Business Control Specialist Resume Samples
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Business Control Specialist Resume Samples
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UK
U Keeling
Ursula
Keeling
334 Harris Brooks
Philadelphia
PA
+1 (555) 957 6575
334 Harris Brooks
Philadelphia
PA
Phone
p
+1 (555) 957 6575
Experience
Experience
Philadelphia, PA
Business Control Specialist
Philadelphia, PA
Barton Group
Philadelphia, PA
Business Control Specialist
- Assist locations' oversight managers by providing information/data on offshored activities when requested
- Collaborates – works effectively with others by establishing and maintaining positive working relationships
- Establish a compliance testing calendar to define timelines for performing compliance testing, publishing test results and review with management
- Provide ongoing support to our business partners by providing feedback on call trends and online resources
- Follow up with service providers to ensure coherence, follow up on issues, share best practices, discuss performance, incident, issues and upcoming changes
- Work independently, being unafraid to research an issue, make a well-informed decision and act on it
- Identify opportunities to streamline processes to create effective & efficient work functions while maintaining a level of excellence
Chicago, IL
New Business Control Specialist
Chicago, IL
Rau-Frami
Chicago, IL
New Business Control Specialist
- Provide guidance to "Internal Clients" who are looking to seek approval for a new business or complex transaction according to UBS’s New Business Control Framework policy 1-P-001339
- Knowledge of Risk Management or products
- Appreciation of risk management/control / audit
- Provide approvals for the cases
- Facilitate case discussions between control and logistics functions and business initiator
- Strong product knowledge of structured products/derivatives
- Review proposals submitted to ensure they are of a concise and comprehensive standard and quality
present
San Francisco, CA
Asset Management Private Bank Business Control Specialist
San Francisco, CA
Abernathy LLC
present
San Francisco, CA
Asset Management Private Bank Business Control Specialist
present
- Work closely with Business Management, and other supervisory functions, to define the scope of monitoring and surveillance of business activities
- Analyze findings in order to provide recommendations or guidance to stakeholders
- Conduct reviews with a focus on business risk and control frameworks
- Perform ongoing maintenance of EURC roles to match checklists
- Work with Audit, O&C and related partners to help maintain the USPB control agenda
- Initial review of business processes and subsequent design and implementation of assurance testing procedures covering business critical areas
- Draft and maintain control and onboarding procedures
Education
Education
Bachelor’s Degree
Bachelor’s Degree
Texas A&M University
Bachelor’s Degree
Skills
Skills
- Ability to adapt quickly to change
- Strong knowledge of project management methodologies, operating policies, procedures and practices
- Proven ability to meet and exceed productivity and quality monitoring goals
- Strong Organizational Skills, Time Management and Attention to Detail
- Strong research skills and attention to detail
- Quick learner with ability to adapt to change
- Detail oriented, self starter, and ability to work independently
- Ability to learn new systems quickly
- Strong ability to communicate (written and verbal) with internal partners
- Strong attention to detail
15 Business Control Specialist resume templates
Read our complete resume writing guides
1
Private Bank Business Control Specialist Resume Examples & Samples
- Working closely with the business, supervisory management, compliance and other control functions to define the scope of monitoring and surveillance business activities
- Proficiency with Microsoft Office is essential due to the data gathering and reporting elements of this role
- The ideal candidate will have a solid foundation of experience gained within a financial institution including some monitoring experience
2
Business Control Specialist Resume Examples & Samples
- Review samples calls utilizing Recording technology to validate procedural accuracy
- Document the call assessment in the departmental database
- Complete call monitoring on various samples provided - to include random monitoring, trigger monitoring and incident monitoring to investigate non-compliant inquiries
- Provide ongoing support to our business partners by providing feedback on call trends and online resources
- Participate and/or facilitate in cross-site calibration sessions
- Supports achievement of control related goals for the department and function
- Provides support for control related initiatives at the division and corporate levels as well
- Identify research and escalate applicable governance, law and regulation issues; assist Legal with research requests and may interface with external agencies
- Partnership approach to problem identification and resolution
- Strong communication skills (both written and verbal)
- Spreadsheet, database and word processing experience required
- Displays a high level of integrity and commitment to both business and customer objectives
- Analytical approach to problem solving. (Inquisitive and intuitive)
3
Business Control Specialist Resume Examples & Samples
- At minimum Post-Secondary diploma
- Ability to work independently, as a member of a team, thinks critically and manages deadlines while multi-tasking
- Excellent oral and written communications skills as well as follow up skills
- Experience in analyzing process and making recommendations to control risk related to process
- Experience in Microsoft Office Suite and Citi Systems (NAPS, FDR, RPLID & BEST)
- Detail oriented and possess strong investigation and problem solving techniques
- Strong Analytical skills and have shown these in previous process improvements
4
Business Control Specialist Resume Examples & Samples
- Must have 2 years experience in auditing/banking
- Recovery experience preferred
- Demonstrated knowledge and advanced skills with MicroSoft Office products
- Must be very detail oriented
5
Business Control Specialist Resume Examples & Samples
- Confirm adherence to Regulatory and Risk Policies through account reviews, transaction testing, policy and procedure reviews
- Contribute to new review processes and provide insight on new report development
- Participate in control calibration sessions
- Participate in Data Quality Review
- Review current department processes, recommend changes
- Gain a thorough understanding of the work and processes performed within the department. Learn regulations governing the credit card industry and use knowledge to identify areas of non-compliance
- This position requires the ability to work independently with little direct supervision to meet deadlines
- Preferred 3 years of recent experience in Citi Cards Collections, and/or Customer Service,
- Knowledge of multiple platforms (FDR, IBS, UCD) and portfolios preferred
- Thorough knowledge of Operations Procedures and Risk Policies
- Strong PC knowledge and familiarity with Word, Excel, Outlook, PowerPoint and SharePoint
- Flexible and willing to adjust to changing processes and priorities
- Ability to work independently with little direct supervision
- Ability to analyze an account, quickly identify issues
6
Business Control Specialist Resume Examples & Samples
- Doing first level of analysis for AML alerts and investigating transactional activities to detect any suspicions of money laundering or terrorist financing activity,
- Contact the Account Officers to obtain the necessary KYC information to dispose off the AML alerts
- Conducting searches regarding to the analized alerts, gathering data and recording evidence from Citi internal systems, the internet, commercial databases and enquiry with business or Compliance contacts within Citi
- Conducting enhanced due diligence investigations in support of policies and procedures
- Review of Account Officers responses(AIR) for further enquiry, escalation or closure
- Conduct alert investigation using global standard policies, procedures and tools, aimed at meeting internal (GSOM and etc..) and external regulatory requirements
- Reporting unusual client activities which might relate to money laundering or terrorist financing
- Submission of requests for further information or suspicious activity recommendations
- Operating within agreed business SLAs and confidentiality standards
- Applying or adapting knowledge (obtained from training) of any imposed sanctions(s) or laws/regulation(s) to the task at hand
- Using global standard policies, procedures and tools
- Building and applying knowledge of money laundering processes
- Do the required escalation for the potential SARs (Suspicious Activity Reports) on suspect transactions, review the previously issued SAR files to identify continuing unusual activity and issue additional SARs
- Have control mechanism on the KYC profile process executed by branches, provide the required level of support for quality checks and share the results with relevant AML/Compliance staff and escalate the necessary gaps for further actions
- Required 2 years of experience in AML
- Required analytical approach with an eye for detail and emphasis on accuracy
- Required strong judgement and decision making skills
- Required fluent in English and Turkish languages
- Required proficiency with all MS Office products
- Preferred good interpersonal and written skills
7
New Business Control Specialist Resume Examples & Samples
- Degree graduate with 5- 8 years of relevant banking experience either in Investment Banking or Wealth Management
- Strong product knowledge of structured products/derivatives
- Appreciation of risk management/control / audit
- Firm and be able to articulate clearly and rationalise decisions made
- Strong analytical, risk management and/or audit/consulting skills
- Knowledge of Risk Management or products
- Ability to work in a Matrix Organization, i.e. global teams across varying time zones, with different nationalities & work cultures and reporting lines
- Confident and able to interact with colleagues from other functional areas and Senior Management
- Open to occasional business travels with Asia Pacific
8
Asset Management Private Bank Business Control Specialist Resume Examples & Samples
- Initial review of business processes and subsequent design and implementation of assurance testing procedures covering business critical areas
- Regular liaison with front and middle office staff regarding review findings and where appropriate, escalation to senior management
- We are looking for a self-motivated individual who is enthusiastic and has a keen interest in risk and controls frameworks
- The successful candidate will demonstrate excellent organizational skills and attention to detail, including the ability to manage multiple work-streams to tight deadlines
- Given that the role will involve communicating with employees of varying levels, the individual will need strong oral and written communication skills
9
Business Control Specialist Resume Examples & Samples
- Must have 2 years experience at Citi
- High school diploma or GED Required
- Demonstrated knowledge of the departmental processes and policies
10
Asset Management Private Bank Business Control Specialist Resume Examples & Samples
- Work with Audit, O&C and related partners to help maintain the USPB control agenda
- Work closely with Business Management, and other supervisory functions, to define the scope of monitoring and surveillance of business activities
- Draft and maintain control and onboarding procedures
- Conduct reviews with a focus on business risk and control frameworks
- Analyze findings in order to provide recommendations or guidance to stakeholders
- Monitor and process all onboarding requests (system access, registration, coordination of hardware, etc.)
- Recertify access
- Perform ongoing maintenance of onboarding checklists as business needs change
- Perform ongoing maintenance of EURC roles to match checklists
- Act as point of contact for inquiries and first level escalation of access issues
- The ideal candidate will have 2 – 3 years experience within a financial institution including some experience with audit / compliance / risk and control framework / onboarding
- Strong Excel and Power Point skills are essential due to data gathering and reporting elements of this role
- Ability to plan and prioritize
- Ability to multi task while working independently
- Strong sense of accountability and initiative
- Team player who is easy to work with, shows commitment and dedication, and can maintain both a positive attitude and high level of performance on high demand/time-sensitive initiatives
11
Business Control Specialist Resume Examples & Samples
- 3+ years of relevant work experience as a business analyst or project management
- Strong knowledge of project management methodologies, operating policies, procedures and practices
- Advanced skills in Excel (pivot tables, formulas, pie charts, etc.)
- Advanced skills in SQL
- Ability to Create, perform, and analyze ad hoc query requests
- Ability to translate business needs into effective and comprehensive/complete business requirements gathering, test plans and test scripts
- Detail oriented, self starter, and ability to work independently
- Effective interpersonal skills and ability to solicit input from others
- Excellent organizational, analytical, verbal, and written communication skills
- Ability to multi task, work with short deadlines and perform well under pressure
- Bachelor's degree and/or equivalent experience
- Familiarity/experience with legacy Bank of America and/or Countrywide systems used for Mortgage and Home Equity servicing preferred
- In-depth knowledge of the bank and overall operations environment
- Experience with all phases of Software Development Life Cycle
12
Business Control Specialist Resume Examples & Samples
- Follow up with service providers to ensure coherence, follow up on issues, share best practices, discuss performance, incident, issues and upcoming changes
- Follow up/development of the KPI and prepare weekly reporting for the team
- Produce the KPI reporting and contribute to its design
- Facilitate the process, tools etc. to support the KPI production
- Help coordinate an internal clients satisfaction survey on the quality of service
- Support the governance of the relationship with service provider
- Help provide regular updates on offshored activities to stakeholders
- KPI / KRI dashboard preparation
- Help monitor operational incidents and recurring issues, follow up on root cause, corrective actions and their implementation
- Assist locations' oversight managers by providing information/data on offshored activities when requested
- Engage with internal teams covering Fee scope outsourced to Smartstream
- Help align monitoring approach and reporting
- Help share best practices
- Help share operational and set up issues via weekly reporting
- Liaise with Procurement team in Europe for all contract related issues/topics
13
Business Control Specialist Resume Examples & Samples
- Proven ability to work and succeed in a team environment
- Strong communication skills (verbal, written and interpersonal)
- Proven ability to meet multiple time deadlines
- Strong research skills
- 2 - 4 years of risk management and/or LOB/ECF experience
- 2 yrs + Risk Management
- Data analysi
14
Business Control Specialist Resume Examples & Samples
- Develop, track and maintain Issue Management risk items working directly with Technology teams and risk partners by way of analyzing information security indicators and identify specific issues
- Tracking, and reporting of some key operational metrics
- Participate in cross-organizational process improvement groups
- Develop and maintain relationships with key partners, both within GET and externally
- Responding to ad hoc requests for analysis and information
- Support COO team in non-Risk activities when required
- 1+ years experience in either a Program Management Office (PMO) or Business Management Office (BMO) in a risk or compliance-based role
- Understanding of COBIT key controls would be a plus
- Exposure to Technology Risk Management would be a plus
- Exposure to audit and compliance activities would be a plus
- Excellent organisational, planning, writing and communication skills
- Interest and track record of ensuring accuracy, clarity and quality of work with attention to detail
15
Business Control Specialist H Resume Examples & Samples
- Drives Operational Excellence as a team player
- Project Management proven skills
- Demonstrates Global mindset
- Demonstrates Writing & Editing Expertise (knows how to write and communicate)
16
Business Control Specialist Resume Examples & Samples
- Complete tasks of moderate to advanced complexity related to the initial completion and ongoing management of the following deliverables
- Vendor Risk Profile
- Contingency/Recovery plans
- Quality Requirements
- Regular Vendor "touch point" Meetings
- Other risk requirements and assessments as mandated
- Administer defined processes and procedures, including analysis and report generation
- Produce regular reports with varying levels of information based on the audience, utilizing data and reporting with (and sometimes across) business units
- Support the Governance Routines required to manage Third Party Processes/Relationships
- Identify opportunities to streamline processes to create effective & efficient work functions while maintaining a level of excellence
- Be a driven team player who is willing to chip in to help other teammates when necessary
- Analyze, research and resolve complex day-to-day problems for the business unit
- Work effectively in a global environment
- Work independently, being unafraid to research an issue, make a well-informed decision and act on it
- BA/BA Business or equivalent experience
- Strong business partnering experience a plus
- Understand what risk is about
- Supports the Adoption and Sustainment of Change
- Prior experience in a vendor or risk-related assessment role is helpful, but not required
- Fluent (reading, writing, speaking) in Spanish and Portuguese is a plus
- Willing to learn and have the capacity to understand risk and compliance activities
17
Business Control Specialist Resume Examples & Samples
- Understand the CTO organization
- Financial planning
- Understand the risk framework and vendor risk
- Demonstrates Writing & Editing Expertise
18
Business Control Specialist Resume Examples & Samples
- Demonstrated ability to work independently, interact effectively, with different levels of management and to operate with excellent corporate work ethics (timely, honest, respectful and considerate to co-workers)
- 1 year experience in AML Monitoring
- Understanding of AML Monitoring Processes
- Demonstrated initiative and creativity in problem solving
- Computer Literate. Proficient in Windows applications, and Internet and commercial database searches
19
Business Control Specialist Resume Examples & Samples
- Works with minimal direct supervision
- Minimum Education: HS diploma or equivalent
- Minimum Experience(a plus): Two years of experience in a related job that would provide an understanding of control and regulatory environments a plus
- Preferred Experience: Experience in Mortgage/Cards portfolio is desired but not necessary if candidate has experience in another oversight/control/risk position
- Special Skills: Knowledge of operational processes and regulatory compliance requirements for mortgage
- Previous experience performing compliance testing- a plus
- Strong Excel Skills. Strong problem solving skills and interpersonal/communications skills
20
Business Control Specialist Resume Examples & Samples
- Ability to see the broader picture and understand how this function impacts the overall process
- Ability to proactively identify risks and process improvement opportunities
- Proven ability to meet multiple deadlines in a fast-paced environment
- Strong research skills and attention to detail
- Prior experience in a production environment
- AML knowledge and experience
21
Business Control Specialist Resume Examples & Samples
- Excellent organizational, research and problem resolution sills
- Works well independently and in team environment
- Ability to multi-task, assist employees while independently prioritizing workload
- Expected to meet deadlines associated with key deliverables
22
Business Control Specialist Resume Examples & Samples
- Develops or implements procedures and governance processes for designated policies
- Reviews, evaluates and advises on specific regulatory developments and changes impacting policies
- May draft or serve as subject matter expert for specific policies in accordance with the Policy Framework
- May develop or coordinate communication regarding new policies and/or material changes
- May ensure or help to ensure policy compliance by monitoring, testing and reporting on policy lifecycle and internal governance activities
- Exercises judgment and influences business managers and peers to ensure enforcement of compliance programs
- At least 5+ years of Information Technology experience within a Bank of America environment
- Operational experience with Incident Management and/or Problem Management processes at Bank of America
- Candidate must be a self-starter, a team player, innovative, flexible and adaptable to changes within the environment
- Outstanding verbal and written communication skills. Proven ability to translate and present complex concepts to different audiences including technical, managerial, business executives, and/or vendors
- Experienced meeting facilitation and consulting skills, ability to develop rapport and build relationships with our stakeholders
- Attention to detail is critical in this role
- Ability to work under limited supervision
- Policy governance, process design, risk management, or project management experience
- Knowledge of Remedy ITSM tool, especially the Incident Management and/or Problem Management modules
- Knowledge of related ITIL/ITSM processes such as Event Management or Change Management
- ITIL certification or Six Sigma certification
23
Business Control Specialist Resume Examples & Samples
- Bilingual associate (Spanish language)
- Ability to communicate in both languages in a clear, concise manner
- Strong oral and written language skills
- Minimum of 3+ years of customer service experience
- Experience with Insurance Products
- Minimum of 3+ years of call center experience
- Minimum of 3+ years of Quality Monitoring experience
- Proven ability to meet and exceed productivity and quality monitoring goals
- Familiar with documenting complaints into Commit
- Excellent PC skills (including Microsoft products Word, Excel, PowerPoint)
- 3 plus years of Insurance background
- General bank knowledge
- Familiarity navigating and updating SharePoint
- Auditing/QA/QC experience
24
Business Control Specialist Resume Examples & Samples
- Loan documentation accuracy - validate accuracy of terms and conditions within the loan agreement, renewal or amendment
- Technology – commitment to technology initiatives and improvements
- 5 years of Doc. Admin experience
25
Business Control Specialist Resume Examples & Samples
- Excellent Oral and Written Communication Skills
- Strong Organizational Skills, Time Management and Attention to Detail
- Proficient in Microsoft Excel, Word, Power Point and Adobe DC
- Experience with Virtual Vault or a document retention system
- 2-5 years of Small Business Lines and Loans Experience and/or Practice Solutions
- Prior Management Experience
- Small Business Imaging Experience
26
Business Control Specialist Resume Examples & Samples
- Quick learner with ability to adapt to change
- Ability to operate independently with minimal supervision
- Ability to work effectively in a group (i.e. Projects, Issues Management, Business and Technology Partners)
- Strong process / process improvement orientation
- Strong communication skills (Written and Verbal)
- Strong interpersonal and partnering skills
- Proficient with Microsoft Office tools, including Word, Excel, PowerPoint, and Visio
- Presentation skills (i.e. able to summarize defects discovered by controls)
- Financial Center experience (preferred but not required)
- Deposits Technology experience (preferred but not required)
- Working knowledge of INTERACT or SYNERGY
- Knowledge of Small Business products and services
- Prior Risk and/or Business Control experience
- Process design experience (i.e. process mapping)
- Experience with Health of Controls (HOC)
27
Business Control Specialist Resume Examples & Samples
- Proven record of attention to detail and accuracy
- Must have experience working in Consumer Card & Business Lending
- Working knowledge of UCRS; BUDE; FRED Systems
- Proven ability to work independently and manage time to complete workloads
28
Business Control Specialist Resume Examples & Samples
- Strong organizational and prioritization abilities
- Ability to interface with various levels of internal management as well as develop client contacts
- Understanding of risk and sense of urgency
- Working knowledge of Excel, Word, Powerpoint
- Bachelor's Degree., Associates Degree or equivalent experience
- 3-5 years in a client facing or servicing position
- 2+ years
29
Anti-money Laundering Business Control Specialist Resume Examples & Samples
- Performs regulatory Know Your Client reviews submitted by client facing employees. Review client documents for complete and accurate details including all levels of required approval
- Focus is on High Risk Client population with a strong emphasis on Senior Political Figure (SPF) and Politically Exposed Person (PEP) and Negative News classifications
- Identification of processes and related risks and controls
- Determination of applicable internal standards and external/regulatory requirements
- Adoption of processes and controls to comply with applicable laws, rules and regulations and their impact on relevant processes
- Implementation and active management of procedures and controls to reflect policy requirements. Measurement, monitoring and reporting on the effectiveness of the control environment
- Must be able to identify effective risk mitigation strategies, analyze, evaluate data and information that results in accurate client data
- Communicating effectively both written and verbal with Branch Management and personnel, Legal, Compliance, and Business Risk partners using clear and concise language
- Demonstrate sound and consistent supervisory judgment based on thorough review of information available
- Ability to handle change within a dynamic business environment
- College degree or minimum of 3 years working experience in a business control environment
- Certified Anti-Money Laundering Specialist (CAMS ) Certification and/or prior AML related experience preferred
- Knowledge of client data, onboarding and maintenance applications
- Must demonstrate excellent communication skills and analytical abilities
- Must have proven quality assurance and quality control experience
- Advanced Excel (Functions, Charts, Pivot Tables, etc.)
- Ability to work in a high pressure, high volume environment
- Strong interpersonal and teamwork skills
30
Business Control Specialist Resume Examples & Samples
- Ability to accurately interpret loan agreements and validate accurate set up in System of Record (Client set up / Facility/loan set up)
- Verify terms and conditions within the loan agreement, renewal or amendment are displayed correctly on the commercial loan platform
- Verify accrual schedules are set up correctly for the life of the loan
- Proficient in identifying data entry from a variety of sources, paper-based and/or electronic, into the loan system of record
- Should have experience in account setup and loan servicing. Commercial/wholesale lending preferred
- Have a general knowledge of loan structure, loan agreements and credit regulations
- Have a general knowledge of loan accounting/reconciliation of general ledger debits and credits, including research and clearing exceptions on processed transactions
- Proficient computer skills utilizing mainframe and PC software packages; Working knowledge of Microsoft Excel, Word, Power-Point with dual screens
- Capability to work with multiple systems in order to validate accuracy
- Act in accordance with the letter and spirit of all applicable laws, rules and regulations, the company’s code of conduct, risk framework, risk appetite statement and other relevant policies, standards, procedures and guidance. Is proactive in identifying, managing and controlling risks within the fulfillment space
- Intermediate accounting skills
- Minimum of three (3) years of experience in the field of loan or account administrator/processor or equivalent commercial/wholesale lending preferred
- Effective communication skills (listening, verbal and written)
- Working knowledge of Microsoft Excel, Word, Power-Point with dual screens
31
Business Control Specialist Resume Examples & Samples
- Ability to learn new systems quickly
- Superior problem solving and organizational skills
- Strong ability to communicate (written and verbal) with internal partners
- Testing/Inspection/Quality Control experience
