF in a timely basis. Work with the DBC team to continue to develop/enhance complaints metrics reporting
Work with business representatives and service providers across the InvS value chain to identify control issues and address these before issues arise
Work with Market Advocacy Team to determine whether the right market and regulatory projects are being performed and are aligned with pertinent regulatory requirements for InvS, whether these are appropriately resourced and funded and assess whether the delivery of these projects is progressing according to plan
Participate in regularly scheduled meetings including, for example, regional KYC, Customer Complaint and monthly Volcker working group forums
Take an active lead in executing certain projects as and when required
Support major incident identification, escalation and resolution

Business Control FID Treasury Resume Examples & Samples

The independent validation of the value of our trading portfolios. Working with the businesses and the new business product groups to evaluate & integrate new products and businesses into our financial environment in a controlled manner
The provision of reliable and meaningful financial information to the business managers, external stakeholders and other relevant internal constituents
Daily P/L Analysis ensuring that the Actual P/L, Risk Based P/L, and Attributed P/L (Clean P/L) are complete and accurate
New Trade analysis
Cancel and Correct analysis
P/L commentary covering Daily, Mtd, QTD, and Ytd P/L
Balance Sheet Analysis
Execution of the end of month (IPV) and Intra month (IMPV) price testing
Fair Value Levelling and reporting
3 - 5 years of financial service, banking or accounting experience
Exposure to financial products, including fixed income products
Team player, proactive, self-starter, who can be dynamic and implement process changes

Business Control Resume Examples & Samples

Degree in accounting and/or 5-7 years experience in an accounting product control finance role
Ability to analyze financial results and recommend and implement necessary actions to maximize the business returns and enhance the operation performance
Understand how to monitor and control processes, providing a change management approach to constant improvement while managing day-to-day issues in a fast-paced environment
Ideally 3+ years working in a product control environment or business support role, familiarity with financial products and accounting practices
Taking active part in the development of business processes and procedures, methods, information and systems as well as strategies and action plans in order to improve business performance and company profitability
Assist key stakeholders in Financial Control, Finance, GTO (operations) and Front Office to analyze financial and operational information, identifying strengths/weaknesses and recommending improvements in methods and processes
Operational investigation and analysis of balance sheet risks in all parts of the Financial Control process (FOBOs, Reserves, Adjustments, Disclosures, Control reporting and monitoring, Audit point closure related to controls, etc.) to local and global management
Monitoring the balance sheet via the Accounting Services production output and mosaic of reporting and control processes throughout the firm (MRP, PAO/SAO processes and signoffs, ROMMs/SOx, New Product Approvals)
Proposing and participating in improvements to the overall Financial Control operating and engagement models to improve transparency of issues and efficiency in fixing them
Proposing and participating in developing processes and procedures to minimize operational risks

Business Control Resume Examples & Samples

Validate minimum sample size based on control frequency and adjust sample size on a quarterly basis
Validate Control Description/Objective/Risk/testing plan to ensure consistence with current process
Independently generate testing universe unless it’s provided by non-STS organization
Select samples with risk based sampling approach
Obtain artifacts by him/herself, or collect artifacts from execution team as supporting documents
Perform testing according to testing plan, using re-performance testing approach
Participate in clarification, request/Obtain for additional artifacts where necessary,
Participate in defect discussion and finalize defect with classification. Identify root causes, recommend action plans and secondary controls
Review action plan and secondary controls provided by execution team
2year+ BPO related working experience

Business Control Mgr Resume Examples & Samples

BS/BA Degree
Prior monitoring and testing experience
Prior Project Management and / or Change Management Experience
Strong relationship management experience / skills including the ability to interact, communicate and influence equally well within all levels of organization
Proficient on Microsoft Office (Outlook, Word, Excel, PowerPoint)
Prior Corporate Audit experience
Knowledge of Six Sigma methodology and tools
Experience with Vendor Management or Sourcing

Cib-f&bm Business Control Resume Examples & Samples

Completion, review and analysis of quarterly regulatory reporting, coordinating with LATAM locations, Middle Office and Central Reporting teams
Understand RWA results for the business, analyzing main drivers, ensuring results are accurate and communicate results and issues accordingly
Able to understand RWA and IBT calculations for new structures and positions
Strong accounting background with 1 to 2 years of experience highly preferred
Understanding of financial products as bonds, derivatives, structured notes, etc
Strong analytical, problem-solving abilities and detail oriented
Ability to deal with different teams across the region and drive an tight agenda

Director Business Control Region EM Resume Examples & Samples

A university degree in either Finance or Business Administration
Commercial experience developed in a structured sales organisation
Minimum 5-10 years of experience in the included areas
Proven experience on dealing with different cultures in multi-national organizations
Management experience from Leading Leaders
Fluent in English, additional languages is an advantage

Business Control Director Resume Examples & Samples

Support international sales to monitor product and market profitability
Ensure international sales processes are in line with compliance and the Volvo way
Secure expenses controlling in the central functions including President and CFO offices, HR, RE, IPS, ACC, legal and IT departments
Actively involved in annual budget and forecast related processes
Focus on IT systems network rationalization
Drive and challenge direct reports and develop the motivation, knowledge and teamwork in the Finance department
Commercial experience developed in a structured sales organization
Proven experience in dealing with different cultures in multi-national organizations
Proven experience in managing change
Open minded and prepared to interact in a changing and demanding environment
Good understanding of the Volvo Group Businesses and UD trucks
A genuine team player with strong leadership and well developed communication skills
Available to travel (maximum 20% of the time)
Good knowledge of SAP, Essbase and UD Trucks reporting tools
Proven experience working on and quickly understanding IT systems
Fluent in English. Japanese or additional languages are an advantage

Business Control Assistant Resume Examples & Samples

General assistance to other members of the team as required, in particular with actions relating to New and Used vehicle administration
Support the Business Control Analyst with month end activities
Prior knowledge of Accounting preferred but not essential
High degree of IT competency, especially excel and access
Logic/analytical skills
High numerical ability
Confident personality
Able to discuss issues and challenge

Business Control Unit Resume Examples & Samples

Supporting implementation of 3 LoD program in EM
Identifying non-financial risks (regulatory, conduct and systemic) for Front Office and definition of control requirements thereof
Developing, implementing and monitoring level 1 controls
Creating metrics and reports to ensure appropriate monitoring, management and transparency of non-financial risks
Responsibility for monitoring the risk remediation/implementation on key issues
Ongoing monitoring and creation of management reporting and escalation process to senior management
Providing information and coordinating with 2nd and 3rd LoD and Divisional Control Office on control information and implementation
Inputting definition of control improvement programs, and analyzing the efficiency of spend on controls (including Debt wide and bank wide programs)

VP Business Control Resume Examples & Samples

Provide leadership and resources in the development, maintenance and improvement of all business control related activities throughout the business
Serve on different functional and cross-functional committees. Assure compliance with financial policies of parent company and regulatory agencies
Assure consistent and continuing developmental needs of the business control function and team
Bachelor’s Degree in Finance or related field, MBA or CPA preferred
Preferred Experience and Knowledge
15 years experience in the field

VP, Business Control Resume Examples & Samples

Manage the business control function for the business area GTA&JVs
Manage and develop the financial plan and forecasts processes for the Business area
Follow up of short and long term targets and objectives
Active business control towards business functions as well as staff functions
Drive, support and follow up activities linked to capital efficiency and break-even management
Prepare business review management (BRM) and executive management material
Actively work with continuous improvement and implement changes through Operational Development
Develop policies, procedures and guide lines in the area of Business Control
Business support to GTA&JV management as well as management and participation in different projects
Masters Degree in Finance or similar
Business oriented and a holistic view
Previous controlling and accounting experience is essential
Proven leadership competencies with the ability to inspire, delegate and prioritize
High level of personal integrity and credibility
Team player with strong logic and analytical skills
Good organizing skills
Proactive approach with a strong drive to improve and develop
Good PC knowledge. Overall understanding of IT solutions is an advantage
Well spoken and written English
Good network and communication skills
Minimum 10 - 15 years of working experience preferably within in the business control area

CIB Bacc-business Control Resume Examples & Samples

RCSA (Risk and Control Self Assessment):Maintain structural and related data including management of business hierarchy changes, Cross LOB Consistency reviews, RCSA Calibration exercises, PARCs (Process Activity, Risk and Control), Inherent Risk Weightings, Control Ratings, Business Guidance and Procedures and issue/action plan linkages. Represent the BCO team at CIB RCSA governance meetings and manage all BAU requests. Ensure CIB/Corporate RCSA standards are complied with
Other:Operational Risk System Recertification and Adhoc risk / control data management requests
Understanding of end to end control process and reporting requirements
Key focus on attention to detail
Strong set of problem solving and re-engineering skills
Proficient in Microsoft Excel, Word, PowerPoint skills
Clear and concise in verbal and written communication
High level of motivation and diligence
Exceptional organizational and follow-up skills
Ability to adapt to changing priorities as well as multi-task
Partnering and influencing skills

CIB Bacc-business Control Resume Examples & Samples

Control mindset oriented. Understanding of end to end control process and reporting requirements
Knowledge of Sworn Documents, Collections Litigation, and the Service members Civil Relief Act (SCRA) a plus but not required
Ability to act independently, multi-task and adapt to changing priorities
Proficient in Microsoft Excel, Word, PowerPoint, and SharePoint

Business Control Function Lead Germany Resume Examples & Samples

A degree in Accounting/Finance with several years of experience in public accounting and/or auditing and/or a combination of public/private experience with financial reporting, financial system maintenance, consolidation, internal audit with a multinational corporation
Practical experience with Sarbanes-Oxley
Demonstrated ability to analyze and interpret complex problems/data gathered from a variety of sources and, through effective decision-making and planning, deliver superior business solutions
Demonstrated ability to work with a range of technically and culturally diverse people, influencing them to get things done in a transforming business environment, and delivering results that meet high quality requirements with tight deadlines
Ability to communicate to diverse audience at multiple levels with the company
Ability to comfortably work in a continuously changing and dynamic environment
Project management, people management, leadership experience
Demonstrated ability to effectively identify problems and generate potential solutions
Fluent in German and English
Demonstrated ability to set priorities and work on demanding deadlines, accurately and with consistency
Demonstrates intellectual and emotional capability, ownership and commitment

Business Control Mgr Resume Examples & Samples

Leading key projects to ensure consistent monitoring of third party risk across all of CitiMortgage while ensuring compliance with OCC guidelines
Design and implementation of strategy and long term plan of vendor oversight
Participates in Enterprise level projects, meetings, workgroups
Manages the development of control policies, tools, training, and program documentation to support the consistent execution of TPO activities across CitiMortgage. This includes governance, risk assessments, audit and risk testing modules, and provide consultation and advice regarding CitiMortgage third party oversight requirements in various forums
Identifies emerging risks and implementation of mitigating controls
Supports all levels of exams, including Internal Audit, regulatory, risk and compliance
Coordinates procedural changes in conjunction with refinement opportunities
Analyzes and assesses third party risk items for trends and themes, and develop action plans and remediation as appropriate
Assists in the creation / updating of team KRI’s and KPI’s
Delivers training for staff regarding new tools and procedural changes
Degree: Bachelor's degree/equivalent experience
Minimum five years of combined business, project management and team leadership experience required
Mortgage industry experience preferred
Demonstrated track record having worked as a Project Manager and/or Lead, managing a team and large, strategic projects
Ability to build strong partnerships with others, inside and outside the team. Must be comfortable interacting with mortgage leaders
Ability to effectively communicate ideas, project progress, and recommendations through creative presentation materials
Excellent analytical, decision-making, and problem solving skills

Business Control Resume Examples & Samples

Work experience of 5+ years in Financial Services industry
Proven people management & team leadership
Product Control experience
Undergraduate degree in Accountancy, Business or Commerce
Detailed knowledge around accounting and valuation of the aforementioned products
Highly numerate with strong analytical skills and ability to define and apply logical approach to issue resolution
Excellent communication (written, verbal, presentational) skills
Strong team player with the ability to work closely across locations
A solid control focused mindset and hands-on approach to investigating issues

Director Business Control Resume Examples & Samples

Budgeting and reporting.You control and monitor the process of budgeting, reporting and monitoring of the PD organization that covers up to 400 resources and a development budget of < 1BSek
Management role.You will lead and develop the people in your team as well as taking responsibility for the development of working processes and practices within your area of responsibility in the quest for continuous improvement
Member of the PD management team.The PD management team covers all core processes of Product Development, including Project management, Design, Verification & Validation, Documentation and Support processes. Each individual in the team has a great opportunity to influence the future of Volvo Penta
Business & Project Controlling.You have experience from business controlling in a project environment. You are skilled in Volvo Group financial reporting processes as well as systems
Analysis & Communication.You can easily structure and analyze complex data sets using relevant tools like Excel. You package and present data in a way that provides an efficient and relevant decision-making
Business understanding.The successful candidate understands business and how to prioritize between activities to make as much positive impact on the business as possible
Leadership.You have responsibility over a team of business- and projects controllers. You are capable to develop a plan for the PD controlling support and engage the team in building the necessary processes and skills to execute the plan

Business Control Resume Examples & Samples

Review the quarterly ranking provided by the Investment Risk team to identify outlying risk-adjusted performance, the contributing factors and steps necessary to improve results
Escalate concerns to Advisory program management and the Investment Risk team
Partner with Financial Advisors and Branch Management to address performance issues
Document findings and prepare statistics p Business Control organization
Ability to interact effectively with experienced Financial Advisors and Program Leads
Strong understanding of markets, asset allocation, risk analysis, and product-specific risks
Strong work ethic and detail orientation
Proficiency in Microsoft Excel and Power Point
Qualitative analytics experience with risk management focus
Experience with risk management software

Business Control Mgr Resume Examples & Samples

Working knowledge of BAC Enterprise Change Framework processes and/or Project Management Lead experience
Facilitation with Compliance, Business Partners, and Technology (Influencing and follow up)
Strong knowledge of Small Business on-boarding processes
Proficiency in Microsoft Excel, Project Office, PowerPoint and Outlook
Strong customer service and relationship building skills
Ability to work under pressure and on deadline
Self-motivated and able to work independently with minimum supervision
Detailed documentation of business requirements, meeting minutes, tasks and workplans meeting quality standards and reviews
PMI (Project Management Institute) certification
Knowledge/History of Bank of America project management processes and standards

Business Control Mgr Resume Examples & Samples

Ensure that Global Trade Operations has robust, day-to-day risk management routines
Oversee regional Risk and Control leads in APAC, EMEA, US and Bank of America Continuum India
Act as a challenge function to the business by providing independent feedback and willingness to push back
Assist business leaders in preparation for regulatory exams and audits
Provide advice and counsel to the LOB regarding risk mitigation strategies and escalate risk concerns as necessary
Conduct assessments focused on the identification of operational risk and control gaps
Evaluate the effectiveness of processes, metrics, mitigation actions and policies and procedures
Communicate risk positions with senior leadership across the organization
Sit on the Global Trade Operations Senior Leadership Team and coordinate closely with other leaders

Latin Currencies & Emerging Markets Business Control Resume Examples & Samples

Support Balance Sheet review for CEM Brazil and Mexico desks
Work with Financial Controls, Operations and other support groups to ensure Balance Sheet data quality in compliance with US GAAP rules
Prepare Regulatory Reports for External Reporting purposes
Consolidate data from the different product systems to improve efficiency from the team
Consolidate MIS information and prepare presentations to Front Office / Senior Management
Participate in the implementation of new initiatives, products and processes automation
Students of Accounting, Business Administration and Economy with interest in Finance
Graduation in 06/2019 or later
Fluent in English. Spanish is a plus
Knowledge of MS Office package. Visual Basic is a plus

Head of Global Business Control Function Resume Examples & Samples

Sets Vision/Mission for BCF as well as a core set of values, adopted consistently across the Function
Responsible for Sarbanes Oxley compliance and support of management’s assertion over effectiveness of internal controls
Develops, administers and addresses commercial, financial and functional control risk assessments
Develops continuous improvements to financial and operational business risk function
Works in close cooperation with financial operations, compliance, legal and operating management in support of the internal control environment and related risk assessment process
Maintains close working relationship with Market/Functional FDs, understands their operational challenges and engages in collaborative problem-solving
Oversight of program to ensure adequate and prompt remediation of internal audit observations
Provide guidance and input regarding all corporate financial/compliance systems operations and implementations to ensure the appropriate internal controls over financial reporting and compliance are incorporated in related business processes
Ensures BCF testing for anti-bribery/FCPA compliance is performed under continuously evolving risk and established practices
Oversight of BCF contributions to the Company’s third-party risk management program (i.e., distributors, contract sales organizations)
Leads a large team (20-25) of dedicated control professionals across BMS’ global operations and manages a large network of business liaisons (30-40) supporting the control function
Oversight of approval authority maintenance
Establishes and builds relationships with Business leaders/ Compliance Committees/External/Internal Auditors
Establishes reporting of SOX results to senior leadership and the BMS Board/Board Committees on ICFR
Responsible for reviewing the aggregation and evaluation of all control deficiencies, including pervasiveness assessment across all end-to-end processes
Actively participates in and provides guidance on interpreting accounting procedures and practices to ensure appropriate financial controls
Sponsors process improvement projects with a focus on enhancing control effectiveness
Builds a BCF community and talent pipeline
Ensures a consistent financial risk and control framework is utilized by all markets/functions…adoption of COSO framework, SOX 404/302 requirements
Keeps abreast of professional developments related to controls, accounting and other skills relevant to this position and department staff
Support business functions on financial/control findings in ensuring deficiency remediation and appropriate application of process enhancements
Monitoring and reporting on channel inventory level compliance, including local, regional and corporate inventory working group requirements to provide oversight, governance and reporting for days’ on-hand inventory management
Escalates and reports control exceptions and audit point remediation status to the Chief Audit Executive
Oversight on all BCF network facilitation of internal and external audits
Oversight of training program and content for BCF community
5+ years’ experience in Public Accounting or equivalent internal audit function
8-10 years Finance/Accounting in complex global public company environment
Minimum of 2 years in global commercial operations with significant involvement in complex manufacturing, commercial market, clinical trial environments and financial operations dynamics, with strong understanding of controls and continuous monitoring processes
In-depth knowledge of current accounting principles and leading industry practices
Strong understanding of anti-fraud measures and compliance with healthcare law, policy, and regulation
Strong, proven leader and influencer
Can manage and develop large teams
Work well in an environment of complexity and uncertainty
Strong and broad global complex financial and operational perspective
Ability to execute problem solving, solutioning and remediation oversite in a confident, timely and successful manner
Ability to display tact and diplomacy in difficult situations

Director Group Business Control Resume Examples & Samples

Provide insightful financial analysis to senior management that in an effective and efficient manner gives factual information about the Group's performance
Understand and develop insights on Category, product and market profitability
Identify and proactively provide recommendations and prioritizations to senior management on corrective actions to reach best in class performance
Actively drive periodic reviews of business performance in line with both internal and external needs
Drive, measure and evaluate multi-year value creation in line with strategy
Active involvement in the financial planning process including analytical output and target setting
Responsible for managing execution and implementation of process and performance improvement initiatives in line with strategy
Develops and maintains the Group’s financial steering mechanism and actively drives Resource Allocation management
Actively drive value creation awareness across the Group
Responsible for own projects
Very strong analytical capability
Ability to handle complexity and deal with ambiguity
Expertise or knowledge in an FMCG environment
Understanding of operating in a matrix organization
Advanced MS Office skills and user expertise in intelligence tools
Must possess a Finance/Commercial degree
Analytical mindset with the ability to understand and interpret figures and make recommendations to senior management
Customer and consumer driven
Drives performance and knowledge sharing
Demonstrated success in making and documenting evidence-based decisions

Head of Business Control Resume Examples & Samples

Heads of Business Control are responsible for working in partnership with CEOs to strengthen the control environment by embedding the Barclays Enterprise Risk Management Framework (ERMF) a culture of accountability
1st line Risk and Control Management
Implement and maintain the Barclays Enterprise Risk Management Framework in a way that is aligned to business objectives and the relevant Business Unit Vision and meets the needs and expectations of key stakeholders
Provide the appropriate assurance to the business unit MD and leadership teams that they are operating within risk appetite and complying with relevant regulations for all products and services
Work with the BUK CCO functional teams, Operational Risk, Compliance, Business Incident Management and others to ensure that events are understood, reported, escalated through 1st and 2nd line and managed to resolution
Through the identification of root cause issues and predictive trends support the MD in taking appropriate action to mitigate risks and provide great customer experience and sustainable business growth
To support the CEO and leadership team members in undertaking control remediation activity to return the business to within defined tolerances
Ensure business ownership and the timely completion of Risk and Compliance requirements including Key Risk Reporting (KRR), Risk and Control Self Assessments (RCSA), Event Reporting etc in the relevant Group systems of record e.g. ORAC
Regular review and challenge of quality assurance activity and certification of the adequacy and effectiveness of controls and compliance with Group policies, and self-testing of regulatory and compliance requirements
Provide focused management information and reporting commentary to enable senior leadership to take appropriate and proportionate action
Develop understanding of regulatory and policy requirements across the product lifecycle and all business practices. Work with the BUK CCO functional team, to ensure all products and initiatives align to BUK and Group standards
Lead the monthly Business Unit Control forum to ensure risk and controls issues and required actions are understood and agreed across the business and escalated as necessary
Through analysis, determine the right area to focus training and communication activity, recommend options to secure improvements in performance that will include communication of the impact of the proposed training on the performance within their business area
Run the team in control including cost centre management, operating model and strategic goal setting, with a specific focus also on colleague capability to deliver Conduct & Control’s goals
Be a member of project steering committees for all relevant Regulatory Change and business assurance projects as required
Work with other conformance & compliance leads across the group to share ideas, best practices and ensure consistency of experience across BUK and beyond
Proven experience of managing customer risk at scale across end to end processes and distribution channels in a very challenging regulatory environment eg 1300 branches; 3 global locations
Working with a high degree of autonomy to build and apply control standards and senior decision making. A compelling communicator, dynamic, and capable of setting and drying own agenda, whilst enlisting support from senior management
Role influences over 20,000 colleagues covering all sales and operations activity
Develop, implement and maintain effective assurance frameworks across all product, customer and change processes
Advise and influence the Design build and run of best in class control frameworks (i.e. new customer acceptance, Performance Management Framework, Colleague Knowledge and Capability Standards, Global Sales Practice Standards,

CIB Bacc-business Control Resume Examples & Samples

RCSA (Risk and Control Self Assessment): Maintain structural and related data including management of business hierarchy changes, Cross LOB Consistency reviews, RCSA Calibration exercises, PARCs (Process Activity, Risk and Control), Inherent Risk Weightings, Control Ratings, Business Guidance and Procedures and issue/action plan linkages. Represent the BCO team at CIB RCSA governance meetings and manage all BAU requests. Ensure CIB/Corporate RCSA standards are complied with
Other: Operational Risk System Recertification and Adhoc risk / control data management requests
Control mindset oriented

Senior Director, In-business Control Resume Examples & Samples

Design and implement an optimized risk management framework to identify, document, report and remediate errors, data quality issues, critical IT and Operations events, and similar issues
Increase stakeholder accountability and ensure compliance with the error correction policy
Oversee the management of error records, participate in Error Forums, and reduce error rates by ensuring robust root cause analysis and preventive actions
Deliver risk and operational metrics and actionable insights to a broad set of stakeholders (Compliance, Operating Office, Analytic Practices, etc.)
Lead bi-weekly IEM meetings and ensure timely resolution of new and pending events, including thorough root cause analysis and effective remediation
Drive proactive identification, management, and resolution of risk-related events
Work cross functionally to respond to regulatory requests for information
Partner with the Data Office to ensure the delivery of information quality metrics and insights to Analysts, AMs and LAMs
Work with stakeholders to optimize Information Quality related controls
Oversee the software/applications (i.e. ETR, IQM, IEM, etc.) that support key risk management processes
Lead monthly Documentation Governance Council meetings to resolve and minimize documentation issues within the ratings process
Work with Operating Office colleagues to develop processes and solutions to ensure the effective identification, tracking, and mitigation of risks; including participation in control assessments, management of risk registers, and implementation of monitoring and testing of controls
Lead additional operational processes as needed (e.g. EUCA, document management, etc.)
Drive process transformation to align with regulatory and internal changes; and to optimize, standardize, and automate end-to-end risk management processes
Manage a small global team, including hiring, performance management, and career development
Bachelors required, MBA or Masters preferred
Ability to work in a complex and highly matrixed environment; including being skilled at influencing senior leaders across the organization (Lead Analytic Managers, IBCOs, senior leaders across Risk, Compliance, Legal, Data, Operations, and IT)
12+ years of experience in a regulated industry
Operational mindset and an ability to use data to create and simplify sustainable processes
Experience leading teams, including the ability to effectively allocate resources to meet needs globally
Proven ability to attract, develop, and retain talent
Ability to demonstrate critical thinking to develop recommendations for designing and implementing effective solutions to complex problems
Experience in the following areas: technology, project management; process management, audit, and quality control
Ability to grasp complex concepts and synthesize effective solutions
Demonstrated skills in tailoring presentations and communications to varied audiences

Director, Business Control Resume Examples & Samples

Manage the Group Trucks Business Control department
Perform proactive controlling and guide the management team to achieve short and long term financial targets
Retail financial follow-up
Profitability management for new trucks sales
Provide actual, forecast, estimate and other financial information
Review and manage Investments
Management of cash flow development activities
Credit management and operating capital efficiency
Ensure good management of commercial risk and policies related to credit, residuals and used trucks, contract maintenance and authorization directives
Management of internal control issues
Take active part in the development of new business strategies, segments and establishments
Secure that Volvo Financial Policies and procedures are adhered to
Secure that financial guidelines and routines are in place and adhered to
Minimum 7-10 years of senior line management experience
Proven experience in
Truck retail business
Working capital management
Forecast and planning
Business controlling & internal control
Risk management and compliance

CIB Bacc-business Control Resume Examples & Samples

Regulatory Response management programs
Strategic and transformational programs with front office ownership
Defining project scope, stakeholders, strategic solution and delivery plan
Managing the project lifecycle and driving the delivery of large cross LOB projects
Communication of status updates to stakeholders and senior management through presentations and reports in multiple forums
Build and maintain working relationships with stakeholders in the different businesses and functions (e.g. Legal, Tax, Finance, Operations, etc.)
Proactive identification and escalation of issues and risks
Partner with technology to ensure the desired business solutions against a challenging timeline
Coordinate working group meetings, set the agenda, prepare meeting materials, document minutes and ensure clear ownership of action items

Business Control Mgr Resume Examples & Samples

Leads the High Risk Process program, engaging with senior leaders and key partners to drive enterprise wide improvements
Managing the cross channel authentication process throughout the Consumer Business
Leads a team of 11 with Business Control Managers and Senior Business Control Specialists
Manages the Process Risk & Control (PRC) program; ensures identification and satisfactory controls for key processes
Executes the Risk & Controls Self-Assessment (RCSA) for RCS and PSB
Administers the Contact Center Compliance training program
Partners with Regulation owners to ensure alignment of training with contact center job functions
Drives the Verbal Disclosure governance process
Leads the RCS/PSB Letters Administration controls and alignment with enterprise standards
10+ years experience including some combination of Operational Risk, Compliance, Audit, Business Controls, and/or customer facing consumer channel leadership
Strong Risk Management expertise
Ability to communicate with and influence at the Band 1 -3 executive levels
Cross – channel knowledge in the Consumer business
Experience leading virtual teams

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