Operational Risk Analyst Resume Samples

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L Beier

Leonie

Beier

34147 Pascale Parkways

New York

+1 (555) 723 5051

34147 Pascale Parkways

New York

Phone

p +1 (555) 723 5051

Experience Experience

Boston, MA

Operational Risk Analyst

Boston, MA

Gleason-Grady

Boston, MA

Operational Risk Analyst

Execute common, standardized third party risk management processes, managed centrally by the TPU and provide guidance to TPU Process Analysts I
Leads the work of others and provides training in more advanced risk management techniques
Perform analysis and provide information to Risk Management for senior level reporting, scenario analysis, audit, regulatory, and ad-hoc related queries
Execute common, standardized third-party risk management processes, managed centrally by the TPU, for example
Work with line management to continually improve the control environment
Provide guidance to FLUs and/or ESUs on the effective execution of the operational risk management framework including
Contribute to developing the firm's operational risk framework including the design and project management for strategic platform enhancements

Philadelphia, PA

Senior Operational Risk Analyst

Philadelphia, PA

Steuber, Gerhold and D'Amore

Philadelphia, PA

Senior Operational Risk Analyst

Conducting periodic reviews and checks to identify process gaps including advisory and ad-hoc projects
Working with SC employees including other Operational Risk Management department members in supporting a culture of strong operational risk management
Working with Executive leaders and managers within the organization to develop a culture that fosters self-identification of business and operational issues
Conduct subject matter research in technology risk, controls, compliance, and information security best practices
Assist in quarterly/periodic reporting for ORIC program components
Assist in recording/monitoring the division’s Operational Loss Database. This entails capturing pre-defined financial, operational, inefficiency and increased reputation losses across multiple locations and lines of business, and, under certain circumstances, developing and deploying action plans to mitigate/ eliminate a reoccurrence of the loss
Conduct process walkthroughs and testing as part of management's evaluation of internal controls on an annual basis

present

Boston, MA

Senior Operational Risk Analyst VP

Boston, MA

Watsica Group

present

Boston, MA

Senior Operational Risk Analyst VP

present

Working knowledge of GRC software solutions
Drive a consistent approach to identify, assess, manage and report operational risk events, assessment issues and key risk indicators moving from a qualitative to a quantitative risk management model
Collaborate with the business to develop Key Risk and Key Performance Indicators covering the non-financial key risk domains defined in the ORM framework
Aggregate risk data for regional reporting to senior management risk governance forums
Assist with planning, preparing materials and conducting operational risk scenario analysis workshops
Develop risk analytic capabilities to track risk trends and identify emerging risks in the environment
Review Risk Control Self-Assessment results conducted by the 1st line to assess whether the proper risks are identified and to verify the effectiveness of the control environment

Education Education

Bachelor’s Degree in Related Field

Texas A&M University

Bachelor’s Degree in Related Field

Skills Skills

Flexible, team-oriented, with excellent interpersonal, communication, and follow-up skills, with a strong attention to detail and ability to multi-task
Working knowledge or ability to quickly learn operational risk management framework, principles, and practices
Ability to develop good professional relationships
Good interpersonal skills and ability to develop strong partnership with stakeholder
Ability to deal with highly confidential information in a professional manner
Excellent accuracy and strong attention to detail
Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
Excellent analytical and problem solving skills, good attention to detail
Strong organization skills with the ability to handle multiple deliverables
Execution oriented with strong attention to detail, accuracy, consistency and quality of results delivered

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Operational Risk Analyst Resume Examples & Samples

Assists with the preparation of risk mitigation plans for strengthening the effectiveness of controls in assigned business processes
Assists with the development and execution of key operational risk management activities, including, loss event analysis andreporting, operational control analysis, segregation of duties review, logical access roles development, data privacy analysis, business continuity activities, and/or business process engineering
Recommends process improvements for risk management processes and procedures
Concepts, practices and procedures of risk management (including Operational Risk Management, Enterprise Risk Management, Business Continuity, and Technology Risk Management)
Attend to detail while maintaining a big picture orientation
Bachelor's Degree (B.A.) in Finance, Accounting, Business or related field with three (3) years of of risk management, internal control, audit, or information security experience

Operational Risk Analyst Resume Examples & Samples

Risk Assessment: Implement and maintain the Margin, ESO & Pledge department’s risk analysis process. Risk Management function includes: Market Risk, Concentration Risk, Liquidity Risk and Leverage Monitoring. Assess risk output and provide key risk decisions and data to Senior Management. Provide risk analysis on the Margin, ESO & Pledge rules/regulations/scenarios
Strategic Alignment: Assess market and competitive developments to ensure continued competitiveness and aligment of business and risk strategies, policies and procedures. Stay current with external environment that regulates/influences the business. Responsible for proactively identifying areas where efficiencies and accuracy improvements can be made, recommend and implement a solution/action plan. Responsible for the delivering of all projects and inquiries in an accurate and timely manner. Participate in the implementation, review, validation and adjustment of the department procedures
Department Analysis: Support the department through gathering and analyzing metrics and reporting. Provide analysis on indicators that measure service quality, operating costs and overall effectiveness of the department. Research and become familiar with various internal and external data sources to deliver accurate results. Ensure procedures and policies are followed by the team
Act as back-up to the Senior Manager. Understand and adhere to policies and procedures applicable to position, completing any supporting requirements within defined timeframes.Acts within authorized limits and delegated authorities and role according to applicable policies and procedures.Maintain an in depth knowledge of BCP procedures, policies and plan
Client Servicing: Promote quality client service by motivating, coaching and developing team members. Identify and share development and training needs, provide input and review of training plan for the year. Responsible for input in the goal setting, mid-year, and year end department employee reviews; as well as department meetings and one on one discussions as appropriate
Partnership: Ensure key stakeholder relationships are maintained effectively
5 years of experience in Financial Risk Management, Assessments and Decisioning (Market Risk, Concentration Risk, Liquidity Risk and Operational Risk)
Superior financial industry knowledge in the understanding of operations, related products and services and financial instruments with the ability to understand each product and identify associated risks, regulatory framework and the best practices
Prior experience in data extraction, manipulation, analysis, documenting and reporting
Strong communication skills and proven ability to impact and influence
Proven leadership and problem solving capabilities
Proven knowledge and skills in using Microsoft Word, Excel, Powerpoint and proven ability to quickly learn and adapt to in-house systems
Series 99 or equivalent (or ability to obtain within 90 days of hire)
Collaborative, working in partnerships to create effective outcomes
Ability to prioritize and simplify work for self and others
Be a change adopter, embracing change
Ability to lead people

Operational Risk Analyst Resume Examples & Samples

Retail Banking/Canadian Banking Operations (end-to-end experience)
Proven ability to adapt to and embrace change
Collaboration - listens to different opinions
Strong communication (verbal and written) skills
Proven problem solving, innovation and analytical skills; risk and control mindset
Proven ability to thrive within a structured, requirements based environment
Proven ability to establish and meet project deadlines
Technologically self sufficient MS Office suite (notably Access, Excel, Word), RBC Connect, WebEx etc., will be using an Audit Software (TeamMate) extensively and will need to become proficient quickly
3 year commitment

Operational Risk Analyst Resume Examples & Samples

5 years of credit or operational risk experience preferred
BS/BA degree in Business, Computer Science, Technology or related field/experience
Ability to engage in projects/initiatives mid-stream and partner to facilitate successful completion
Strong Microsoft Product skills required. Experience in MS Excel Macro programming & MS Access VB programming preferred
Familiarity with SharePoint 2007 site administration and Business Objects report development
Proficiency in relational database concepts, data warehousing, data retrieval and SQL required
Strong communication, training, moderating and presentation skills
Ability to manage multiple high-priority firmwide projects to meet aggressive deadlines
Ability to follow complex methods and procedures in diverse tasks
Ability to work in a fast-paced environment where priorities shift rapidly

Operational Risk Analyst Resume Examples & Samples

Identifying, anticipating, measuring, mitigating and reporting Citi’s operational risk exposure, and
A solid understanding of financial products and processes across all of Citi’s businesses
Banking, Operational Risk experience an advantage
Strong analytical skills; both quantitative and qualitative
Ability to analyze problems and formulate conclusions and recommendations
Excellent organizational skills, ability to multitask with capacity to organize and prioritize workload within a complex environment with competing and subtle resource demands
Strong MS office knowledge including Excel, Word and Power Point
Ability to speak confidently and authoritatively on a range of subjects and influence opinion

Operational Risk Analyst Resume Examples & Samples

Execute, on a monthly/quarterly basis, the MCA program including all critical control testing and KRI proofs for business units within the AHS Investment Business to develop and maintain a robust control program
Review all AHS investment processes to ensure that the identified controls are in place and effective within the MCA program in order to mitigate any regulatory/compliance risks as noted in the AHS Compliance matrix
Work closely with all pertinent process owners to ensure all units define MCA monitoring tools which can be utilized to mitigate risk within relevant processes and functions
Maintain MCA Process, Risk and Control libraries current, making appropriate amendments at the time process changes are implemented. Review the MCA PRC libraries with process owners, including risk classification, key controls and critical control test methodology formally during the first quarter of every year, and periodically throughout the year
Analyze solicited transactions to ensure consistency with Suitability Guidelines
Assess monthly Supervisory Reports, in order to identify any potential inadequate transactions
Utilize the most recent Compliance Unit Regulatory Matrix (RRM) to perform a gap analysis against the MCA program to ensure correct alignment of all regulations and policies vs. Key Controls, updating the libraries immediately if any change in policies, regulations, processes, etc, occur
Identify and communicate process improvement opportunities to AHS Investment Unit Heads and Process Owners; partner with the in-business Risk heads to ensure a tight control environment
Execute monthly and/or quarterly MCA examinations for CIFS by partnering with the business and operations counterparts, ensuring that all testing is completed on time, that exceptions are timely identified and discussed with management, and that action plans are adequate to mitigate potential risks
Serve as back up for the fellow ORA team member during vacations, absences, etc
Ensure Issues are clearly identified and brought to the attention of the Business. Make certain that corrective action plans are clearly defined, assigned to the correct Process Owners and monitored for progress/timely completion and validated for accuracy and effectiveness prior to closure
Track resolution and any related tasks pertaining to areas under the direct responsibility of Securities AHS' regional office
Ensure involvement and awareness of each one of the issues touched in the BRCC forum as they pertain to AHS investments
Assist business units to achieve satisfactory performance levels, as measured by Internal Audit. Serve as liaison between IA teams and the Business during internal audits. Coordinate planning, testing and walkthroughs in addition to attending meetings and ensuring deliverable requests are completed accurately and on time
Involvement in investment procedure updates and coordination of the maintenance of procedural manuals by identifying process changes and following up with Process Owners
Perform Secure Workplace sweeps on a quarterly basis jointly with the Business Information Security Office (BISO) Head, assisting in keeping track of the findings during premises reviews
Serve as a proponent of risk awareness throughout the AHS organization
Serve as Continuity of Business Coordinator for the Miami Middle Office
Perform all other duties as assigned, including: investigations, special assignments and risk & control improvement projects
5 years of previous securities, compliance, internal auditing experience
Series Licensing – Series 7 is either required at the time of employment or the candidate must have the will and ability to obtain Series 7 within first 120 days of employment; Series 24 is a plus and would be a great asset to this position
Comfortably interface with Internal Auditors, Enterprise Risk Management members and third party external reviewers during business monitoring exercises
A thorough knowledge of the business organization and its strategy
Bilingual - Spanish and English

Operational Risk Analyst Resume Examples & Samples

3+ years of direct, relevant experience in risk identification, assessment, monitoring, and remediation
Bachelors degree required; advanced degree strongly preferred
Strong relationship management skills with ability to deepen relationships and build partnerships across the various lines of businesses
Strong project management skills with the ability to influence and drive results in a team environment
Ability to synthesize, prioritize and drive results in a fast pace environment

Operational Risk Analyst Resume Examples & Samples

Metrics (data collation, generation and analysis of key Global/ Regional Operational Risk (‘OpRisk’) metrics reports for key OpRisk governance forums within the Bank), Loss Data and OpRisk Reporting Systems/Projects is delivered. - Metrics (data collation, generation and analysis of key Global/ Regional Operational Risk (‘OpRisk’) metrics reports for key OpRisk governance forums within the Bank), Loss Data and OpRisk Reporting Systems/Projects is delivered. - Metrics (data collation, generation and analysis of key Global/ Regional Operational Risk (‘OpRisk’) metrics reports for key OpRisk governance forums within the Bank), Loss Data and OpRisk Reporting Systems/Projects is delivered. - Metrics (data collation, generation and analysis of key Global/ Regional Operational Risk (‘OpRisk’) metrics reports for key OpRisk governance forums within the Bank), Loss Data and OpRisk Reporting Systems/Projects is delivered
Loss Data Collation and reporting follow-ups required in Americas/EU region. This will include performing Risk Analyst role for Americas incidents - Loss Data Collation and reporting follow-ups required in Americas/EU region. This will include performing Risk Analyst role for Americas incidents- Loss Data Collation and reporting follow-ups required in Americas/EU region. This will include performing Risk Analyst role for Americas incidents- Loss Data Collation and reporting follow-ups required in Americas/EU region. This will include performing Risk Analyst role for Americas incidents
Change project initiatives discussions/participation required - Change project initiatives discussions/participation required- Change project initiatives discussions/participation required- Change project initiatives discussions/participation required
Operational Risk Data Analytics controls (implementation and follow-up of key work/initiatives in this area) - Operational Risk Data Analytics controls (implementation and follow-up of key work/initiatives in this area)- Operational Risk Data Analytics controls (implementation and follow-up of key work/initiatives in this area)- Operational Risk Data Analytics controls (implementation and follow-up of key work/initiatives in this area)

Operational Risk Analyst Resume Examples & Samples

Be part of global, dynamic PC Ops Risk team
Identify, assess and work with the line to mitigate operational risks
Develop and implement control standards and guidelines with PC line
Perform/initiate/support risk assessment and mitigation initiatives as appropriate
Investigate significant incidents or large operational risk losses to identify and implement lessons learned, mitigating actions, etc
Perform quality assurance reviews
Represent PC Ops Risk in cross functional working groups
Support the PC training program
Experienced individual with a minimum of 5 years involvement in financial industry
Strong PC skills especially Excel, Word and PowerPoint, as well as comfort with manipulation and presentation of data
Team player, proactive, self-starter, who can be dynamic and implement process changes
Communication (English) and organizational skills
Strong interpersonal skills- ability to influence others

Operational Risk Analyst Resume Examples & Samples

Internal Controls
Quality Assurance Reviews
High level product knowledge

Operational Risk Analyst Resume Examples & Samples

Producing the Top Operational Risks Monthly Metrics pack
Assisting in Firm Legal Entity Risk Reporting and Conduct Risk Metrics development
Performing metric data analysis at global, regional, legal entity level etc
Data administration for external loss data consortiums, including operational risk loss data uploading and downloading
Performing quality assurance check for internal operational risk loss data and communicating the quality issues with Risk Managers*LI-JG1
0-2 years of work experience within a leading and international financial institution
Proficiency in Microsoft Office applications, such as Excel and Power Point
Excellent written and verbal communication skills in English necessary
GARP Financial Risk Manager Certification holder preferred

Operational Risk Analyst Resume Examples & Samples

Min 2-3 years of Industry experience with a preferred background in Operations gained in an international financial institution
Excel, PowerPoint skills is a must
Proven track of participation in projects would be a great asset
Good working knowledge of Citi’s controls processes and policies
Strong ability to execute work projects both locally and remotely
College/university education preferred, but an exceptional working track record is deemed more important
Needs to be able to quickly demonstrate the value he/she can add to the Firm
Needs to be able to deliver on deadlines to facilitate the timely delivery of different items
Must be able to work effectively with local business and peers while delivering the notifications of the Region

Operational Risk Analyst Resume Examples & Samples

2-5 years of credit or operational risk experience
Bachelor's or advance degree in business, or related field preferred; or equivalent work experience
3 or more years of experience in a senior level risk management reporting or analytics required
Experience in sworn documents, collections litigation and debt sales preferred
Legal experience highly preferred
Strong problem solving skills required
Strong priority management and multi-tasking skills are required to consistently meet aggressive deadlines
Flexibility and ability to work in a fast-paced environment where priorities shift rapidly
Strong Microsoft Product skills required

Operational Risk Analyst Resume Examples & Samples

Aggregate data from multiple systems and sources to provide performance management scorecards and other metrics related to Citi’s third-party risk portfolio, including reporting by
Preferred 3+ years of relevant experience in finance, MIS reporting and / or third-party management
Detail-oriented, with strong problem solving and analytical skills
Proficient in MS Office applications, with an advanced skill level in MS SharePoint, Excel, and Access and the ability to develop customized solutions and manage interim tools

Operational Risk Analyst Resume Examples & Samples

Information Security Assessments with third parties and Citi business stakeholders
Internal risk assessments
Third-party onboarding activities
Documenting termination plans and offboarding of third parties
Support third-party selection process through evaluation of bid responses against specific risk and control criteria

Wmla Operational Risk Analyst Resume Examples & Samples

Lead and coordinate WMLA and AHS BRCC (Business and Risk Control Committee) meetings. Responsible to prepare the quarterly BRCC certification package, including deck, minutes and charter. . Ensure involvement and awareness of each one of the issues touched in this forum
Coordinate and collaborate with the business in the gathering and delivery on the quarterly OCC requirements
Partner with the business to provide risk definition parameters to assess the severity of issues and once corrective action plans are complete validate the implementation
Monitor timely completion of business open Issues and CAPs in ICAP system. Preparation of monthly Risk and Control Executive report
Prepare Business Integrity Unit trainings and written procedures based on the Operational Risk Policy. Able to analyze operational risk policies and ensure the unit is up to date with updates
Trainings and awareness to the businesses based on the Operational Risk Policies. Act as a proponent for risk awareness throughout the organization
Interface with the Internal Audit Team and ensure proper coordination with the process owners and appropriate lead of the assigned areas. Tracking and timely handle of the deliverables to the auditors team and ensure that information is accurate
Responsible for the upload of Written Procedures into the Knowledge Center. Identify and communicate process improvement opportunities to Business Unit Heads
Perform all other duties as assigned; to include investigations, special assignments and special projects
Binlingual: English and Spanish
Bachelor Degree Required
5 years of experience in related positions (Audit, Compliance, Risk etc)
Strong analytical skills and leadership influence
Change promoter
Technical knowledge required: MS Word, Excel, Access and power Point

Operational Risk Analyst Resume Examples & Samples

Assists with the development and execution of key operational risk management activities, including, loss event analysis and reporting, operational control analysis, segregation of duties review, logical access roles development, data privacy analysis, business continuity activities, and/or business process engineering
Fundamental concepts, practices and procedures risk management (including Operational Risk Management, Enterprise Risk Management, Business Continuity, and Technology Risk Management)
Bachelor's Degree (B.A.) in related field

Operational Risk Analyst Resume Examples & Samples

Confident and concise verbal communication skills, including the ability to influence and negotiate with senior members of staff
Relevant experience in risk identification, assessment, monitoring, and remediation will be an additional strength
Banking/Operational Risk experience an advantage

Operational Risk Analyst Resume Examples & Samples

3 years of related experience (banking, financial regulations, operational process management)
Knowledge of operational, financial, compliance, and transactional processes
Sarbanes-Oxley experience preferred

Senior Operational Risk Analyst Resume Examples & Samples

Five or more years of compliance or risk management experience, preferably in the financial services industry
Undergraduate degree in business or business-related discipline
Advanced degree or professional license (e.g., M.B.A., J.D., C.F.S.A., C.I.A., C.B.A., C.F.A., or C.P.A)
Advanced knowledge of risk management associated with the assigned product lines
Basel II operational risk management knowledge and work experience
Ability to work at all levels of the organization, including with senior leadership
Comfortable working in a team environment

Senior Operational Risk Analyst Resume Examples & Samples

Work with all levels of division’s management across multiple locations and lines of business to execute the division’s ORIC program in alignment with corporate standards and objectives
Development of a "map" of significant ORIC processes, focusing across functions, departments, and locations
Perform Risk Self Assessments. This entails determining process objectives, working with the process owner(s) & other specific subject matter experts to identify risks, identify the existing controls, rank the residual risk/exposure (based on likelihood and impact), and define and execute action plans that are deemed appropriate to reduce the risk/exposure to an acceptable level
Assist in recording/monitoring the division’s Operational Loss Database. This entails capturing pre-defined financial, operational, inefficiency and increased reputation losses across multiple locations and lines of business, and, under certain circumstances, developing and deploying action plans to mitigate/ eliminate a reoccurrence of the loss
Represent division on certain ORIC related activities and cross-divisional meetings, committees, etc
Assist in quarterly/periodic reporting for ORIC program components
Coordinates the annual ORIC certification process(s)
Conduct process walkthroughs and testing as part of management's evaluation of internal controls on an annual basis

Operational Risk Analyst, Citimortgage Resume Examples & Samples

Represent the In-Business Operational Risk Management (IBORM) reporting and analytics team in interactions with operations to validate data being supplied that drives to board level reporting
Proficient with Microsoft Excel with a strong aptitude to independently reproduce technical calculations
Ensure that the risk measures are being reported within data dictionary standard
Strong organizational skills, attention to detail and interpersonal skills
Develops sound relationships with internal risk partners as well as Operations, Ops Control, Compliance and Internal Audit
Resolves or escalates issues timely, communicate difficult information or resolve challenges or risk
Excellent communication skills with partners, both verbal and written to ensure continued engagement with all stakeholders
Proficient in Office programs to include Word, Excel, PowerPoint and Project
Prompt and punctual for all meetings

Operational Risk Analyst Resume Examples & Samples

Production of reports enabling Operational Risk Management (ORM) to proactively assist in managing operational risks through risk assessment, anticipation, mitigation and recovery
Support the development of model risk management reporting initiatives through definition of key model risk related data/metrics and establishing reporting standards that can be applied consistently
Support implementation of effective control processes to ensure accurate and timely reporting for our clients
The ideal candidate will have a BS or BA and 1-5 years of work experience in finance or a related control discipline (e.g. Risk Management, Reporting, Financial Control, Audit, Operations, etc.)
Keen analytical skills to interpret, validate, and analyze data
Self-starter who can take initiative and work independently
Excellent communication and interpersonal skills with the ability to work with counterparts in different areas of the organization
Advanced technical knowledge of Microsoft Excel and PowerPoint required, familiarity with Business Objects and MicroStrategy is preferable

Operational Risk Analyst Le Resume Examples & Samples

The candidate will ensure all work in relation to Loss Data, Metrics (data collation, generation and analysis of key Global/ Regional Operational Risk (‘OpRisk’) metrics reports for key OpRisk governance forums within the Bank), and OpRisk Reporting Systems/Projects is delivered
Responsibility for working with stakeholders to ensure delivery on data collation, generation and analysis of key OpRisk metrics/Loss data reports at the Bankwide, Divisional, Legal Entity and Regional levels
Involvement in the enhancement of metrics/loss reporting under the OpRisk US Legal Entity Program
Liaison with report owners, metrics/loss data providers in business areas across the Bank and other stakeholders to implement metric report changes as required
Analysis of metrics data and provision of appropriate challenge to business areas to identify potential risk and control issues
Enhancement of report production processes, tools, controls, including assistance in the development of strategic system solutions to support OpRisk metrics/loss reporting, to improve efficiency and control
Work on other project deliverables impacting the RFDAR OpRisk Reporting team

Operational Risk Analyst Resume Examples & Samples

Creating MI reporting on regular basis to assist management in assessing trends in key controls statistics
Maintaining the SharePoint by uploading key documents to the site
Assisting with the month end process around open Operational Risk and Audit items
Performing data analysis on Operational Risk data to identify anomolies and provide solutions for remediation
Assisting in the semi-annual ICAP process
Preparing management information packs for Senior Management
Contacting with Clients to discuss their requirements

Operational Risk Analyst Resume Examples & Samples

Work with all levels of management across multiple locations and/or lines of business to execute the operational risk program in alignment with corporate standards and objectives
Assist in performing risk self-assessments. This entails determining process objectives, working with the process owner(s) and other specific subject matter experts to identify risks, identify the existing controls, rank the residual risk/exposure (based upon likelihood and impact), and review and monitor the execution of action plans that are deemed appropriate to reduce the risk/exposure to an acceptable level. May facilitate or assist in RSA workshops
Assist in implementation and monitoring of Key Risk Indicators (KRIs). This is accomplished through gathering an inventory of current metrics, determining the most significant risks that require monitoring, establishing KRIs for the most significant process, and gathering data (when required) so that reporting can be completed for KRIs
Assist in recording/monitoring the Operational Risk Database. This entails capturing pre-defined financial, operational, inefficiency and increased reputation losses across multiple locations and lines of business, and, under certain circumstances, developing and deploying action plans to mitigate/eliminate a reoccurrence of the loss
Assist in quarterly/periodic operational risk reporting
Representation on certain operational risk related activities and cross divisional meetings, committees, etc
Bachelor degree in related field (accounting, finance, risk management) or equivalent operational experience
2-5 years of audit experience or equivalent required
Financial Risk Manager (FRM), Professional Risk Managers’ International Association (PRMIA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA) or Certified Public Accountant (CPA) certifications preferred
Strong facilitation and communication skills, strong understanding of financial services and/or insurance industry
Ability to manage multiple priorities and work independently. Solid project management skills
Comfortable with change in a fast paced environment

Operational Risk Analyst Resume Examples & Samples

Transaction Services experience , a plus
3+ year’s experience with Risk and Control processes (CoB, Records, Supplier)
Develop and maintain strong relationships with clients through teamwork
Control monitoring/reporting and identification of emerging risks
Superb written and verbal communication
Excellent organizational and time management skills a must
Experience in CoBTrac, a plus

Operational Risk Analyst Resume Examples & Samples

One to three years of risk management, auditing, and/or operations in a financial or banking institution
Planning, organizing, directing and controlling
Med to advanced Excel and PowerPoint skills

Operational Risk Analyst Resume Examples & Samples

Bachelor’s degree required – as a minimum
2-5+ years relevant financial and/or risk experience
Strong PC skills (Microsoft Office with emphasis on Access is mandatory)
Willingness to question/challenge existing processes and ensure a satisfactory outcome
Strong organizational skills with the ability to multi-task
Excellent communication and relationship skills across all management levels
Experience with systems and project management, a plus
Advanced/Intermediate English

Operational Risk Analyst Citi Market s Risk & Control Resume Examples & Samples

Assist in assessing current status of Dodd Frank related controls
Recommend control enhancements as needed
Identify best practices to be shared with global Markets businesses
Develop and maintain tracking metrics for management reporting and escalation
Develop internal relationships and provide support for various Trading and Sales desks
Establish a rapport with Business Managers, Compliance, Internal Audit and Legal
Knowledge of Dodd Frank regulations
Series 7, 24 a plus but not mandatory
Experience with Microsoft Access databases, including design, developing queries, reports and macros in a dynamic environment would be helpful
Experience with Citi systems is a plus

Operational Risk Analyst Resume Examples & Samples

End to end management of incident management process
Manage incident system to ensure it continues to meet business requirements
Manage incident detail data integrity
Manage incident reporting for all business requirements
Support the business in investigating and documenting incidents
Support business in the use of the incident reporting system
Facilitate the business in the implementation of control improvement plans
Provide Operational Risk administration support
Excel skills to an intermediate level
Ideally current experience within Financial Services
Good understanding of asset management

Senior Operational Risk Analyst Resume Examples & Samples

5+ years in the financial services industry
Good presentation and communication (verbal and written) skills
Knowledge of WM-CA’s products, processes and organization

Securities, Ficc, Operational Risk, Analyst Resume Examples & Samples

Ensure transparency of risks to traders and senior management by summarizing and reporting risks
Perform risk analysis and liaise with trading desks to understand business activities, workflows and existing policies and controls
Review the Division’s trading activity and compliance with policies and controls
Lead implementation of various risk related regulatory initiatives
Monitor market and economic activity to identify risks and potential business implications
Up to 3 years’ experience in a trading / control environment
Broad knowledge of financial markets and the drivers of market moves
Enthusiasm and genuine interest in financial markets
Detailed knowledge of some asset classes and instruments preferred
Experience with electronic trading in any asset class preferred, or alternatively with prior software development experience in similar systems
Confident interpersonal skills due to the high level of senior management liaison
Excellent communication skills; able to communicate concisely and accurately

Operational Risk Analyst Resume Examples & Samples

Provide actionable intelligence, in order to identify and proactively address key Control issues
Perform thematic analytical reviews of a Global nature to determine trends and emerging risks
Understand key risks within the Business and operational processes relating to Global Business partners
Conduct specific data analysis and present conclusions of analysis to Senior Management
Facilitate the execution of the Centralised Controls Test Plan covering Global OTRC sites
Oversight of Global report generation, obtaining metrics from various systems to monitor the Control environment and effective communication and escalation of key controls
Perform Key Data Management including, Data Processing, Consolidation and Reporting, creation of Feed Dashboards
Ad-hoc reporting-ability to design and build customized reports based on Stakeholders / Business requirements
Develop and research new methods of managing and maintaining business Control processes
Facilitate the transition to visualization reporting for manually collected Metrics
Monthly Controls MIS decks, data analysis reports to be prepared and shared, capturing any issues, themes or exceptions
Perform any other ad-hoc process reviews or tasks as warranted by business requirements
Be fully up to date and familiar with relevant Citi Policies and standards
Knowledge of ICG Operations businesses and associated processes
Analytical inquisitiveness and problem solving, ability to ask insightful questions, work through complexity and identify issues/exceptions clearly
Experience with Metrics required
Ability to convert large volumes of data into high quality PowerPoint decks, presentations, dashboards
Understanding of Program/Project Management standards
Good at brainstorming. Needs to communicate complex ideas simply and compellingly
Excellent written and verbal communication skills required to influence and negotiate
English language proficiency required (written and verbal)
Willing to work in a Global environment
Strong MS Office - Excel, Word, Power Point

Operational Risk Analyst Resume Examples & Samples

Lead the and further grow a team of operational risk analysts in the ongoing maintenance and further development of the Group Operational Risk Scenario framework across various jurisdictions (incl. policies and procedures required to meet regulatory and best practice standards)
Lead the ongoing integration and linkage of the Operational Risk Scenarios framework with other elements of the Operational Risk Framework (e.g. Risk and Control Self-Assessments, Metrics, Control initiatives etc)
Lead the preparation (incl. training of business experts) and governance (incl. facilitation) of the annual scenario processes across various jurisdictions
Support the communication to senior management within Risk Management department and Business divisions, the various governance groups as well as the regulatory bodies
Support the Operational Risk capital process (incl. macroeconomic stress testing) across the various jurisdictions
Excellent organisational skills and ability to work under pressured timelines

Operational Risk Analyst Resume Examples & Samples

Proficiency with Microsoft products; SharePoint, Visio, PowerPoint, Access, Word, Excel
Familiarity with common mortgage operations technology platforms (e.g.: loan origination and servicing systems, imaging systems, default servicing systems, valuation systems, property management, customer service systems)
Strong creativity, problem solving skills, and the ability to automate data processes using available tools
Self-starter who can find technological solutions on a timely basis as needed
Ability to devise strategies and translate objectives into tactical execution plans
Experienced with multiple full development lifecycles from business concept to final delivery
Minimum of 3-5 years analytical experience
Strong quantitative, analysis, and organizational skills
Strong database development skills including creating, managing, supporting; queries, tables, stored procedures, functions, triggers, forms, web interface tools, macros, VBA, SQL, query tools, etc
Familiarity with common reporting platforms such as Business Objects
Strong data analysis, data cleansing, data integrity, data governance procedures and concepts
3 years+ of business analysis/MIS experience in consumer lending, preferably mortgage originations and/or servicing
Ability to review large data sets and present trends and/or suggested improvement to stakeholder partners
Highly developed analytical, numerical, and reasoning abilities to analyze data and business processes, challenge assumptions, develop analytical methodologies, present and defend conclusions and recommend action plans
Must be organized and work within prioritization framework to meet tight deadlines, and offer solutions where efficiency may be challenged
Strong communication skills and presentation skills
Bachelor's degree in related field of study with Masters preferred
Ability to coordinate and communicate across various business segments and technology disciplines
Ability to work both collaboratively and independently

Corp Sector Risk-ctc Operational Risk Analyst Resume Examples & Samples

Familiarization with the operations within the business and business processes
Proactively analyzes operational risks and ensure effective communication and escalation with key stakeholders across sub-LOBs and functional teams
Assisting in the Risk & Control Self Assessment process in the CTC Risk organization, including identification of key processes and controls
Review and challenge business unit’s documented operational risk assessment processes and procedures
Stay abreast of industry news and regulatory developments to facilitate a more proactive approach to risk identification and mitigation. Review root cause analysis on internal operational risk events and those that occurred externally in the industry
Coordinate activities to ensure the effective execution and convergence of the elements Operational Risk Management Framework (ORMF) including: Risk and Control Self Assessments, operational loss data capture and reporting, structured scenario analysis and capital allocation and maintenance of strong governance and culture of transparency
Oversee risks associated with new business initiatives and other programs (i.e. User Tools) within the business and challenge the control environment within these programs
Participating in operational risk structured scenario analysis, including interviews and workshops with senior management to identify extreme but plausible operational risks across CTC activities
Contributing to developing and managing operational risk governance, policies and procedures
Lead, or participate in, other operational risk initiatives as assigned
Bachelor’s Degree in business administration, finance or related field
Experience in financial services industry, with specific experience in Operational Risk, Finance, Business Management, Audit, Compliance or other controls related area preferred
Strong organizational, planning, documentation and project management skills; track record of building strong partnerships across teams and operating through influence
Ability to partner with individuals across all LOBs/ Functions and at all levels of the organization
Experience with Risk tools (e.g., Phoenix) systems and Microsoft office skills is plus

Operational Risk Analyst Resume Examples & Samples

Operational Risk - Adopt and implement Group Operational Risk policy and methodology in the Asia region by coordinating entities in identifying and assessing operating risk (including risk assessment, scenario analysis and loss data collection). This position also acts as key point of reference to local companies as support for operational risk
Liaise and support Marketing and Corporate Communication department to assess Reputational Risk by providing Group methodology in bridging the gap between local peculiarities and group standards
Functions as the interface for compliance risk and operational risk in respect of regulatory change, policy change, both internal and external
Point of coordination between First Line of Defense (Business Units, mostly with I.T.) and Third Line of Dense (Internal Audit) to ensure that group guidelines are understood; operational risks are identified, assessed, monitored and communicated
Support the implementation of the Risk Management Policy and other risk-related policies and support local Risk Management Committees
Coordinate annual Risk Report (ORSA Report) with local companies and other Group reporting requirements
Bachelor degree in accountancy, finance or business related discipline
3+ years of experience in Operational Risk, Internal Control function, Compliance or Internal Audit in Financial Service Sector
Basic technical knowledge of regulatory requirements and international best practice in operational risk and risk management
Certificates preferred: CPA / ACCA or equivalent, CIA, CISA, FRM / PRM
Strong communication and presentation skills that able to communicate technical topics in ordinary language to broad multicultural audience
Good analytical abilities including root cause analysis
Ability to work independently and proactive to propose solutions and new ideas

Operational Risk Analyst Resume Examples & Samples

The Quality Manager is responsible for the preparation, development, due diligence, reporting and approval of Know Your Customer (KYC) and associated documentation in partnership with Customers, Relationship Management and Compliance. The role focuses primarily on ensuring the process completeness based on timely and effective processes for the relevant client groups
Supervise areas or functions in which the department supports the Global Consumer Business: preparation, development, due diligence and approval of the Customer Acquisition Due Diligence (CitiKYC)
Ensure the quality, timeliness and accuracy of all processes and services provided by multiple departments across the Global Consumer Bank (Onboarding, Scheduled Reviews and Feedback Loop are some examples) and at the same time proactively manage risk and control issues to ensure compliance with company policy
Act as an agent of change to provide guidance in process improvement, right placements and migrations into the department
Career management, coaching and mentoring for all team members
Lead the migration of new business and responsibilities into the area
Oversee adherence to standards across Quality reviews
Oversee adherence to sampling guidelines across all Quality review populations
Coordinate with various partners to ensure Quality results/recommendations are implemented into BAU processes
Deliver training where appropriate based on corrective actions
Conduct periodic walkthrough or processes as needed and identify process improvements
Collection and assessment of audit, compliance testing and regulatory deliverables
Coordinate with Audit and Exam managements, and assist in drafting of audit and exam responses
Track corrective action plans to closure and validate effectiveness of control enhancements
Keep high standards of VOC and VOE
Ensure appropriate hiring
Major degree preferably in Business/Finance, Math, Economics, Engineering, Optimization, or Law. (Licenciatura)
5+years experience in the financial industry/examination field/internal audit
5+ years experience with laws and regulations applicable to money laundering, including the Bank Secrecy Act (BSA), The USA Patriot Act, OFAC requirements, and Suspicious Activity Report (SAR) requirements
5+ years experience in examination roles and in depth understanding in test methodology, risk and controls analysis and business process mapping
Strong presentation, program, and relationship management skills
Strong technical, analytical, organizational, and interpersonal skills
Ability to conduct job responsibilities effectively with minimal supervision
High proficiency in Microsoft Word, Excel and PowerPoint
Ability to multitask and work effectively under pressure to meet deadlines
General understanding of KYC, Senior Political Figures, Money Service Businesses, and other high risk customer segments preferred as well as compliance with those business segments
Advanced use of Microsoft Package
English C2
Advanced Microsoft Excel skills (data manipulation, pivot tables etc.)
Advanced Microsoft Power Point
MIS and metrics and efficiency analysis skills
Experience in control/risk or Compliance (AML/KYC) functions
Excellent oral and written communication skills and ability to facilitate discussions up to senior stakeholder level
Ability to present to senior levels of management (e.g. Director, MD)
A good knowledge of the techniques for planning, monitoring and controlling programs and resources
Ability to work independently, multi-task, and take ownership of various parts of a project or initiative
Integration

Operational Risk Analyst Resume Examples & Samples

Serve as a senior analyst for TPU risk analysis activities handling the most complex suppliers or business relationships
Provide strategic support to Citi businesses for the execution of third-party risk management activities, including
Bachelor’s Degree required; advanced degree preferred
Detail oriented, pragmatic problem solver, forward thinker with ability to act independently

Operational Risk Analyst Resume Examples & Samples

BA/BS or equivalent experience
8-10 years of work experience in Client Service, Business Risk, Compliance, or other related experience
Knowledge of Banking and Securities related Regulations and Citi Private Bank Policies and Procedures and a proven ability to manage projects and conduct training
Strong interpersonal, verbal and written communication skills as well as organizational and analytical skills
Bi-Lingual Skills English/Spanish
Ability to quickly adapt to change, multi-task, work independently with little supervision
Moderate to advanced experience using the standard suite of MS Office products in addition to comfort using Web-Based systems in general is also preferred
Licensing preferred

Operational Risk Analyst Resume Examples & Samples

Assist the TPU Operational Standard manager with implementation of TPU Operational Standard program at the TPU Costa Rica site
Support the implementation of the TPU Book of Work at the TPU Costa Rica site in a multi-year, multi-phased environment
Oversee TPU Costa Rica site adherence to the TPU Global Operating Standards, inclusive of compliance with operating procedures, standard tools utilization, and reporting artifacts
Lead the TPU Costa Rica site development and adaptation of interim tools as needed, including tools to document, store, and report on activities performed, including Supplier relationship scorecards, Process activity scorecards, and TPU Performance scorecards
Lead the efforts to ensure that the TPU activities performed out of TPU Costa Rica site are completed in accordance with applicable regional and / or local laws and regulations, conducting researches if required and interacting with Compliance and Legal colleagues as needed
Support the development and maintenance of global standards for TPU Quality Control Program to be carried out for each activity at each TPU site
BS/BA degree required
Ability to draft detailed operating procedures, training materials, and tools
Strong control, process, and project management skills with the proven ability to influence and drive results from a diverse team of functional stakeholders
Excellent analytical skills and the ability to present information in a succinct format

Operational Risk Analyst Resume Examples & Samples

Support the ESC TPU Global QA Manager to liaise with the TPM Office Governance team and the ESC Controls & Governance team to ensure alignment with risk and control strategic programs and requirements
Execute monthly spot audits on select TPU activities globally to ensure established controls are functioning as intended at each TPU site
Ensure all operational risks are assessed and mitigated, and control / audit issues are actively managed to full resolution
Report control breaks identified and recommend control enhancements to TPU Site management teams
Collaborate to the development of TPU operating procedures and processes to ensure appropriate controls are established and documented
Support the ESC TPU Global QA Manager to liaise with TPU Site Heads globally to ensure sound and effective control activities are integrated into the TPU day-to-day operating activities
Support ESC’s global CoB program requirements specific to TPU sites and activities
Support requests from regulators globally specific to the TPU activities
Support ESC’s MCA Program and manage the execution of TPU MCA activities globally across all TPU activities and sites in alignment with the Third Party Management (TPM) Office’s MCA standards and guidelines
Support Third Party Management governance committees, as required
Minimum BS/BA degree. Preferred MA/M.Sc./MBA degree

Operational Risk Analyst Resume Examples & Samples

Provide support to Citi businesses for the execution of third-party risk management activities, for example, coordination of:◦Information Security Assessments with third parties and
Citi business stakeholders
Documenting termination plans and off boarding of third parties
Execute common, standardized third-party risk management processes, managed centrally by the TPU, for example:◦Support third-party selection process through evaluation of bid responses against specific risk and control criteria

Operational Risk Analyst Resume Examples & Samples

Northern Europe
Western Europe
Central Europe
Middle East and North Africa
Russia CIS/Turkey/Israel
Development of the Country Level Operational Risk Framework including Risk and Control Self-Assessment (“RCSA”s)
Delivery of the Framework across EMEA countries

Operational Risk Analyst Resume Examples & Samples

At least 5 years’ experience at internal audit or business / control function
Strong interpersonal skills, including the ability to sway opinion and negotiate successfully at a senior level
Experience in Audit, Risk Management, Compliance, controls or other support functions aimed at promoting safety and soundness within the financial system would be beneficial
Excellent leadership, influential and teamwork skills
Strong inter-personal/relationship skills
Ability to sift through complexity and see issues clearly
Drive and determination – high energy level, but dispassionate and independent
Ability to work in various projects at the same time and under the pressure of tight deadlines
Excellent communication skills – verbal & written ability to work with tight deadlines and under pressure

Operational Risk Analyst Resume Examples & Samples

Working closely with GRC functional management with the aim to: identify operational risks within the function and ensuring that these are appropriately evaluated and documented, ensure that appropriate remediation actions are taken and lead the analysis where appropriate
Ensure that there is effective coordination across GRC functions with appropriate escalation and reporting to senior management and governance forums
Facilitating the functional processes relating to formal operational risk certifications including SOX 302 and SOX 404; contributing to specific risk analysis and reviews of targeted areas within GRC functions
Driving the preparation of Risk COO dashboards for the GRC Operational Risk Oversight Committee; and discovering and collating information from across UBS to support ongoing assessment of risks impacting GRC

Operational Risk Analyst Resume Examples & Samples

Reporting, both formally and informally
Interfacing with all Operations teams and the senior management team in Risk and Compliance
Working with first and third lines of defence to ensure a robust and consistent ORM framework is present within the business
Management of mitigants and business continuity where appropriate
Ensuring the trade and business lifecycle processes are robust from a risk perspective
Providing independent advice and oversight to the Operations team, regardless of level

Operational Risk Analyst Resume Examples & Samples

SPECIALISED SKILLS/EXPERIENCE
Management/Supervisory
Ability to handle pressure
Accountability and teamwork
Integrity
Learning
Accomplishment

Operational Risk Analyst Resume Examples & Samples

Identify process risks and highlight impact on various business areas (people, organization, processes, metrics and systems, controls etc.)
Undertake analysis of various data points to prevent the operational issues and to identify business opportunities
Increase internal business performance by further development of reporting framework and creating management sound analysis
Maintain a strong SOX and internal control framework to strengthen general control oversight and to drive process efficiencies by taking part in Design Effectiveness Testing assessment, SOX testing, End of Year Sign-off
Remediate & close SOX/operational incidents and support various business stakeholder
Identify, document and disseminate new procedures, controls and processes
External and internal Client relationship management for audit purposes
Adhere to listed practices
That position will allow gaining experience in multinational corporation under CFO Department. Working for Credit Suisse gives also opportunity for international mobility

Operational Risk Analyst Resume Examples & Samples

Manage end-to-end operational risk identification, assessment and quantification, aggregation reporting, and monitoring for assigned businesses
Assist in coordinating the operational risk program within the context of the broader TCF enterprise risk management framework, including TCF’s risk appetite statement
Use professional knowledge, skills, and experience to influence and guide, monitor, and credibly challenge the first line business units as they manage operational risk and make risk decisions
Determine if management action is needed to strengthen operational controls or reduce residual risk to align with risk tolerances and the risk appetite
Manage operational risks for assigned business units, supporting processes, and supporting departments
Assist with coordinating the operational risk program efforts with TCF’s stress testing, modeling, comprehensive periodic risk assessments, and regulatory reporting standards and expectations
Develop presentations appropriate for senior level audiences and external regulators
Will be fully conversant with TCF’s risk appetite statement and how both the risk appetite statement and how both the risk appetite statement and the operational risk program apply to TCF employees
Bachelor’s degree in a business-related field (e.g. accounting, finance, economics, etc.) or equivalent experience
3+ years of previous relevant experience within the financial services, risk management, insurance or consulting industries
Possess a strong acumen for the following skills
Organized with good follow-through skills and ability to manage multiple projects and deadlines
Strong communication skills (written and verbal) with the ability to effectively interact with all levels of the organization, vendors, external partners, and regulators
Leadership, teamwork, accountability and demonstrate integrity in all aspects of job duties
Relationship management and interpersonal abilities
Self-motivated, articulate and independent thinker
Strategic, analytical, qualitative, and quantitative abilities

Senior Operational Risk Analyst Resume Examples & Samples

Oversee effective end to end operational risk identification, assessment and quantification, aggregation reporting, and monitoring
Assist in coordinating the operational risk program, including risk and control self-assessments and scenario analysis, within the context of the broader TCF enterprise risk management framework, including TCF’s risk appetite statement. May provide guidance to less experienced staff
Centrally manage the operational risk program, including risk and control self-assessments and scenario analysis, across all TCF lines of business, supporting processes, and supporting departments
Build and maintain relationships with bank and industry experts, including understanding and applying required operational risk standards
Coordinate the operational risk program, including risk and control self-assessments and scenario analysis, efforts with TCF’s stress testing, modeling, comprehensive periodic risk assessments, and regulatory reporting standards and expectations
Establish relationships with business and risk partners to enable collaboration and alignment across key risk objectives
Will be fully conversant with TCF’s risk appetite statement and how both the risk appetite statement and the operational risk program, including risk and control self-assessments and scenario analysis, apply to TCF employees
Bachelor’s degree in a business-related field (e.g., accounting, finance, economics, etc.) or equivalent experience
5+ years’ previous experience including risk and control self-assessments and scenario analysis within the financial services industry
Demonstrated proficiency with the following skills
Highly organized, excellent follow-through, and the ability to manage multiple projects and deadlines
Demonstrated Leadership to promote effective team dynamics, and accountability for timely deliverables
Highly self-motivated, articulate and independent thinker
Expert knowledge of utilizing Microsoft Office products (Excel, PowerPoint, Word, Outlook)

Senior Operational Risk Analyst Resume Examples & Samples

Builds and maintains loss data collection policies, procedures, processes, methods, and all related documentation
Coordinates the loss data program within the context of the broader TCF enterprise and operational risk management frameworks, including TCF’s risk appetite statement
Centrally manages the loss data collection program across all TCF lines of business, supporting processes, and supporting departments
Builds and maintains relationships with external data consortiums, including understanding and applying required collection, documentation, and reporting standards
Facilitates and oversees the collection and reporting of operational risk data (e.g., events, KRIs, etc.), including reporting and analysis of internal, external, and industry loss data trends
Coordinates the operational loss collection efforts with TCF’s stress testing, modeling, comprehensive periodic risk assessments, and regulatory reporting standards and expectations
Establishes relationships with business and risk partners to enable collaboration and alignment across key risk objectives
Will be fully conversant with TCF’s risk appetite statement, how it applies to loss data analytics, and how both the risk appetite statement and loss data analytics apply to TCF employees
Bachelor’s degree in a quantitative field (e.g., accounting, finance, economics, statistics, math, etc.) or equivalent experience
3+ years of relevant previous experience within the financial services industry combined with 2+ plus years of Loss Database Management experience is required
Working knowledge of SAS or similar (Sequel Project or other database management system). Demonstrated proficiency with the following skills
Leadership, teamwork, accountability, respect, and integrity in all aspects of job duties
Highly self-motivated, independent thinker, and articulate
Expert knowledge of utilizing Microsoft Office products (Excel, PowerPoint, Word, Outlook

Operational Risk Analyst Resume Examples & Samples

Provide support in several initiatives related to key control projects
Manage and improve daily control reporting processes
Review and reconcile various exception reports to improve data quality
Develop internal relationships and provide support for various Trading / Sales Desks
Gain the trust and confidence of the Citi Markets Trading and Sales Desks
Establish a rapport with Business Managers, Compliance, Internal Audit, Financial Control and Middle Office
Experience extracting data from disparate sources in a manually intensive environment and transforming/standardizing it into meaningful information to a variety of senior global stakeholders
Experience with databases, including design, developing queries, reports and macros in a dynamic environment. Working experience in Visualization and Business Intelligence tools such as Qlikview, a plus
Communication - Excellent oral and written communications skills; Must be articulate and persuasive
Change Agent - Ability to drive change to business practices by working effectively. Self-starting with the ability to multitask and prioritize
Teamwork - Must be able to work in a team environment, listen and work well with others; Team-oriented, client-focused and open to different ideas/viewpoints
Organizational Skills – Capable of prioritizing and multi-tasking in a dynamic fast paced environment
Strong analytical skills with follow-up and problem solving capability
Ability to analyze a process and recommend ways to improve quality, controls, and efficiency

Operational Risk Analyst Resume Examples & Samples

Support WM ORM Head, Programs mandate as part of central resource function for WM ORM. Assist WM ORM in maintaining focus on management and execution of key platform deliverables to fulfil EORM and platform directives. Ensure new EORM Operational Risk directives/requirements are disseminated to WM ORM Team and WM Management as appropriate. Develop monitoring and reporting capabilities therein
Execute essential processes and controls to deliver robust and timely Risk Reporting and Operational Risk Appetite Reporting as required
Support WM ORM Globally by maintaining informational linkages with applicable internal Centres of Governance [“CoG’s”], EORM, other RBC ORM teams and essential Infrastructural areas supporting WM
Help ensure applicable Enterprise-wide responsibilities are addressed within WM, and relevant learnings/best practices available from CoG’s are communicated clearly to all WM-ORM teams
Support WM ORM Globally in providing governing principles and standard practices in the presentation and evaluation of Key Risk Indicators [KRI], Management/EORM Reporting and Operational Risk Appetite [ORA] information
Execute quality control steps to support integrity of WM OR Team processes
Execute Risk & Control Assessment steps, as well as Special Projects, mandated by the WM ORM Program Head
Assist in the co-ordination and planning of Team meetings and periodic Global Team teleconferences
Recognized Industry Qualifications – Industry Securities / Options / Futures courses or equivalent
5+ years in a combination of knowledge, skill and background in either operational risk practices, audit or compliance functions, securities operations or one or more businesses in WM
Maturity level and skill/judgment to be able to deal effectively within WM ORM Team/peer group
Presentation and communication (verbal and written) skills suitable for senior management engagement
Strong problem solving, analytical (including qualitative analysis), research, and quantitative skills are essential
Excellent knowledge of WM and RBC’s products, processes and organization
Excellent PC skills (e.g. High degree of knowledge and comfort with Microsoft Office, Excel, Powerpoint)

Operational Risk Analyst Resume Examples & Samples

To enhance the control environment within the Private Bank and to maintain processes to address the variety of internal and external control policies the business has to comply with
Assess the business needs, design appropriate control processes and implement and manage continued compliance with those processes
Support the business with client reporting, especially with local tax and regulatory requirements
Support to the execution and delivery of key Information Security activities, including reporting of IS Incidents, liaison with Group IS function, co-ordination of IS Risk Assessments
Support to the execution and delivery of key Continuity of Business activities, including co-ordination of the Business Continuity agenda for the Private Bank
Support to the execution and delivery of the Records Management agenda, including liaison with Group function, co-ordination of records management work programs
Support to the Fraud Management program oversight, liaison with Group Fraud function, reporting of Fraud Incidents
Execution and oversight of the Private Bank’s Risk and Control Self Assessment processes
Execution and oversight of controls testing activity across a variety of processes for the Private Bank
Execution and oversight of the Key Risk Indicator and Key Operational Risk processes
Causal analysis and remediation of control weaknesses or errors identified through the risk and control assessment processes or through operational losses or risk events
Oversight of material areas of risk and control, including KYC, AML, Sales and Suitability
Support to the co-ordination of the broader control function risk management agenda, working closely with partners in Legal, Risk and Compliance
Working closely with Bankers, Business Managers and Senior Managers to embed a robust culture of internal control
Supporting the commercial implementation of all Citi wide policies and procedures in the Private Banking business
Monitoring and tracking corrective actions plans, overseeing appropriate and on-time remediation of risk issues
Support to the business with internal reports (BI or other system reports) to automate universe/samples
Control of CIL opened and closed accounts to identify Spanish resident client reporting requirements, maintaining client’s reporting related data in OneSource
Generation of reports issued on behalf of clients to deliver them to clients and/or to the different regulators
Bank of Spain – ETE client reports
Ministry of Commerce – D5, D6, D8, etc
Tax related – Self-retention 117 report, 720 and ITS reports
Execution and oversight of the CNMV Recommendation/Suitability rules, that include
Management of the Spain IOS Letter Delivery Process, including IOS Exception and IOS letter delivery tracking
Management of the Spain CNMV Recommendation Letter Process, including controls testing activity
Execution of Signature Verification and Call-back to clients to cover MIFT requirements
Delivering process and control deep dive review activity as required by the Head of Business Risk and Control
Experience in implementing operational risk management tools, frameworks and processes
Experience in Internal Audit, Compliance or Risk Management
Experience in Private Banking / Wealth Management or Asset Management business and/or control management
Awareness of relevant Spain / EU regulation and regulatory frameworks would be beneficial
Ability to work well in a cooperative, high energy, matrix managed business
Ideal candidate will have the combined experience of business, process and risk management in financial services
Experience in Spanish legal and tax matters related to Spanish investors in foreign countries Skills
Language skills: Native Spanish speaker and fluent in English, written and spoken
Awareness of Information Security practices
Business continuity planning skills
Strong stakeholder management (building relationships, influencing and challenge)
Project management skills for the implementation of complex business solutions
Ability to deal with regulatory institutions
Ability to establish an environment where client facing staff are aware of regulatory requirements
A professionally recognized controls based background in compliance, financial control, internal auditing, Risk Management or similar
A sound understanding of processing within a complex systems environment
Graduate calibre

Operational Risk Analyst Resume Examples & Samples

5-8 years of successful operations, product and/or project management experience within the global finance industry
In-depth knowledge of TTS Operations and products
Understanding of Citi policies and the controls environment
Experience in adhering to company policies within a controls environment
Strong analytical skills, including hands-on project management experience and preparing senior management presentations are required
Exceptional verbal and written communications at all levels of management
Strong time management skills to meet various deadlines
Ability to research and identify a continuous improvement approach
Participation in cross-functional teams
Influence skills
Strong proficiency in Excel, PowerPoint and Access required

Operational Risk Analyst Resume Examples & Samples

Act in the Loss Event Data collection process as a collector of information, ensuring that all the events are accurately represented in the HQ reporting system. This include the recognition, understanding, analysis, and reporting of OpRisk events and their corresponding impact on the business
Working on the Risk & Control Self-Assessment task, including Interview with team representatives, outcome documentation and analysis of main operational risks and controls in place
Helping the OR Manager in establish primary Key Risk Indicators for the Pole, and define and monitor related metrics
Collaborate in the monthly production of Asset and Liabilities metrics, ensuring data validation and timely reporting to the regulators
Analytical Skills - must be able to analyze information and identify implications
Excellent interpersonal skills - Effectively interact with various business functions
Proven ability to work effectively & meet deadlines
Clear thinker, with passion for controllership and processes simplification
Fluent in English and Italian, both written and verbal
Systems skills: Microsoft Office, in particular, strong Excel and Access skills. Business Object will be a plus
Proven problem solving skills and ability to improve existing processes
Records retention experience
Ability to utilize written and verbal communication skills within a fast paced professional business environment
Easily adapt to changes in direction and remain focused in environment of incomplete information
Build individual relationships both internally/externally and effectively work with individuals at all levels of an organization
Demonstrated ability to complete accurate work and maintain a high level of detail
Strong verbal and written communication skill
Demonstrated ability to prioritize workload and multi-task to ensure production timeframes are met
Active participation in professional associations
Experience using Record Management & Operating Systems like: Siebel, Workflow, Documentum, EKIP, Maxiwin
Paralegal experience

Cbps-operational Risk Analyst Resume Examples & Samples

Ability to multi-task and manage multiple requirements and initiatives
Ability to liaise and interface with all levels within the organization and across all functions
Team player and has customer/client-oriented focus

Operational Risk Analyst Tprm Resume Examples & Samples

Strong knowledge of policies, procedures, systems and flows across multiple businesses. This position will support Third Party Risk Management
Proven ability to make sound business decisions
Strong performance management abilities
Solid leadership skills and ability to direct and motivate staff and interact with others with integrity and ethics
Strong execution skills with a focus on clear, realistic action steps and timelines
Strong communication and diplomacy skills
Demonstrated ability for independent judgment and oversight
Strong process ownerships skills and accountability to manage the outcome and target dates
Solid PC skills, including Microsoft Office (Excel, PowerPoint, Visio and Word)
Strong analytical, problem solving and time management skills in order to filter, prioritize, and validate potentially complex and dynamic material from multiple sources
Ability to work effectively in the face of ambiguity, shifting priorities and multiple deadlines
Ability to think E2E (both tactically and strategically)

Operational Risk Analyst MSD Business Control Resume Examples & Samples

Focus on technology related projects to improve efficiencies
Implementation/enhancements to front end systems to comply with regulatory requirements and other external examiner/auditor recommendations etc
Work closely with other members of the team on Audits, MCA testing, Regulatory Requests
5+ years in a technology or business controls organization
5+ years of experience in Municipal Trade process, pricing, risk, settlement process and systems
3+ years in a project management lead
1+ year in a business control, compliance, operational risk or audit function
Project leadership spanning across multiple teams and work streams: Front Office, Risk, Finance, Business Control, Technology, Risk Technology, Compliance
Knowledge of various transaction structures including loans, bonds, ETF, derivatives and credit products
Strong analytic skills with ability to write programs for data analysis purposes
Experience with managing remediation projects specifically related to technology projects
Knowledge of fixed income products – securities, bonds, derivatives, exchanged traded instruments (Eurodollar Futures, ETFs)
Systems/database design and management including ticketing, order management, and multi-platform distribution
Business and Technology Project Management and Development
Lead team by partnering and collaborating with stakeholders to deliver results
Understand business control processes, MCA testing, and current regulatory environment including Dodd-Frank, Volcker, and transaction reporting
Understand regulatory differences between banks, broker dealers, and broker dealers functioning on a bank legal entity
Demonstrate good communication skills
Ability to work with, influence, partner and collaborate with others to achieve common goals
Microsoft Products (Outlook, Word, Excel, PowerPoint, Access)
Sales & Trading ticketing and processing systems
Product Processors feeding Books & Records

Senior Operational Risk Analyst Resume Examples & Samples

Degree and preferably with (or a preparedness to study for) a relevant professional qualification in risk management (e.g. IRM, ACII, CISI, ACA, ACII or PRMIA1)
Well-developed understanding of operational risk management in the Financial Services industry with plenty of experience
Good awareness of recent industry developments and trends in enterprise and operational risk management in general and framework aspects in particular

Operational Risk Analyst Resume Examples & Samples

4-5 years cross-function experience in operations, preferable markets operations
Business presentations to management, preferred
Appreciation of policies in general
Good inter-personal and negotiation skills
Able to interpret/apply policies to banking processes
Good communication skill - able to write in clear/concise language
Pro-active risk identification and solution orientation
Business/Accounting degree

Operational Risk Analyst Resume Examples & Samples

Support key Operational Risk related deliverables including the Managers Control Assessment (MCA), Fraud Risk Assessments and Scenario Analysis
Review and opine on new / updated policies and procedures and consult with MSS businesses and support functions to help ensure proper implementation
Support key control projects and processes, including NPAC, DSPP and Reg W
Provide support for ICAPS (control/issue) management
Support key control related attestations – including the quarterly statement of accountability, disclosure committee questionnaires, TRA Sanctions and Conflict Minerals processes
Manage and improve control metrics processes and reporting
Develop internal relationships and provide support for various Trading / Sales Desks and Security Services Businesses
Gain the trust and confidence of MSS businesses and provide strong control related support
Establish a rapport with Business Managers, Compliance, Legal, Internal Audit, Financial Control, Operations, Technology, Middle Office and Risk functions and leverage best practices
Develop a broad and detailed understanding of the organization’s landscape, culture and core risk and control functions
Understand the various markets, applicable regulations and key policies
Bachelor’s degree in Business Administration, Economics, Finance or Accounting
Prior Control, Audit or Operational Risk experience
Knowledge of Qlikview a plus
Strong understanding of key control processes, risks and controls, how to identify control gaps, and recommend areas for improvement
Understanding of Key Firm and ICG Policies impacting MSS
Strong Desktop/PC skills which include working knowledge of Excel and PowerPoint
The ability to manage projects, multi-task and prioritize to deliver results and provide value added service to the business

Operational Risk Analyst Resume Examples & Samples

3 years of third party or operational risk experience
Bachelor's degree in business, or related field
3 or more years of experience of quality control or quality assurance testing
Excellent communication, partnership and persuasion skills required
Ability to utilize sound logic and reasoning to conduct thorough and comprehensive testing and reach accurate conclusions
Strong Microsoft Product skills – Excel, Word and PowerPoint

Operational Risk Analyst Resume Examples & Samples

Manage incident system to ensure it continues to meet business requirements; functionality is adequate, updates rolled out
Manage BWise data integrity
Support and train business users in the use of BWise
Assist senior staff in presentations
Facilitate the business in the implementation of process and control improvements
Assist in production/development of reports to enable trend analysis, reporting & management of incidents
Provide Operational Risk Management support
Ideally some experience within Financial Services
University degree or equivalent or relevant work experience
Good communication skills at all levels

Operational Risk Analyst Resume Examples & Samples

Play a key role in the implementation of new Group ORM initiatives as they arise
Develop appropriate framework reports to meet internal and external governance requirements
Lead various high level assessment of Operational Risk and Business Risk, and the Operational and Business Risk scans, reported to Group
Develop and embed revised approach to Risk Self Assessments
Bring the end to end process to life to support Risk Management in the 1st line
Developing detailed test plans to assess the effectiveness of the relevant controls
Minimum of 5 years' experience working in a similar risk/audit related role
Working knowledge of process management and improvement within a control environment
Ability to foster communications between risk disciplines and regional lines of business
Strong MS Excel / MS Access skills

Senior Operational Risk Analyst Resume Examples & Samples

Partner with the enterprise corporate functions to ensure sound controls are implemented as part of new processes and projects, as well as business as usual enhancements. Reviews, analyzes, and makes recommendations to the design and implementation of the operational risk management framework/measurement methodologies, in coordination with BNP Paribas’ Group Risk Management – Operational Risk, as adapted to the U.S. retail banking environment
Provides leadership in the planning, development and implementation of operational risk frameworks/measurement methodologies, policies, standards and procedures
Analyzes and documents various processes and products, existing or new, by working with the units to identify key processes as described by the Operational Risk framework (process documentation, risk assessment, controls documentation and testing implementation)
Works with management and staff in areas of the organization affected by alterations in practices to ensure understanding and implementation of new operational risk policies and procedures
Accomplishes operational risk assignments within stipulated schedules
Banking products knowledge
Banking laws, regulations, accounting pronouncements, and SEC regulations
Trust and fiduciary activities
Business Environment and Internal Control Factors (BEICF)
Identify enhancements for program tools and support and improved reporting. Develops new tools, defines requirements, identifies data sources, analyzes data, and prepares reports as needed to effectively provide workable solutions or respond to requests for information from Senior/Executive Management, Regulators, and/or BNPP
Provides subject matter expertise related to program questions. Promotes operational risk awareness. Performs periodic ad-hoc reviews/testing to determine if program is operating as designed
Supports quality assurance sampling and secondary reviews as required
7 or more years combined Risk Management experience
Support the development of consolidated Risk Control Self Assessments (RCSAs) which conform to the Operational Risk Framework as defined by the Bank
Provides leadership in the planning, development & execution of Operational Risk policies, standards and measurement methodologies
Will often be included as part of a project team and will be expected to interact with the team on a regular basis
Must be able to work independently and proactively to take initiative to solve problems quickly
Strong skills with various data bases, automated tools and desktop products

Rohq-mbcs-operational Risk Analyst Resume Examples & Samples

Provide backup to Citi Markets Business Controls and Supervision in North America
Generate daily reports, analyze data and develop/maintain tracking metrics for management reporting and escalation
Oversee compliance with internal or regulatory initiatives
Review and reconcile various exception reports
Support control initiatives, audits and self-assessment testing for assigned businesses
Develop internal relationships and provide support for various Trading/Sales Desks
Experience in Controls and Operational Risk Management is an advantage
Knowledge in advanced financial products such as derivatives, credit default swaps, etc. is an advantage
Experience with databases, including design, developing queries, reports and macros in a dynamic environment

Rohq-mbcs-operational Risk Analyst Resume Examples & Samples

Support control initiatives, audits and self assessment testing for assigned businesses
Bachelor’s degree in Computer Science, Business Administration, Economics, Finance or Accounting
MBA and/or CPA is an advantage

Operational Risk Analyst Resume Examples & Samples

Develop in-depth knowledge of Consumer ORM framework requirements, policies, and procedures
Gain understanding of Retail Bank, Cards, and Mortgage businesses and support functions within Consumer Operations and Technology
Assists in the development and implementation of methodologies, as well as quantitative and qualitative effectiveness measures, to assess the effectiveness of Consumer ORM oversight execution
Drive appropriate development and update of Consumer ORM procedures
Support annual review of Key Operational Risks and Key Risk Indicators
Assist in the annual policy attestation process by Consumer Independent ORM and ensure a streamlined and efficient process
Support the aggregation of all risk monitoring indicators including Key Risk Indicators at a Global Consumer level
Support coordination and organization of ad-hoc deliverables
Maintain administrative tools (e.g. calendars, trackers, etc.) to monitor progress of deliverables and stated objectives ensuring effective communication of progress as needed
Promote continuous improvement to monitoring processes being used within the Oversight team to ensure consistent framework implementation
Assist in preparation of agenda, timeline, and deliverables for monthly and quarterly ORM reviews
Participate and assist in risk reviews/analysis to identify and mitigate potential risks before they materialize into operational losses
Assist in preparation of regular updates to regulators and senior governance forums including GCB Global BRCC, GCCF, CRO Regulatory updates, CBNA Risk Committee etc
Support ORM infrastructure development UAT activities as needed
College degree and 3+ years of work experience
Knowledge of financial markets
Knowledge of Consumer Retail products across geographies is a plus
Knowledge of regulatory and operating environment of Consumer Retail businesses is a plus
Prior experience in Risk and/or Control functions is a plus
Strong organization skills with the ability to handle multiple deliverables
Superior communication especially with various levels of management
Ability to function effectively in a matrixed organization
Ability to perform at a high level in a dynamic and constantly changing environment

Operational Risk Analyst Resume Examples & Samples

Provide operational risk support for the department
Support BCP and related initiatives as per the headquarters and work with relevant stakeholders on implementation
Support ORM activities related tp operation data collection and analysis requested by headquarters
Any ad-hoc projects with relation to operational risk and internal contrl
Relevant degree in business adminiatration, finance etc
At least 2 years of relevant working experience in Operational Risk Management/ Internal Control area of Banking industry

Temporary Operational Risk Analyst Resume Examples & Samples

Management of the control monitoring program for the Manager's Control Assessment process (MCA) for both the Citi Trust business and CPB Operations units); identifying and escalating actual/potential control breaks, trends and root causes through testing and/or ad hoc evaluations of business processes/controls and formulating, documenting and tracking Issues and CAPs as appropriate within the iCAP system
Bachelors Degree – preferably in disciplines such as law, accounting or finance
A strong Business Risk Management / Compliance / Legal/ Audit background is preferable (minimum of 5 years experience)
Strong understanding and appreciation of the local regulatory environment and of international compliance and risk management best practices and initiatives
Professional Qualifications/Certifications/Designations such as STEP, Compliance/AML Diploma, ACAMS or CPA would be beneficial
Experience in the management of staff would be considered an advantage
Excellent Analytical, problem solving and time management skills
Excellent interpersonal, communication (written & verbal) as well as leadership skills
Ability to work under pressure with tight deadlines and minimal guidance

Operational Risk Analyst, Team Lead Resume Examples & Samples

Subject matter expertise in AML, EDD and KYC regulatory requirements
Bi-lingual (Spanish preferred)
Minimum 1 year of Operational Leadership Experience including delivering in a high-volume, goal-based production/operations-based environment

Operational Risk Analyst Resume Examples & Samples

Preparing reports for Senior Management, Boards and regulators
Identifying, researching and reporting on internal and external incidents
Assisting the team in responding to requests and requirements from various stakeholders including regulators, auditors and Macquarie senior management
Supporting annual user access reviews across RMG Operational Risk systems
Helping the global team to implement the Operational Risk Management Framework at Macquarie

AML Operational Risk Analyst Team Lead Resume Examples & Samples

Minimum 5+ years of Financial Crimes, AML Investigations, High Risk Account Underwriting or Operational Risk experience
Exercises full leadership and supervisory responsibility while leading between 14-16 Analysts in an AML Operations department
Communicate and evaluate Teams expectations around Department strategies, roles and responsibilities
Provide guidance to Team and hire top talent
Recommend, create and facilitate implementation of new processes and procedures
Monitor Teams caseloads, productivity, quality, initiatives, and projects

Operational Risk Analyst Resume Examples & Samples

Exposure to control environment and processes via External Audit, Operational Risk or Operations experience. Broad knowledge and understanding of the financial services industry would be desirable
Ability to exercise initiative and be able to follow through on issues with minimal supervision
Independence of mind and ability to escalate issues where appropriate
The ability to make high level judgments and work closely with management
The ability to manage/ execute tasks within set timeframes
The ability to independently analyse processes/ issues and not accept at face value
The ability to write/ present clear and concise reports
The ability to identify gaps in controls and opportunities to improve risk framework
The ability to prioritise and manage multiple and competing deadlines

Operational Risk Analyst Resume Examples & Samples

Assist in conducting risk and control self assessments for EMEA
Assist in managing EMEA segment of annual SSAE 16 engagement
Assist in managing operational risk incident process including documentation and workflow administration
Assist with information security and business continuity planning projects
Assist in EMEA operational risk coverage in collaboration with the EMEA management, US team and firm operational risk team
Buy side experience in operational risk
SSAE 16 or other management control reporting
Experience working across global functions is desirable

Operational Risk Analyst Resume Examples & Samples

Management of Regulatory & Audit Reviews
Control Governance & MCA
Ensure adherence to Policy
Management of Operational Risk Events/Loss reviews
Ensure that identified Risks are being proactively documented and dimensioned via formal Issues/CAPs
Act as a shared owner of audits; issues are managed in a timely and appropriate manner. Ensure factual accuracy of issues and responses
Ensure appropriate validation of Issues/CAPs takes place before closure
Advise Ops team on all aspects of MCA governance. Continually review content of MCA to ensure key risks are included and tested
Recommend and establish Key Risk Indicators (KRI), continuously monitor against established thresholds
Drive metric reporting and own / contribute to the fulfilment of reporting, disclosure, and attestations requirements
Monitor weekly operational break reporting and work with the business on an ongoing basis to facilitate clearance of aged items
Ensure all relevant policies are understood and adhered to. Partner with Ops team to implement new policies, and ensure team is aware of changes in Policy, including identification of training as required
Create Policy interpretation documentation
Partner with Ops team to capture, track, learn from and minimize losses and near miss events. Identify event themes, share, and implement ‘lessons learned’ with Ops Management and document Corrective Action Plans (CAPs)
Develop and Conduct Thematic reviews across Ops teams
Strong leadership; effective written and verbal communication skills; able to influence others
Results oriented and tenacious; ability to challenge the status quo
Minimum of 3 years’ experience in identifying and/or implementing Operational Controls
Minimum of 3 years’ experience in Securities processing (Custody Operations experience preferred)
Audit experience a plus

AML Operational Risk Analyst Resume Examples & Samples

Regulatory and Sanction Screening Experience for Consumer/Business
Ability to work independently and use of judgment
CAMS/CFE certification preferred

Lead Operational Risk Analyst Resume Examples & Samples

Conduct monitoring and surveillance activities as directed by the Chief Operational Risk Officer and as directed by manager
Identify, monitor, and resolve exceptions related to applicable Operational Risk Systems (e.g., Event Collection, Governance Risk Compliance (GRC), etc.)
Assist with data analysis and scenario development to support the Operational Risk Scenario’s required for CCAR
Manage quality assurance activities related to enterprise Operational Risk processes (e.g., GRC)
Complete risk data analysis, manage standard reporting and develop customized operational risk trend reporting related to risks, controls, findings, etc. Distribute reporting to Operational Risk Team with insights and recommendations
Manages Event Collection Subject Matter Expert recorder activities
Manages the Regulatory Change Process for Operational Risk which includes evaluating the applicability of changes to regulations, laws, rules on applicable business units and operational risk processes within Key, conducting gap analysis and working with business units to create Management Self-Identified Findings as applicable and associated remediation plans to address findings
Works with LOBs to develop Process Flow Charts of core processes, identifying risks, controls and gaps requiring remediation. Responsible for ongoing maintenance and up keep of process flows, and associated heat maps identifying gaps, remediation plans and target SLAs
Escalates promptly to appropriate operational risk team member, senior management (LOB and/or Operational Risk) any material breaches of applicable laws, rules, policies, tolerances, appetite, standards, tolerances, SLAs, etc
Follow through with LOB management and/or appropriate operational risk personnel to ensure appropriate corrective action is taken to sufficiently address findings/issues to prevent ongoing systemic issues
Effectively and professionally interact with senior management, regulatory agency personnel, internal legal counsel, internal risk review personnel as well as other Operational risk peers
Effectively collaborate with the LOB and senior manager to identify suitable internal controls to ensure compliance with laws and regulations; identify gaps in internal control effectiveness
Timely escalate issues and exceptions to management in accordance with procedures and/or based on sound judgment
Create and update regulatory risk registry as necessary to reflect changes, impact and necessary actions
Continuously evaluate risks and controls within the compliance program and recommend revisions as needed
Keep abreast of new rules and regulations as well as current surveillance techniques
Assist with review of the line of business policies and procedures, provide guidance to ensure effectiveness, ensure procedures are aligned with Key’s Standard Operational Procedure Guidance
Manage development and update of Enterprise Operational Risk Procedures/Policies and program documentation
Maintain responsibility for Operational Risk KeyNet Homepage, K-Drive and SharePoint sites. Including access control management
Assist with internal and external audit, examination, regulatory inquiry and investigation requests for information. Also, assist in the evaluation of audit and examination findings, implementation of corrective action and needed responses
Attend various Compliance and line of business meetings; participate in LOB committees as appropriate
Assist with other asks as required to ensure team objectives are achieved, even where outside usual area of responsibility
1-3 years of compliance, operational risk, data analytics, audit, or industry-related experience
Proficient in Microsoft Office tools such as Excel, Access, and the proven ability to learn how to use other unique technologies
Candidate must possess the wherewithal and flexibility to undertake new functions/tasks as the Operational Risk and line of business evolves and grows
Proven ability to work in a team environment
Sound decision-making skills; able to make decisions independently
Solid written and communication skills
Sound understanding of operational risks
Understanding of internal control frameworks
Strong research skills coupled with strong problem solving/analytical skills and ability to effectively summarize findings
Organizational skills and attention to detail

Operational Risk Analyst Resume Examples & Samples

Identify and evaluate operational risks for specific product lines, based on the product and process
Ongoing understanding of the business to ensure all risks are appropriately captured, identified and updated by pro-active

Operational Risk Analyst Resume Samples

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