Operational Risk Analyst Resume Samples

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LB
L Beier
Leonie
Beier
34147 Pascale Parkways
New York
NY
+1 (555) 723 5051
34147 Pascale Parkways
New York
NY
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
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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15 Operational Risk Analyst resume templates

1

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
2

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
3

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
4

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
5

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
6

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
7

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
8

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)
9

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
10

Operational Risk Analyst Resume Examples & Samples

  • Internal Controls
  • Quality Assurance Reviews
  • High level product knowledge
11

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
12

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
13

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
14

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
15

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
16

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
17

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
18

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
19

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
20

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
21

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
22

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
23

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
24

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
25

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
26

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
27

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
28

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
29

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
30

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
31

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
32

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
33

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
34

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
35

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
36

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
37

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
38

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
39

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
40

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
41

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
42

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
43

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
44

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
45

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
46

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
47

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
48

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
49

Operational Risk Analyst Resume Examples & Samples

  • SPECIALISED SKILLS/EXPERIENCE
  • Management/Supervisory
  • Ability to handle pressure
  • Accountability and teamwork
  • Integrity
  • Learning
  • Accomplishment
50

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
51

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
52

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)
53

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
54

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
55

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)
56

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
57

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
58

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
59

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
60

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)
61

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
62

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
63

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
64

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
65

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
66

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
67

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
68

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
69

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
70

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
71

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
72

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
73

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
74

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
75

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
76

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
77

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
78

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
79

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
80

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
81

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
82

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-actively partnering with and building relationship with operations management
  • Independently and objectively assess the effectiveness of controls and determine the potential impact of any control failure to evaluate for materiality
  • Test key controls which have been identified for each product line and document results
  • Liaise with business and line control officers on any deficiencies or control gaps
  • Implement and execute Corrective Action Plan (CAP) for management of control issues
  • Minimum of 5 years in Financial Institution environment and product specific knowledge around products such as FED Intercompany Processing, P&S, International Settlements, Tri-Party, CRMS, MBS Allocations and Cash Management and experience in identifying and implementing Financial or Operational controls
  • Strong analytical skills both quantitative and qualitative
  • Excellent organizational skills, ability to multitask and adapt to change
  • Project management skills. - Excellent organizational skills, ability to multitask and adapt to change. - Strong MS office knowledge including Excel and Word
83

Senior Operational Risk Analyst Resume Examples & Samples

  • Provides leadership in the planning, development and implementation of operational risk frameworks/measurement methodologies, policies, standards and procedures specific to the needs of the business which are aligned with the Bank's Operational Risk Program
  • Analyzes and documents various processes and products, existing or new, by working with the business units to identify key processes as described by the Operational Risk framework (process documentation, risk assessment, controls documentation and testing implementation)
  • Support the design and implementation of operational risk governance model for the business.Performs necessary monitoring and oversight functions to ensure effective management and compliance with company-wide program requirements. Monitor to ensure key program requirements are being met through analysis of metrics and data. Escalates issues to appropriate levels within the organization
84

Business Management & Operational Risk Analyst Resume Examples & Samples

  • Cultivating and maintaining effective relationships with all areas of the business
  • Analysing and evaluating incidents; monitoring emerging issues and making recommendations for changes to policies or processes when necessary
  • Managing ongoing reporting requirements for the business, including market benchmarking and deal analysis
  • Supporting the COO with analysis, communications and strategic objectives
  • Participating and assisting in the co-ordination of the Operational Risk Self Assessment process
  • Assisting in execution of the Operational Risk Framework across the business
  • Providing support under guidance to offshore locations on Operational Risk matters
85

Senior Operational Risk Analyst Resume Examples & Samples

  • 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. A combination of education and experience may meet requirements
  • 5+ years’ previous experience including risk and control self-assessments and scenario analysis
  • Practical knowledge of compliance and compliance processes, and applicable techniques for implementation of regulatory, compliance and legal requirements and compliance processes
  • Demonstrated leadership to promote effective team dynamics, and accountability for timely deliverables
86

Senior Operational Risk Analyst Resume Examples & Samples

  • Maintain enterprise RCSA program to ensure compliance with Policy and Procedures
  • Coordinate, facilitate, document and analyze RCSA activities and results for assigned areas of responsibility
  • Support RCSA tool development and implementation, including business requirements, functional specifications and technical design, UAT, training and on-going system administrator responsibilities
  • Conduct analysis of business line risk profiles and KRIs for purposes of Enterprise reporting
  • Complete risk assignments as requested by manager
  • 3 years of relevant financial institutions experience with exposure to general risk management programs and practices
  • 3+ years of relevant financial institution experience with responsibilities related to Operational Risk Management programs and practices
87

Operational Risk Analyst Resume Examples & Samples

  • Leads the work of others and provides training in more advanced risk management techniques
  • Manages client relationships
  • Performs advanced data analysis in support of risk management project activities
  • Prepares risk mitigation plans for strengthening the effectiveness of controls in assigned business processes
  • Facilitates presentations and workshop sessions on process analysis, risk identification, assessment, control and mitigation
  • Supports the development and execution of key operational risk management activities, including: evaluation, reporting, and root-cause analysis of internal loss events; analysis of loss events that have occurred at other firms to evaluate internal preparedness if similar events were to occur at Raymond James; capture, evaluation, and reporting of key risks, mitigation strategies, and risk metrics across the enterprise; facilitation and evaluation of risk and control self-assessments (RCSAs) completed by core business lines
  • Advanced concepts, practices and procedures of risk management (including Operational Risk Management and Enterprise Risk Management)
  • Provide coaching, mentoring and technical training to others
  • Develop relationships with all levels of management
  • Maintain currency in risk management policies, procedures and methodologies
  • Bachelor’s Degree (B.A.) in Finance, Accounting, Business or related field with a minimum of five (5) years of risk management, internal control, audit, or information security experience
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