Business Risk Control Management Resume Samples

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C Durgan

Chase

Durgan

880 Romaguera Prairie

New York

+1 (555) 866 4793

880 Romaguera Prairie

New York

Phone

p +1 (555) 866 4793

Experience Experience

Houston, TX

Business Risk Control Management Manager

Houston, TX

Abbott-Jacobs

Houston, TX

Business Risk Control Management Manager

Participate in capital modeling and reporting, including capital estimates based on Scenario Analysis, quarterly dashboard and Top Risk Analysis (“TRA”)
Direct the design, measurement and reporting of key indicators; escalate breaches and determine underlying cause. Coordinate control efficiencies
Assess adequacy of remediation of issues, including audit findings, internal control issues, and regulatory observations
Knowledge of the changing regulatory environment especially in the financial services sector
OIC for Head of BRCM
Support assessment of operational risk in material projects and initiatives; assure adequate mitigation
Develop and implement process for timely identification and escalation of Management Self-Identified Issues; document and monitor progress of remedial actions

Chicago, IL

Senior Manager Business Risk Control Management

Chicago, IL

Bins Group

Chicago, IL

Senior Manager Business Risk Control Management

Identifying and reporting incidents in accordance with HSBC standards
Develop and provide management information to business/function management and risk committees; may include material operational risks, internal control monitoring results, significant internal control issues, and/or BRCM activities
Assist business/function management in establishment of 'end to end' ownership of operational risks, controls, and processes
Individual contributor/subject matter expert in operational risk or Manage BRCM personnel, including ongoing supervision, performance management, and development of staff
Direct Risk and Control Assessment (“RCA”) including set scope, identify material risks, assign risk prioritization, identify and assess the design and operating effectiveness of key controls to mitigate operational risk
Ensure risk and control documentation is clear, comprehensive and in accordance with internal and external standards
Build relationships and interact with process and control owners to maintain current knowledge of the operations and business, organizational and/or technological changes impacting operational risk and internal controls

present

New York, NY

Senior Manager Business Risk & Control Management

New York, NY

Botsford-Crooks

present

New York, NY

Senior Manager Business Risk & Control Management

present

Information Security: Manage, along with Business Information Risk Officer (BIROs) and Deputy BIROs, information security risk through the implementation of primary and secondary controls to mitigate the risk, identifying information assets and associated risks, and ensuring information security awareness of employees in business/function escalate to business area management and expedite remediation of overdue/stale information risk findings and deficiencies work with the central BIRO Support team to provide business area RAG assessments on Information Risk into ORIC Heat Map Reporting
Provide management information to business/function management and risk committees, including material operational risks, significant internal control issues, BRCM activities
Coordinate Risk and Control Assessment (“RCA”) including set scope, identify material risks, assign risk prioritization, identify and assess effectiveness of key controls
Business Continuity: Manage potential and real situations that may cause disruption to operations and invocation of business continuity plans, including implementation of a robust business recovery strategy comprising an impact analysis, contingency plans and testing and with consideration to critical parties and vendors. Responsibilities also include facilitation of mandatory business continuity awareness and escalation of business continuity risks
Develop and execute a plan to achieve the operational risk management goals
Undertake internal control monitoring including develop monitoring plan, monitor progress against plan, execute control monitoring, report results, develop action plans and oversee remediation, and challenge procedures covering areas under review
Review and provide input on capital modeling and reporting, including capital estimates based on Scenario Analysis, Risk dashboards and Top Risk Analysis (“TRA”)

Education Education

Bachelor’s Degree in Business

Kent State University

Bachelor’s Degree in Business

Skills Skills

Strong attention to detail
Ability to multitask
Excellent people and negotiation skills
Proficient with Excel, Power Point, and databases
Broad based knowledge of various products (FX, Metals, Derivatives, Bank Notes, Debt, Equities and Futures)
Understanding of regulatory environment within a Broker Dealer or Bank and how these regulations impact Operational work flows
Experience in an Operational or Internal Control function
3+ years of risk / controls experience

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Business Risk Control Management Manager Resume Examples & Samples

Changes in internal and external regulatory and compliance requirements at an increasing pace. The role holder therefore needs to be able to quickly analyse complex situations, be dynamic and positive to embrace these changes, identify practical strategies and must establish the risk and control approach with countries accordingly to the latest developments
Business and customer needs to be taken into consideration while proactively safeguarding and ensuring that the highest standards of compliance and operational risk management are established within CMB. The role holder needs to be flexible to balance risk and control and provide solid support and constructive advice to Senior Management in the management of compliance and operational risk
The role holder needs to cultivate risk control and ownership disciplines within CMB teams. S/he needs to demonstrate strong interpersonal and communication skills to work with various internal partners, CMB teams and different departments towards common goals
The role holder needs to ensure that potential risk areas are accurately recognised and creative solutions are delivered in a timely, concise manner; s/he needs to have independence of thought and lateral thinking to assist management in optimising the level of business control and maximizing efficiency
The role holder needs to ensure that appropriate operational risk control procedures and systems exist and have been properly reviewed within the Region to minimise operational losses, fraudulent activity and money laundering
As a Global business, CMB is required to undertake responsibilities for the effective implementation of the Group’s Operational Risk Framework. The Business Risk & Control Management (BRCM) team is part of the first line of defence in the business
It is desirable that the role holder possesses sound knowledge on banking regulations and operations, and audit and control concepts in order to develop a set of effective standard guidelines that can be implemented. In addition, the jobholder is expected to be highly organized and to act independently and exercise broad discretion with minimal guidance and supervision
A sound knowledge of the Group and the CMB business, including products, services, systems & processes
Exposure to an operations and a control environment, such as audit or compliance

Senior Manager Business Risk Control Management Resume Examples & Samples

Identifying and reporting incidents in accordance with HSBC standards
Support assessment of operational risk in material projects and initiatives; assure adequate mitigation
Develop and implement process for timely identification and escalation of Management Self-Identified Issues; document and monitor progress of remedial actions
Product Due Diligence: Manage operational risks and controls associated with introduction, modification, and expansion of a product or service
Build relationships and interact with North America ORIC team and other ‘second line of defense’ teams, Global BRCM, and others for operational risk and internal control matters
Daily discretion with assigned authority. Decisions beyond assigned authority are referred to higher levels of management for approval
Demonstrate a sound holistic and technical understanding of pertinent business areas and Group requirements as detailed in Group Standards Manuals, Functional Instruction Manuals (FIM), and local standards
Analyze and assess complex operations and processes and identify related , material risk exposures and key mitigating controls
Sound judgment, keen sense of urgency, and high level of professional and personal integrity
Minimum of a Bachelor’s degree

Head of Business Risk & Control Management Resume Examples & Samples

Bank side or Custody (securities services)
10 + years operational experience, Client On-boarding risk
Implementing and supporting the Group's new Operational Risk and Management Framework
Developing and driving a consistent standard of managing Business Risk across the region and in line with global and group standards
Developing and nurturing partnerships with the teams that are responsible for overseeing the work of the the teams
Coping effectively with a rapidly changing business and regulatory environment, which in turn also impact Group policy
Implementation of new regulations, initiatives and mandatory requirements often with very short deadlines
In reaching solutions to problems, balancing risk and local needs whilst ensuring that Group Policy and / or regulatory requirements are maintained
Operating, influencing and communicating effectively with stakeholders and other colleagues both inside and outside the group

Senior Mortgage Manager Business Risk Control Management Resume Examples & Samples

Identifying and assessing operational risks and controls within acceptable levels to the scale and nature of the area’s operations and within Group and regional standards and local regulations
Identifying and reporting incidents in accordance with HSBC standards
Monitoring the ongoing effectiveness of key controls to gain assurance that they are operating in line with risk appetite and any regulatory and HSBC requirements
It is noted that responsibilities with respect to certain categories are being specifically defined and developed throughout 2012 and these have been described in a forward-looking manner in the section” Responsibilities for Specific Operational Risk Categories” below. Amendments will be made as more information becomes available
Develop and provide management information to business/function management and risk committees; may include material operational risks, internal control monitoring results, significant internal control issues, and/or BRCM activities
Support development and execution of plans to achieve the operational risk management goals of the Chief Operating Officer and/or Head of BRCM, including a resource plan with appropriate level and experience of BRCM team members
Assist business/function management in establishment of 'end to end' ownership of operational risks, controls, and processes
Promote operational risk awareness, including training for BRCM capability and business/function personnel
Individual contributor/subject matter expert in operational risk or Manage BRCM personnel, including ongoing supervision, performance management, and development of staff
Direct Risk and Control Assessment (“RCA”) including set scope, identify material risks, assign risk prioritization, identify and assess the design and operating effectiveness of key controls to mitigate operational risk
Manage internal control monitoring including develop monitoring plan, monitor progress against plan, execute control monitoring to assess the design and operating effectiveness, report results, develop action plans and oversee remediation for all controls assessed as “ineffective” or “needs improvement", and challenge procedures covering areas under review
Ensure risk and control documentation is clear, comprehensive and in accordance with internal and external standards
Build relationships and interact with process and control owners to maintain current knowledge of the operations and business, organizational and/or technological changes impacting operational risk and internal controls
Design and implement procedures that enable all incidents to be reported in complete, accurate and timely manner including recording and conducting quality assurance, escalating incidents, appointing incident owner to analyze root cause and manage actions, and develop risk appetite target for operational losses
Direct the design, measurement and reporting of key indicators; escalate breaches and determine underlying cause. Coordinate control efficiencies
Participate in capital modeling and reporting, including capital estimates based on Scenario Analysis, quarterly dashboard and Top Risk Analysis (“TRA”)
Support assessment of operational risk in material projects and initiatives; assure adequate mitigation
Develop and implement process for timely identification and escalation of Management Self-Identified Issues; document and monitor progress of remedial actions
Assist with the CEO Attestation, including significant open issues in the internal control framework and obtain Management’s confirmation that all documented policies and procedures remain effective against known significant issues
Assess adequacy of remediation of issues, including audit findings, internal control issues, and regulatory observations
Manage a process to escalate significant, current and emerging operational risks and internal control issues to the regional/country ORIC Team and/or regional/country ORIC Committee; such as ‘top’ risks, key indicator breaches, and ‘dark corners&#8217
Compliance: Direct the identification of compliance risks and associated controls, reporting of results of control testing, identification of trends and escalation of issues. Specifically, direct the annual risk assessments to ensure risks are mitigated and fall within risk appetite and threshold; coordinate risk assessment certification/sign-off by business/function management; direct the development, execution and reporting of a Compliance Risk and Control Testing plan that includes remediation plans; facilitate timely identification and escalation of compliance related MSIIs; direct the documentation and monitoring of progress of remedial actions for issues identified by others, including Internal Audit, TRAC, regulators, third party consultants, and ERA risk assessments; identify participants for required compliance training and assist with coordination of training; and support business/function management with MIS including material compliance risks and control issues
Fiduciary: Manage fiduciary risk and control assessments, including resolution of open issues, review of management information, and instilling an effective fiduciary risk management culture Note: Only applicable to businesses that conduct fiduciary duties and activities
Product Due Diligence: Manage operational risks and controls associated with introduction, modification, and expansion of a product or service
Vendor: Direct, along with Contract Owners, risk and control management of third party vendors and sub-contracting arrangements, including identifying, assessing, and managing vendor risks and controls, complying with laws, regulations and internal standards, monitoring of performance and defined SLAs, and maintaining exit strategies
SOX: Manage operational risk of financial misstatement, identifies related mitigating controls, and ensures Management has an adequate control environment, includes updating SOX process documentation, executing test plans to evaluate effectiveness of SOX controls, and monitoring remediation of SOX deficiencies
Information Security: Manage, along with Business Information Risk Officer, information security risk through the implementation of primary and secondary controls to mitigate the risk, identifying information assets and associated risks, and ensuring information security awareness of employees in business/function
Privacy: Manage the assessment and mitigation of privacy risk, including customer disclosure and access that is compliant with laws and internal requirements, implementation of information security controls for repositories and processes containing personally identifiable information, considering impact of privacy matters on projects and initiatives in area of responsibility
Business Continuity: Manage potential and real situations that may cause disruption to operations and invocation of business continuity plans, including implementation of a robust business recovery strategy comprising an impact analysis, contingency plans and testing and with consideration to critical parties and vendors. Responsibilities also include facilitation of mandatory business continuity awareness and escalation of business continuity risks
Fraud: Manage fraud risk assessments, monitor the effectiveness of controls related to identified points of fraud risk vulnerability, and ensure remediation of those deemed ineffective or deteriorating. Ensure employees are properly trained in fraud risk awareness and facilitate reporting of confirmed/suspected fraud
To implement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with regulators
Supports the business/function in its management of operational risk appetite, ensuring business/function operates in compliance, with operational risk framework and standards
Build relationships and interact with North America ORIC team and other ‘second line of defense’ teams, Global BRCM, and others for operational risk and internal control matters
Daily discretion with assigned authority. Decisions beyond assigned authority are referred to higher levels of management for approval
OIC for Head of BRCM
Sound verbal and written communication skills that promote and enable openness with staff, management, internal partners, and external parties
Uphold compliance with all relevant internal and external rules, regulations and procedures; engage others to act responsibly and minimize operational risk and internal control issues
Demonstrate a sound holistic and technical understanding of pertinent business areas and Group requirements as detailed in Group Standards Manuals, Functional Instruction Manuals (FIM), and local standards
Analyze and assess complex operations and processes and identify related , material risk exposures and key mitigating controls
Sound judgment, keen sense of urgency, and high level of professional and personal integrity Minimum 10 years’ experience
Minimum of a Bachelor’s degree
Substantial experience in Mortgage Banking, risk management and / or internal audit; Audit, Risk, Compliance or Finance professional designation preferred
Prior leadership experience at a VP level managing a multi-functional team required

Head of Business Risk & Control Management for Rbwm Resume Examples & Samples

Identifying and assessing operational risks and controls within acceptable levels to the scale and nature of the area’s operations and within Group and regional standards and local regulations
Monitoring the ongoing effectiveness of key controls to gain assurance that they are operating in line with risk appetite and any regulatory and HSBC requirements
Lead business/function management in establishment of 'end to end' ownership of operational risks, controls, and processes
Promote operational risk awareness, including training for business/function personnel
Coordinate Risk and Control Assessment (“RCA”) including set scope, identify material risks, assign risk prioritization, identify and assess the design and operating effectiveness of key controls to mitigate operational risk
Undertake internal control monitoring including develop monitoring plan, monitor progress against plan, execute control monitoring, report results, develop action plans and oversee remediation for all controls assessed as “ineffective” or “needs improvement", and challenge procedures covering areas under review
Review and provide input on capital modeling and reporting, including capital estimates based on Scenario Analysis, quarterly dashboard and Top Risk Analysis (“TRA”)
Coordinate assessment of operational risk in material projects and initiatives; assure adequate mitigation
Facilitate timely identification and escalation of Management Self-Identified Issues; document and monitor progress of remedial actions
Provide input and review output of CEO Attestation, including significant open issues in the internal control framework and obtain Management’s confirmation that all documented policies and procedures remain effective against known significant issues
Escalate significant, current and emerging operational risks and internal control issues to the regional/country ORIC Team and/or regional/country ORIC Committee; such as ‘top’ risks, key indicator breaches, and ‘dark corners&#8217
Compliance: Consult with LCO to lead the identification of compliance risks and associated controls, reporting of results of control testing, identification of trends and escalation of issues. Specifically, oversee annual risk assessments to ensure risks are mitigated and fall within risk appetite and threshold; coordinate risk assessment certification/sign-off by business/function management; develop, oversee execution, and report on a Compliance Risk and Control Testing plan that includes remediation plans; facilitate timely identification and escalation of compliance related MSIIs; monitor progress of remedial actions for issues identified by others, including Internal Audit, TRAC, regulators, third party consultants, and ERA risk assessments; coordinate required compliance training with Compliance Training and Outreach; and provide business/function management with MIS including material compliance risks and control issues
Fraud: Manage fraud risk assessments, monitor the effectiveness of controls related to identified points of fraud risk vulnerability, and ensure remediation of those deemed ineffective or deteriorating. Ensure employees are properly trained in fraud risk awareness and facilitate reporting of confirmed/suspected fraud
To implement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with regulators
Complete other responsibilities, as assigned
Delivers high quality sustainable results, considering the impact and risk of own actions and that of the business/function, both short term and long term, on the bank’s operational risk profile and appetite
Communicates openly with staff, management, internal partners, and external parties and is open to new and better ways to manage operational risk
Substantial experience in Banking, risk management and / or internal audit; Audit, Risk or Compliance professional designation preferred

Business Risk & Control Management Manager Resume Examples & Samples

The importance of operational risk and control has increased over recent years and has the potential to be one of the most influential value added services available to senior management and the Group. The role holder’s ability in identifying major risk areas and key control weaknesses poses significant impact on businesses in meeting their strategic objectives
The nature of the role requires close working contact with senior executives in the Group and Region. The jobholder is required to contribute to maintaining an excellent relationship with the Regulators and industry bodies in respect of Operational Risk
The role holder must demonstrate compliance with HSBC Group standards, manuals and policies and adhere to the defined work practices, internal controls and risk management standards associated with the role

Business Risk Control Management Manager Resume Examples & Samples

Develop and provide management information to business/function management and risk committees; may include material operational risks, internal control monitoring results, significant internal control issues, and/or BRCM activities
Manage internal control monitoring including develop monitoring plan, monitor progress against plan, execute control monitoring to assess the design and operating effectiveness, report results, develop action plans and oversee remediation for all controls assessed as “ineffective” or “needs improvement", and challenge procedures covering areas under review
Ensure risk and control documentation is clear, comprehensive and in accordance with internal and external standards
Direct the design, measurement and reporting of key indicators; escalate breaches and determine underlying cause. Coordinate control efficiencies
Manage a process to escalate significant, current and emerging operational risks and internal control issues to the regional/country ORIC Team and/or regional/country ORIC Committee; such as ‘top’ risks, key indicator breaches, and ‘dark corners&#8217
Compliance: Direct the identification of compliance risks and associated controls, reporting of results of control testing, identification of trends and escalation of issues. Specifically, direct the annual risk assessments to ensure risks are mitigated and fall within risk appetite and threshold; coordinate risk assessment certification/sign-off by business/function management; direct the development, execution and reporting of a Compliance Risk and Control Testing plan that includes remediation plans; facilitate timely identification and escalation of compliance related MSIIs; direct the documentation and monitoring of progress of remedial actions for issues identified by others, including Internal Audit, TRAC, regulators, third party consultants, and ERA risk assessments; identify participants for required compliance training and assist with coordination of training; and support business/function management with MIS including material compliance risks and control issues
Fiduciary: Manage fiduciary risk and control assessments, including resolution of open issues, review of management information, and instilling an effective fiduciary risk management culture Note: Only applicable to businesses that conduct fiduciary duties and activities
Minimum 10 years’ experience

Senior Manager Business Risk & Control Management Resume Examples & Samples

Provide management information to business/function management and risk committees, including material operational risks, internal control monitoring results, significant internal control issues, BRCM activities
Develop and execute a plan to achieve the operational risk management goals of the Chief Operating Officer and/or line manager, including a resource plan with appropriate level and experience of BRCM team members
Design and implement procedures that enable all incidents to be reported in complete, accurate and timely manner including recording and conducting quality assurance, escalating incidents, appointing incident owner to analyze root cause and manage actions, and develop risk appetite target for operational losses
Coordinate design, measurement and reporting of key indicators; escalate breaches and determine underlying cause. Coordinate control efficiencies
Act as “Business Owner” of Key Dimension Combination (“KDC”) in ORION system, for area of responsibility; maintain ORION as the operational risk system of record
Assess adequacy of remediation of issues, including audit findings, internal control issues, and regulatory observations
Fiduciary: Responsible for fiduciary risk and control assessments, including resolution of open issues, review of management information, and instilling an effective fiduciary risk management culture Note: Only applicable to businesses that conduct fiduciary duties and activities
Vendor: Oversee, along with Contract Owners, risk and control management of third party vendors and sub-contracting arrangements, including identifying, assessing, and managing vendor risks and controls, complying with laws, regulations and internal standards, monitoring of performance and defined SLAs, and maintaining exit strategies
Business Continuity: Manage potential and real situations that may cause disruption to operations and invocation of business continuity plans, including implementation of a robust business recovery strategy comprising an impact analysis, contingency plans and testing and with consideration to critical parties and vendors. Responsibilities also include facilitation of mandatory business continuity awareness and escalation of business continuity risks
Fraud: Manage fraud risk assessments, monitor the effectiveness of controls related to identified points of fraud risk vulnerability, and ensure remediation of those deemed ineffective or deteriorating
Ensure employees are properly trained in fraud risk awareness and facilitate reporting of confirmed/suspected fraud
Leads the business/function in its management of operational risk appetite, ensuring business/function operates in compliance , with operational risk framework and standards
Liaison to business/function management, North America ORIC team and other ‘second line of defense’ teams, Global BRCM, and others for operational risk and internal control matters
O/AA/Minorities/Women/Disability/Veterans

Head of Business Risk & Control Management Resume Examples & Samples

The BRCM team across PCM operates through a London based Central Team of 4 Managers, with the Regional Heads of BRCM based in the 5 major geographic sites – Dubai, London, HK, NY and Mexico
The Global Head of BRCM, PCM is based in New York and reports to the Global Head of PCM
The Regional Heads of BRCM report directly to the Regional Head of PCM, although they also have dotted line responsibility into the Global Head of BRCM
Although there is no direct chain of command, the job holder is required to work very closely with the global businesses both first line of defense and the ORIC functions
From a risk perspective, PCM reports to GBM ORIC although we work closely with both global customer groups, CMB and GBM.The BRCM team across PCM operates through a London based Central Team of 4 Managers, with the Regional Heads of BRCM based in the 5 major geographic sites – Dubai, London, HK, NY and Mexico
The Regional Heads of BRCM report directly to the Regional Head of PCM, although they also have dotted line responsibility into the Global Head of BRCM who is NY based
The role holder will ensure the HSBC values are present in everything we do, both individually and as an organization
This will be achieved by consistently displaying the behaviours of being
Dependable and do the right thing
Open to different ideas and cultures
Connected to customers, communities, regulators and each other
They will play a key role in managing the operational risks across PCM and focus on
Improving the control environment by establishing and implementing control improvement and standardisation programmes
Providing effective governance, challenge and reporting of key risks and controls within PCM
Ensuring effective assessment and management of operational risk within key PCM programmes
Ensuring implementation of end to end risk assessments
Identifying current BRMC and Internal Control footprint
Managing relationships and influence key customers and stakeholders
Coordinating RCA plans and internal control monitoring plans and ensure
Working closely with GBM and CMB and global functions
Experience of matrix management across complex environments
Strong ability to communicate with and influence senior leaders across multiple business lines
Ability to drive operational risk within the first line of defense and obtain appropriate management buy-in
At least 5 years of operational risk knowledge in order to be able to face off appropriately to the different risk managers in the Group and to external parties
Experience of implementing global control frameworks within complex environments
Demonstrate experience of managing operational risk within appetite and during operational change or re-organization
Strong communications and analytical skills,
Ability to digest large amounts of information and to then apply it to the PCM business
University Degree/College Diploma in business/finance preferred

Business Risk Control Management Assistant Manager Resume Examples & Samples

Daily discretion within assigned authority; decisions beyond assigned authority are referred to higher levels of management for approval
Background in Banking, risk management and / or internal audit; Audit, Risk or Compliance professional designation preferred
Ability to understand and identify key risks and controls that require testing within processes
Understand and ensure compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business/function
Excellent written & oral communication and presentation skills including the ability to deliver clear and accurate messages to management
Complex problem resolution

Senior Manager of Business Risk & Control Management Resume Examples & Samples

As a Global business, GLCM is required to undertake responsibilities for the effective implementation of the Group’s Operational Risk Framework. The Business Risk & Control Management (BRCM) team is part of the first line of defence in the business
The role holder is responsible for the continual assessment of operational risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructuring and the impact of new technology
Business experience in a variety of roles (Corporate / Commercial Banking) centered on delivery of high quality customer service

Manager Business Risk & Control Management Resume Examples & Samples

Be responsible for the ongoing effectiveness and management of the Global Trade and Receivables Finance (GTRF) Business Risk and Control Management (BRCM) function
Implement the BRCM structure and disciplines through the appropriate teams
Drive the business to achieve operational losses and operational loss incidents within risk appetite
Good understanding of operational risk and controls, preferably gained through experience in front line and risk roles
Good understanding of the Group’s Operational Risk Framework
Leadership, management and coaching skills
Proven problem solving skills with ability to consider alternative and lateral solutions
Ability to prioritise and work independently under pressure within a team environment
Ability to use strong judgmental skills to identify and resolve complex problems whilst adhering to timelines and quality of output
A sound knowledge of the Group and the GTRF business, including products, services, systems & processes

Senior Manager Business Risk & Control Management Resume Examples & Samples

Support development and execution of plans to achieve the operational risk management goals of the Chief Operating Officer and/or Head of BRCM, including a resource plan with appropriate level and experience of BRCM team members
Assist business/function management in establishment of 'end to end' ownership of operational risks, controls, and processes
Direct Risk and Control Assessment (“RCA”) including set scope, identify material risks, assign risk prioritization, identify and assess the design and operating effectiveness of key controls to mitigate operational risk
Build relationships and interact with process and control owners to maintain current knowledge of the operations and business, organizational and/or technological changes impacting operational risk and internal controls
Participate in capital modeling and reporting, including capital estimates based on Scenario Analysis, quarterly dashboard and Top Risk Analysis (“TRA”)
Supports the business/function in its management of operational risk appetite, ensuring business/function operates in compliance, with operational risk framework and standards
OIC for Head of BRCM

Manager Business Risk & Control Management Resume Examples & Samples

Minimum five years’ experience
Background in Banking, risk management, accounting and / or internal audit
Accounting, Audit, Risk or Compliance professional designation preferred
Understand and ensure compliance with all relevant internal and external rules, regulations and procedures that
Apply to the conduct of the business in which the jobholder is involved
Strong written & oral communication skills
Ability to assist in the training and development of the analyst staff

Senior Manager Business Risk & Control Management Resume Examples & Samples

The Senior Manger BRCM is responsible for supporting the head of BRCM with directing and managing the integration of Core Operational Risk Management activities and providing feedback on the embedding of the Operational Risk Management Framework activities within and throughout their respective area within business. The Senior Manager BRCM may also be accountable for Core Operational Risk Management activities with respect to specific operational risk categories, including FCC, Compliance, Business Continuity, Information Security, Privacy, Fiduciary, Fraud, SOX, Product Due Diligence and Third Party Risk Management (Vendor) as required
Supports the business/function/HOST in its management of operational risk appetite, ensuring business operates in compliance, with operational risk framework and standards
Performs according to prescribed procedures
Minimum of a Bachelor’s degree with 10 years equivalent experience. Substantial experience in Banking, risk management and / or internal audit; Audit, Risk, Compliance or Finance professional designation preferred

Senior Manager Business Risk & Control Management Resume Examples & Samples

Position may be either an individual contributor role or may manage Information Security/Risk administrators, depending on the needs of the business unit
Minimum of 10 years of progressive experience working in a Security and/or related control function including Audit, Compliance or Technology Risk
Demonstrated leadership capability (large teams, large initiatives, senior level engagement and visibility)
Strong background in technology operations, software development or project management
Strong background in risk and control
Bachelor’s Degree in Computer Science, Management Information Systems, Math, Economics, Engineering or related field
Master’s Degree/MBA is a plus
Security or related certification: CISSP, CISM, CISA, etc
Strong knowledge of fundamental security concepts; confidentiality, integrity, availability
Knowledge of encryption, access management, malware, fraud, privacy, GLBA, ISO 27001, 27002, Cobit, NIST
Problem solver, Active Listener, Team Builder, Relationship Builder, Consultative

Senior Manager Business Risk & Control Management Resume Examples & Samples

Provide management information to business/function management and risk committees, including material operational risks, significant internal control issues, BRCM activities
Develop and execute a plan to achieve the operational risk management goals
Operational Risk Framework Responsibilities (Coordinate on behalf of business/function management)
Coordinate Risk and Control Assessment (“RCA”) including set scope, identify material risks, assign risk prioritization, identify and assess effectiveness of key controls
Undertake internal control monitoring including develop monitoring plan, monitor progress against plan, execute control monitoring, report results, develop action plans and oversee remediation, and challenge procedures covering areas under review
Coordinate design, measurement and reporting of key indicators; escalate breaches and determine underlying cause
Review and provide input on capital modeling and reporting, including capital estimates based on Scenario Analysis, Risk dashboards and Top Risk Analysis (“TRA”)
Assess adequacy of remediation of audit findings, internal control issues, and regulatory reviews
Contribute to the Business Level (HOST) Risk and Control Committee as outlined in the Operational Risk Committee Charter
Escalate significant emerged and emerging operational risk and internal control issues to the Operational Risk team and/or Operational Risk Committee
Audit Management
Coordinate all Internal Audit, including Group, Regional, and Canada originated engagements
Regular reporting of Management Self- Identified Issues (MSII), and audit specific MSII
Manage IT owned and IT dependent audit findings inventory to ensure timely and complete remediation to prevent repeat findings
Ensure Audit Issues Database (AID) is kept up to date, and the monthly audit tracker is correct
Facilitate all audit engagements, including planning, kick-off, information request, interviews with all relevant staff members, draft finding reviews, exit meeting, report review, management response submission, and remediation monitoring
Sarbanes Oxley (SOX) Compliance Program
Support the SOX compliance program
Perform SOX process walkthroughs, testing and updating of flow charts
Support the coordination of annual planning of SOX testing
Provide support to oversight of plan execution
Manage remediation of deficiencies and keep management up to date on testing progress, deficiencies, issues/challenges
Facilitate external audit queries and information requests
Responsibilities for Specific Operational Risk Categories (Lead coordination on behalf of business/function management)
Information Security: Manage, along with Business Information Risk Officer (BIROs) and Deputy BIROs, Information Security Risk (ISR) through the implementation of primary and secondary controls to mitigate the risk, identifying information assets and associated risks, and ensuring information security awareness of employees in business/function
Escalate to business area management and expedite remediation of overdue/stale information risk findings and deficiencies
Work with the central BIRO Support team to provide business area RAG assessments on Information Risk into Operational Risk Reporting
Facilitate and communicate implementation of Group and Regional ISR initiatives
Vendor Risk Management: Manage through the implementation of primary and secondary controls to mitigate the risk, identifying potential vendor control weaknesses and associated risks, and ensuring Vendor Risk awareness of employees in business/function
Support business area with input from SMEs (i.e. ISR for Data security risk, BCP for Business Continuity) on implementation of effective vendor risk controls
Escalate to business area management and monitor status of high risk contracts, ensuring action plans are sufficient or risk acceptance is in place
Conduct periodic IC reviews of business owned controls for Vendor Risk in line with Regional BRCM workplan
Facilitate and communicate implementation of Group and Regional VRM initiatives
The position requires secondary coverage of the IT Operations (ITO) Financial Function (MICS) and provides senior leadership oversight of the ITO MI (Management Information) to IT Operations management. This helps enable these areas to effectively manage their costs to achieve IT objectives. This position acts as a trusted ITO partner in providing not only BRCM and financial support for both expense and revenue management, but technological support to effectively aid in the selection process to obtain the most cost effective solutions to manage customer needs

Business Risk & Control Management Manager Resume Examples & Samples

Supports the business/function/HOST in its management of operational risk appetite, ensuring business/function/HOST operates in compliance, with operational risk framework and standards
Build relationships and interact with US Operational Risk team and other ‘second line of defense’ teams, Global BRCM, and others for operational risk and internal control matters
Ensure BRCM team is properly trained in fraud risk awareness and facilitate reporting of confirmed/suspected fraud

Business Risk & Control Management Assistant Manager Resume Examples & Samples

Periodic travel is required - 20% or less on an annual basis
Role interfaces with operational risk management and with assigned business unit management
Minimum of six (6) years proven and progressive financial services operations, internal audit, compliance and/or legal management experience, or equivalent
Good managerial, communications, analytical, organizational, project management and planning skills
Well-developed managerial, communications, negotiation, analytical, organizational, project management and strategic and/or operational planning skills
The ability to function effectively with limited supervision
Knowledge of assigned businesses, products, operations, systems and organization and full understanding of all significant operational risk requirements applicable to the business

Business Risk & Control Management Manager Resume Examples & Samples

Scope, risk assess and initiate a programme of global, regional and country specific themed control reviews
Drive the implementation of robust and auditable BRCM plans
Provide a structure for the management of business risk including the creation and operation of appropriate Risk Management forums
Assist the business in achieving satisfactory audit and Operating Risk & Internal Control (ORIC) reports
Business experience in a variety of roles (Corporate / Commercial Banking / GTRF) centered on delivery of high quality customer service

Assistant VP-business Risk & Control Management Resume Examples & Samples

3+ years of risk / controls experience
Understanding of regulatory environment within a Broker Dealer or Bank and how these regulations impact Operational work flows
Excellent people and negotiation skills
Proficient with Excel, Power Point, and databases
Ability to multitask
Experience in an Operational or Internal Control function
Broad based knowledge of various products (FX, Metals, Derivatives, Bank Notes, Debt, Equities and Futures)

Business Risk Control Management Resume Examples & Samples

Incumbents are expected to work within overall guidelines and timeframes making deadlines set forth
Internal risk areas – communicating with internal risk areas as required and as a representative for RBWM
Regular office working environment – minimal travel required
Ability to influence others in order to provide and obtain information relevant to the completion of tasks
Highly developed inter-personal skills for dealing with sensitive information/situations
Wide knowledge of HSBC policies, procedures, and risk management frameworks is an asset
Typically, qualifications would include post-secondary education or relevant experience
Strong verbal and written communications and interpersonal skills necessary
Adaptability, commitment and motivation to meet tight schedules
Excellent computer application skills (e.g. Excel, PowerPoint, Lotus Notes, Sharepoint), comfortable learning new applications as required

Business Risk & Control Management Manager Resume Examples & Samples

Minimum of a Bachelor’s degree with 5 - 7 years equivalent experience. Background in Banking, risk management and / or internal audit; Audit, Risk or Compliance professional designation preferred
Time management and organization skills with the ability to prioritize and multi-task
Understand and ensure compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business/function/HOST
Ability to work professionally with various levels of staff and management; strong teamwork
Developed expertise in some area of BRCM activities
Sound judgment, keen sense of urgency and initiative, and high level of professional and personal integrity
The successful candidate is expected to have the professional range for consideration on the HOST US Region Chief Control Officer succession plan

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