Operational Risk Management Resume Samples

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S Murphy

Sedrick

Murphy

27764 Lukas Stravenue

Chicago

+1 (555) 106 0127

27764 Lukas Stravenue

Chicago

Phone

p +1 (555) 106 0127

Experience Experience

Los Angeles, CA

Operational Risk Management

Los Angeles, CA

Toy, Watsica and Abshire

Los Angeles, CA

Operational Risk Management

Collaborating with other Operational Risk teams, representing RFDAR on selected working groups
Monitor timely reporting/escalating of risk events/significant incidents and perform action tracking to ensure timely issue resolution
Share best practices through coaching and mentoring others
Assist with developing aggregate risk reporting for senior management and conduct portfolio analysis
Enhance risk governance within Unit by assisting UORM and Team Head of ORM in driving the Unit’s operational risk committee or equivalent forum
Build key relationships with the various T&O departments, work in partnership in identifying and developing solutions to address key operational risk areas
Provide input for local Operational Risk strategy, ensuring that it is consistent with the Global OR Strategy

Detroit, MI

Manager, Operational Risk Management

Detroit, MI

Maggio-Stiedemann

Detroit, MI

Manager, Operational Risk Management

Working with Risk and business partners to address developing issues and existing control gaps in the business
Working with business partners to provide guidance in the design and implementation of Key Risk Indicators
Acting as risk ambassador and successfully increases operational risk awareness for business partners
Applying sound judgment in the evaluation of risks and controls. Effectively challenges adequacy of controls
Working with business partners to address developing issues and existing control gaps in the business
Analyzing and reporting operational risk events, analyzing root causes of control breakdowns, assisting the business in developing remediation plans
Provide limited support for privacy and/or fraud related events

present

Houston, TX

Director, Operational Risk Management

Houston, TX

Murazik-Prosacco

present

Houston, TX

Director, Operational Risk Management

present

Support the development of the organization's global operational risk management strategy
Support the operational risk management team that actively collaborates with all business heads to identify, manage and mitigate areas of operational risk that might arise from inadequate or failed internal processes, people and systems, or external events
Support the design & development of an industry leading "best in class" operational risk program
Ensure there is ongoing and adequate monitoring, testing and reporting of operational risk
Evaluate the effectiveness of the operational risk program to ensure that continuous improvement in organizational performance is promoted
Monitor the progress of open corrective actions & ensure that root causes are addressed through follow-up with testing & verification
Challenge the status quo by serving as an internal risk consultant to operating functions and business lines

Education Education

Bachelor’s Degree in Business

The George Washington University

Bachelor’s Degree in Business

Skills Skills

Strong attention to detail an ability to multitask
Ability and willingness to take on additional assignments above and beyond core project management duties
Database proficiency
Strong Risk Management and Control background
Excellent communication skills – verbal & written
Ability to shift through complexity and see issues clearly
3-5 years professional work experience, including 2 years relevant operational risk management experience with a major financial institution
Strong inter-personal skill
Analytical inquisitiveness and problem solving ability, and ability to ask insightful questions, break analytical challenges into workable components and draw meaningful conclusions
Strong project management and organization skills

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Operational Risk Management BCA Resume Examples & Samples

Experience with MCA, Citi Policies, and the identification of risks and associated controls
Deep understanding of operations in a financial institution -- Customer Contact processes, work flows and hand offs
Audit or control experience preferred
Successful experience in a fast-paced environment
Must understand operational risk and identify gaps proactively
Must be able to multi task and support/manage multiple projects simultaneously
Strong Interpersonal skills and ability to work well in a team environment collaborating across diverse groups
Ability to present a convincing case for ideas and initiatives through listening and articulating a convincing point of view
Proactively provides support to the Business and ensures that operational areas are in compliance with corporate policies, business procedures, regulatory and legal standards. Partners with the businesses by recommending and developing solutions when not in compliance
Analyzes processes and identifies risks. Ensures appropriate controls are in place. Identifies control issues and increased risks in the Business, performs root cause analysis. Drives and validates corrective action plans
Responsible for preparing and validating audit deliverables. Interfaces with auditors from internal (IA, Cards Compliance) and external (OCC, KPMG, CFPB, etc.) audit entities
Partners with other lines of business to ensure consistency and to leverage best practices
Support the integration of Living Client Excellence; identifies changes to improve the client experience
Supports several business units/functions by providing day-to-day support and acting as a consultant to the business. Requires broad business knowledge serving as subject matter expert for processes and accuracy of risk and control documentation
NOTE** The information listed within this description summary is intended to indicate the general nature and level of work. It is not designed to contain or be interpreted as a comprehensive account of all the responsibilities, and/or minimum qualifications required of an employee assigned to this position
Degree: Bachelor's degree preferred or equivalent experience
Minimum of 3-5 years’ experience in Operations or similar department within a financial services company
Operational Risk Management, Control, or Audit background or knowledge preferred
Solutions-focused, able to sort through information and develop concise and clear solutions quickly
Detail-oriented with a logical and methodological approach to problem solving
Excellent research, writing and verbal skills
Ability to multi-task and support/manage multiple projects simultaneously
Excellent analytical thinking, problem solving, and time management skills
Interpersonal skills and ability to work well in a team environment collaborating across diverse groups
Ability to present a case for ideas and initiatives through listening and articulating a convincing point of view
Superior execution skills with a focus on clear, realistic action steps and timeliness
Flexible and easily adapts to change
Strong matrix management skills, ability to manage upward in the organization
Excellent facilitation/communication skills, to influence and negotiate with others to produce desired results

Operational Risk Management Utility Resume Examples & Samples

Ensure new or modified products (projects or process changes) are fully reviewed with key risks and mitigants appropriately identified; ensure reviewed through the appropriate governance routines and launched with adequate controls which can be monitored and reported
Lead the execution of key enterprise operational risk policies and standard– ORM, Records Management, Supplier Risk Management, Business Continuity, ensuring self-identified issues are communicated and resolved timely
Partner with Information Security to understand Cyber Threats and SIRT incidents to the business and partner with process owners to resolve identified gaps
Provide support to the Senior Operational Risk Manager so a clear and comprehensive view of “Health of Controls” is created and socialized with the business process owners for weekly, monthly, and quarterly Control updates to the executive management team
Responsible for the back testing of Business Issues and Operational losses and events
Escalate and resolve Key Risk and Control Indicator breaches with the process owner
Ad hoc Control related requests as needed
Demonstrated ability to provide effective challenge on new initiatives and changing strategies to senior management. This individual will participate, present and lead in business governance decisioning forums and influence critical business decisions
Considers broad implications of decisions on products, services and business processes; for customers/clients and P&L
Can clearly articulate the process of supporting a business unit’s function, controls, business priorities, impact on financial reporting, operations, issues and risks associated with various processes and platforms; can quickly identify gaps, effectively communicate and proactively develop solutions
10+ years of direct, relevant experience in financial services, with enhanced knowledge of the business and channels to be supported
5+ years managing complex, multifaceted business area, P&L, operations or transformation
Strong credible knowledge of the (specify consumer business) business and applicable rules, regulations and processes
Prior experience in senior role or a control organization, highly desirable,
Previous with experience developing business controls and control monitoring. Business process re-engineering and/or analytics highly desired. Bachelor's degree

Manager, Operational Risk Management Resume Examples & Samples

University degree, or equivalent. A financial designation is preferred
Strong knowledge and/or background in credit processes and policies, credit risk assessment, analysis and adjudication and/or credit portfolio management
5 + years in a combination of knowledge, skill and background in leading operational risk practices, audit or compliance functions, and/or one or more groups in GRM
Maturity level and skill/judgment to be able to deal effectively with senior management within GRM
Strong presentation, interpersonal and communication (verbal and written) skills
Good impact and influence skills
Excellent knowledge of GRM’s processes and organization
Good PC skills (e.g. Microsoft Office)

Business Operational Risk Management Resume Examples & Samples

Performs research and analysis to promote process improvement
Design approaches to create simple, CARDS/Retail Bank NAM common, digitally-enabled Reporting processes
Define and document internal procedures
Share best practices and promote an environment of continuous improvements
Identify opportunities and execute plans to enhance individual and team performance, partnering with the Business
Influence strategic Reporting functional decisions through advice, counsel or provided services that have direct impact on the business
Must have hands on expertise in developing, managing, and automating manual reporting components
Development of technical solutions via Visual Basics, Access, Share Point, MS Suite
Ability to quantify efficiency gained through automation efforts
May be responsible for the development and maintenance and roll-out of tools to be utilized by the business (via Share Point, Access)
Must have capability to clearly communicate analyses
5+ years related work experience required, with significant academic experience / contribution
Strong analytical skills in conducting sophisticate analysis
Share Point Designer / Development Proficiency
Understanding and expertise in report automation and table design / maintenance
Understanding in the defining business requirements with key stakeholders to implement solutions
Exposure to project/process management
Flexibility in approach and thought process

Manager, Operational Risk Management Resume Examples & Samples

The Manager, Risk Management is a newly created position that will play a key role in ensuring the success of the division’s various cross functional risk management processes. The role provides a great opportunity to develop in-depth knowledge of the cable industry from the distribution side of the business. Additionally, the role will be responsible for facilitating and maintaining certain Controllership functions which will provide exposure to Senior Management at the division as well as counterparts within other NBCU divisions
Supporting the division’s contractual risk management processes by (1) providing comprehensive, timely status reports on overall process performance and open items; making recommendations and helping to implement process improvements; (2) working cross functionally to coordinate calendars, meetings, working sessions, etc. across key stakeholders; (3) maintaining a comprehensive key owners/ contacts listing; and, (4) assisting with delivering training and tracking participation (e.g. new hires, role changes, annual refreshers)
Managing third party audit process requirements, including partnering with
Outstanding organizational and follow up skills; ability to prioritize and meet
Excellent team player
Outstanding references
Prior experience in Controllership, project management, and/or continuous
Industry experience in Media/ Entertainment

Senior Mortgage Manager Operational Risk Management Resume Examples & Samples

This role can be used across multiple business lines
Periodic travel is required - 20% or less on an annual basis
Role interfaces with operational risk management and with assigned business unit management
Minimum of eight (8) years proven and progressive financial services operations, internal audit, compliance and/or legal management experience, or equivalent
Minimum of a Bachelor’s degree in business, related field or equivalent experience
The expert ability to identify risks, analyze risks and recommend mitigating controls
Well-developed managerial, communications, negotiation, analytical, organizational, project management and strategic and/or operational planning skills
The ability to function effectively with limited supervision
Excellent verbal, written and interpersonal skills
The ability to lead multiple projects at one time
Broad scope of knowledge of financial services business including products, operations, systems and organization

Senior Manager BU Operational Risk Management Resume Examples & Samples

This role can be used across multiple business lines
The expert ability to identify risks, analyze risks and recommend mitigating controls
Excellent verbal, written and interpersonal skills
The ability to lead multiple projects at one time
Broad scope of knowledge of financial services business including products, operations, systems and organization

Head of Operational Risk Management Resume Examples & Samples

Significant experience working in investment banking or markets related environment and in a senior regional operational risk management role
Extensive knowledge and experience of ORM framework development including practical implementation
Proven team management experience with highly developed analytical, numerical and organizational skills
Excellent knowledge of the key processes and controls within a market's front to back environment including support areas
Strong interpersonal, oral and written communication and influencing skills with confidence to deal with senior staff to sell the benefits of or management and challenge their operating environment

AAM Operational Risk Management Internship Resume Examples & Samples

Be accountable for assigned duties and tasks by maintaining status of job assignments
Support management monitoring of controls
Conduct reconciliation testing and training
Establish standards and organize information on internal team SharePoint site
Other duties as assigned based on departmental needs
Applicants should have at least 2 years of college experience; Accounting, Finance, or other business related majors preferred
Be willing and able to take on new opportunities as they arise
Demonstrate strong organizational and time management skills
Proficient in Excel and Word

Manager, Operational Risk Management Resume Examples & Samples

Support the implementation of the Enterprise Operational Risk Management Framework including program strategy, standards, and tools based on Basel/Industry Practices in order to ensure effective processes to identify, measure, manage, monitor and report on Operational Risks
(for CSA roles only): Support the development and implementation and ongoing execution of a CSA governance program including program strategy, standards and tools to support achievement of 2nd Line of Defense responsibilities under the Operational Risk Management Framework
Act in an independent oversight capacity, monitoring operational risk management and mitigation, and regulatory compliance adherence in the area of expertise
Investigate and propose to the Sr. Manager, Risk Management courses of action for the LoB risk governance systems to ensure ongoing improvement of their governance programs and practices in response to identified risks and/or gaps in the system
Integrate appropriate information obtained from a variety of internal and external sources (e.g., Corporate Audit, Corporate Compliance, Shareholder Auditors, Corporate Support Areas [CSA], regulatory reports and governance frameworks), overseeing maintenance of risk within acceptable levels; analyze and produce timely reports for management, senior management and key stakeholders
Facilitate attestation processes and consolidate reporting to meet deadlines
Advise and counsel business unit management and senior management on risk reporting and risk strategies, exposures, programs and plans
Develop and document 2nd line-processes and controls in order to minimize loss/ risk, ensure all regulatory requirements are met, and safeguard the assets of the Bank
Conduct risk assessment and validation of new processes and process improvements
Represent LOB interests and risk status in corporate forums, as assigned, and influence Corporate policy related to area(s) of expertise; represent and review Corporate policy on behalf of ORM, consolidating responses and providing feedback and advice
Ensure strict confidentiality is maintained for both customer and Bank information to protect the customer and the Bank and to ensure compliance with Bank P&Ps
Follow security and safeguarding procedures and apply appropriate due diligence in accordance with Bank policy for the prevention of loss due to such things as fraud or defalcation
Manage risk and minimize losses through monitoring and controlling various reports and taking appropriate action
Monitor, analyze, interpret and report on impacts of deficiencies related to operational risk programs and requirements and overall effectiveness of controls; recommend mitigating solutions and actions
Work with Technology Governance and Reporting group to ensure alignment of reports and metrics
Identify, create, distribute and enable the adoption of risk knowledge (e.g., regulation, best practices, case studies, risk events, professional associations and consultant practices used) to facilitate a high degree of risk awareness that drives improved performance and knowledge transfer/ exchange, and is a key component of a risk governance framework
Assist in the development and maintenance of operational risk programs to ensure that new initiatives and and/or significant changes to business conduct are governed in accordance with the Bank’s Initiative Assessment and Approval Process (IAAP)
Represent area of expertise and the business unit on projects and initiatives to provide context, information and analysis on proposed changes. Initiatives may include the development and implementation of new/ revised products, new systems or enhancements, new/ revised processes in support of internal efficiencies and industry regulatory changes
Monitor and analyze opportunities for risk management improvement; recommend solutions
Provide coaching and/or training sessions to business unit staff and managers in area(s) of expertise, and provide feedback on gaps and opportunities
Build and maintain relationships internally within ORM and collaborate with other industry contacts (internal and external), regulatory officials and external consultants for the purpose of enhancing business effectiveness within the scope of accountability
Align individual performance goals to team and organizational goals,
Demonstrate behaviours that are consistent with “Our Way” model and aligned with BMO values
3 to 5 years experience working with financial products in the front line is preferred
Strong planning skills (re finance, resource, strategy, business)
Advanced influencing skills

Director, Operational Risk Management Resume Examples & Samples

Support the development of the organization's global operational risk management strategy
Support the operational risk management team that actively collaborates with all business heads to identify, manage and mitigate areas of operational risk that might arise from inadequate or failed internal processes, people and systems, or external events
Support the design & development of an industry leading "best in class" operational risk program
Ensure there is ongoing and adequate monitoring, testing and reporting of operational risk
Evaluate the effectiveness of the operational risk program to ensure that continuous improvement in organizational performance is promoted
Monitor the progress of open corrective actions & ensure that root causes are addressed through follow-up with testing & verification
Embed an operational risk culture to promote transparency and accountability for inherent risk and controls
Challenge the status quo by serving as an internal risk consultant to operating functions and business lines
Establish & maintain Project Plans to meet operational risk management initiatives; effectively communicate status with stakeholders
Monitor operational, corporate and regulatorylegal developments, assess impacts & provide oversight to ensure they are effectively communicated to the LOB and appropriate actions are taken

VP Grc Operational Risk Management Resume Examples & Samples

Partner with colleagues across LPL to help drive a culture of risk awareness and lead risk discussions. Develop positive working relationships across the enterprise to maintain an open environment for collaboration, risk identification, and remediation
Lead, advise and report on both strategic and tactical plans for ORM strategies, policies, and practices especially in the areas of performance and risk indicators, internal and external loss reporting, and risk incident reporting and remediation
Report ORM key performance indicators and other department metrics accountability to Chief Risk Officer, management team, and company's executive leadership. Lead efforts to detect unexplained trends, spikes, or drops
Direct and motivate staff; foster an environment that encourages associates to develop their professional capabilities and supports their career objectives
8+ years of strong general management experience with proven ability to develop engaged high performing teams
10+ years business experience, preferably in the Financial Services or Broker/Dealer industries.in several disciplines (Operational Risk Management, B/D operations, internal audit, or other internal control functions)
C-Suite level presentation experience required. Must be comfortable leading and presenting in front of all levels of management
Must evidence the business acumen and organizational agility to manage and lead effectively in a dynamic "change is the norm" environment
Successful candidates will possess superior consultative and influencing skills, superior verbal/written communication skills, strong analytical and problem solving skills, project management skills
Proven management and leadership skills, coaching and mentoring development teams
Ability to forge solid relationships with senior management team; exemplary collaboration, interpersonal, and presentation skills. Critical for enabling a strong mutual understanding of risks and opportunities, and achieving close alignment on business needs, direction, and risk appetite
Must be extremely organized, self-motivated, and capable of effectively responding to a dynamically changing work environment and to positively influence business outcomes
Highly analytical and detail-oriented including ability to aggregate, analyze and interpret control environment related data
Must have a professional demeanor and the ability to maintain confidentiality

Manager, Operational Risk Management Resume Examples & Samples

Provides guidance and assistance to Corporate Functions in managing operational risks in accordance with the Companys ORM framework. This includes ensuring that operational risks are properly identified, assessed, monitored, controlled and reported. For example
Applies sound judgment in the evaluation or risks and controls. Effectively challenges adequacy of controls
Facilitates insightful conversations during Risk and Control Self Assessments (RCSAs) to ensure appropriate consideration and evaluation of risk topics
Performs effective root cause analysis to identify control gaps and weaknesses and recommend appropriate corrective course of action
Promotes an effective risk management culture in the Corporate Functions by proactively identifying areas of operational risk across processes, including areas such as Sarbanes Oxley, information protection, vendor governance, model risk and in some cases, technology risk management
Acts as risk ambassador and successfully increases operational risk awareness for middle management business partners
Highly motivated, energetic and positive individual who is able to develop positive working relationships in a cross functional environment and achieve results by effectively collaborating with a diverse team
Self starter with the ability to work independently to bring assignments to completion with minimal guidance from supervisor
Superior conceptual thinking skills with adeptness to navigate through ambiguous and/or complex issues
Strong organizational and time management skills, including the ability to effectively execute on multiple projects simultaneously
Excellent oral and written communication skills with the ability to facilitate group discussions
Familiarity with the concepts of Basel II, Sarbanes Oxley and COSO

Manager, Operational Risk Management Resume Examples & Samples

Identify areas of operational risk and control mitigation across multiple processes
Assist in the coordination of risk management audit related responsibilities (Sarbanes-Oxley, Model Audit Rule, Federal Reserve Regulatory Reviews, etc.) for the Retirement business
Compliance with Corporate Operational Risk Management framework and reporting
Track and coordinate issues with other control areas related to Sarbanes-Oxley compliance, Out of Period Adjustments, etc
Work with the business to identify, assess, monitor, and report on the adequacy of operational risk and controls through the Risk and Control Self Assessment (RCSA) process
Ability to collaborate with both business and risk and control partners in the execution of his/her duties
Provide limited support for privacy and/or fraud related events
Bachelor's degree in related fields or equivalent work experience
Minimum of 4-6 years of relevant risk and control experience (operational risk management, auditing (internal or public accounting))
Retirement industry experience (Investment Management, Defined Contribution, Defined Benefit) preferred
Working knowledge of Risk Management frameworks such as COSO or Basel preferred
Ability to apply broad business knowledge and practical experience to understanding and evaluating operational risks and controls
Excellent overall communication skills and the ability to interact and work effectively across multiple businesses and functional areas with individuals from various organizational levels
Highly motivated, energetic and positive individual who is able to develop positive working relationships, demonstrate strong leadership skills, partner effectively within the team and demonstrate the ability to work independently on a variety of assignments
Ability to quickly understand new concepts and assess the implications to the business
Inquisitive nature and ability to seek out information
Demonstrates strong conceptual thinking and analytical skills
Working knowledge of MS Office, including Word, Excel and PowerPoint

Operational Risk Management Country Head Bahrain Resume Examples & Samples

Execute ORM’s multiple activities in country and to support MENA Cluster management
Closely work with CCO, Business, Legal, Compliance and O&T partners to ensure that the local requirements (if any) relating to Operational Risk management are well understood and embedded in the established process. Support efforts to enhance the ongoing sustainability of controls through active two-way engagement with the business
Identify emerging risks and anticipate the most significant operational risks to business activities and work with the business to determine appropriate mitigating factors to those risks
Conduct Infrastructure Risk Reviews/Spot Checks to assess control environments, identify vulnerabilities, develop solutions and oversee implementation of enhancements
Coordinate Country BRCC (Business Risk, Compliance, and Control Committee) as per governance policy guidelines
Support the business on the enhancements in MCA as a result of changes in the procedures. Support ORM Cluster Head and ORM Regional Management in conducting MCA Risk Set Challenge and MCA Quarterly Rating Validation reviews. Any weakness identified should be addressed through corrective action plan (CAP)
Coordinate the implementation and review of Operational Risk Indicators (ORIs) across all businesses and functions as per the regional guidelines
Work closely with Business/O&T/Functional partners during CAP finalization and tracking of corrective actions. Ensure compliance with Regional and Global guidelines on CAP tracking
Work with the Business and Functional partners to improve data quality in CitiRisk – MCA, iCAPs, EDCS
Analyze operational loss data (typically losses, metrics or assessment results) to identify vulnerabilities, develop solutions and oversee implementation of enhancements
Coordinate with the cluster / region in providing information on control environment and specific country insights as required. Assist in implementation of operational risk initiatives initiated at region and cluster level
Monitor changes in the environment, in Citi’s strategy and in our operational and technology capabilities proactively and oversee appropriate modifications to the control environment that arise from those changes
Strong familiarity with consumer, corporate and investment banking
Experience in Audit, Risk Management, Compliance, controls or other support functions aimed at promoting safety and soundness within the financial system would be beneficial
Strong interpersonal skills, including the ability to sway opinion and negotiate successfully at a senior level
Proven ability to manage a team of high-quality individuals

Manager, Operational Risk Management Resume Examples & Samples

Assess, aggregate, monitor, and help manage and otherwise address identified risks effectively; this includes assessing the TDI’s capacity to absorb risk
Evaluate the internal and external risk environment on an on-going basis in order to identify and assess potential risks as early as possible. This may include looking at risks from different perspective, such as by territory or by line of business
Document and report material adverse changes affecting the insurer’s risk management system to the Board of Directors to help ensure that the framework is maintained and improved
Constructively challenging TDI’s responses to material failures of the internal control framework
Ensure that the suite of Operational Risk policies appropriately cover the risks faced by TDIRM with no significant gaps
Conduct regular assessments of the risk management function and the risk management system, and implement or monitor the implementation of any needed improvements
Participate in working groups as required, representing TD Insurance, or assisting with the organization of TD Insurance working group meetings as required
Manage relationships as they pertain to initiatives assigned and deal with individuals at all levels of the organization
Leverage appropriate input/working committee members / subject matter experts from across TDBG
3-5 years' experience in Operational Risk Management
Knowledge of the principles of risk management and experience of applying those in a business environment
Demonstrated ability in project management
Participation in successful implementation of change would be an asset
An understanding of the business environment across TD Insurance
Excellent communication, especially written, and strong interpersonal skills
Broad organizational awareness and sensitivity - strong ability to manage productive relationships with business partners and stakeholders
Ability to work independently and the commitment to ensure deliverables are completed and deadlines met
Ability to execute on non-routine ad-hoc requests
High degree of personal initiative with strong attention to detail
Proficient in Microsoft Office, especially PowerPoint and Excel
Unfazed by the requirement to work on multiple tasks at the same time
Good understanding of concepts of statistics, financial and risk modeling

Assistant Director Operational Risk Management Resume Examples & Samples

Establish ERM framework customized to Transamerica Asset Management while leveraging AEGON risk framework guidance and principles
Ensure core components of the ERM framework include Risk Control Self-Assessments, Risk Event Reporting, Key Risk Indicators and Scenario Analysis
Implement governance structure to support ERM framework
Participate and provide key inputs to the risk governance committees
Champion risk management as an organizational priority
Create, communicate and facilitate implementation of risk management policies
Provide tools, techniques, training, and professional guidance to assist in identifying, analyzing and responding to risks
Monitor management of key risks, including at the investment portfolio level, and provide assurance on the risk management processes
Prepare and disseminate quarterly risk reporting package

Operational Risk Management Resume Examples & Samples

3-5 years professional work experience, including 2 years relevant operational risk management experience with a major financial institution
Capital markets experience is required including risk management exposure to business lines and products in Equities, Fixed Income, Investment Banking and Asset Management
Will be expected to handle working relationships related to operational risk with business line management and other support and control areas
Candidate will need to collaborate with ORM colleagues in the other regions to achieve consistent global practices and methodologies

Director, Operational Risk Management Resume Examples & Samples

Drive the processes for ORM semiannual and monthly reporting cycles; including Vendor Financial Health tracking and reporting. Attend BU meetings as needed
Compile and analyze enterprise-wide operational / vendor risk information for analysis (requires information gather from Archer and other systems). Provide support to leadership in control evaluations
Maintain action item and incident logs. Manage and maintain the integrity of ORM data
Provide support for liaison and Risk Leader meetings as well as external risk communications
Process engineering experience
Demonstrated data analysis skills
Solid understanding of regulatory requirements of the managing of operational risk
Understanding of Operations-specific regulations
Six Sigma or other process management methodology
Experience in implementing an operational risk

Operational Risk Management AVP Resume Examples & Samples

Support ORM Director in Japan in advising key business partners and senior management
Support adherence to the regional control infrastructure and escalate any risk gaps to senior management
Help manager develop the Risk Workshop process in conjunction with country and regional management
Provide input for local Operational Risk strategy, ensuring that it is consistent with the Global OR Strategy
Act as local point of contact for regulators for all OR matters, building strong and transparent relationships
Japanese language skills

Head of Operational Risk Management Resume Examples & Samples

Build and Lead the ORM and Product Governance (NPA) team advising key business partners and senior management
Manage the regional control infrastructure and escalate risk gaps to senior management
Develop the Risk Workshop process in conjunction with country and regional management
Build strong relationships with local management and regional operational risk partners
Design and implement local Operational Strategy, ensuring that it is consistent with the Global OR Strategy
Implement the Operational Risk Management framework and ensure robust governance structures
Strong Risk Management and Control background
Broad understanding of banking products
Excellent management and team building skills
Experience of managing Operational Risks

Asia Pacific Operational Risk Management, VP Resume Examples & Samples

Promote awareness of operational risk and risk management best practices
Analysis and reporting of Firm-level risk themes, risk levels and focus action items
Project based involvement on risk management initiatives
Execution skills. Ability to manage process of embedding the ORD framework in the business areas or functions or region
Analytical thinking. Experience in risk management functions, or in performing risk assessments

Manager, Operational Risk Management Resume Examples & Samples

Manage all reporting needs associated with the deployment of new ORM processes for the Corporate Functions (including for example KRI reporting, RCSA results, and risk events)
Monitor open issues and support Risk Management teams in tracking and reporting status in accordance with ORM Issues Management SOP
Maintain project plans for ORM Framework implementation and project manage deliverables
Produce status reports and analysis of the project plans for senior management
Work with key contacts in the Corporate Functions to develop project plans for future phases of the ORM Framework Implementation
Manage other projects related to Operational Risk Management as required; coordinate and lead meetings, provide status reporting, etc
Perform research and analysis on various ad hoc topics
Provide administrative support related to the upkeep of documentation related to the ORM Framework project plans, ORM Policies, etc
Detail oriented with ability to manage multiple priorities
Ability to manage projects, gather data, analyze and report data efficiently
Ability to effectively communicate with senior leaders
Team player with the ability to work independently
Clear and effective writing style
Proficiency with Microsoft Office applications (particularly Word and Excel)
4 to 6 years business related experience

Director, Operational Risk Management Resume Examples & Samples

Providing Operational Risk support and advice to Actuarial, Finance, Claims, and Underwriting business partners, including conducting risk assessments of major business initiatives and ensuring appropriate controls are implemented, including controls related to Sarbanes Oxley
Implementing aspects of the Operational Risk Management (ORM) Framework, including facilitating Risk and Control Self Assessments with functional personnel, documenting key risks and controls, developing action plans and providing effective challenge to the adequacy of controls
Identifying, researching, evaluating, and/or resolution of risk issues impacting the business, including conducting control reviews or gap analyses for existing processes, as needed
Analyzing and reporting operational risk events, identifying root causes of control breakdowns, developing remediation plans, performing scenario analysis reviews
Identifying and ensuring key risk indicators are developed and reported appropriately
Partnering with the management and leadership in one part of the organization as a risk advisor for developing issues, new projects, and existing control gaps in the business
Liaison between the Business and Internal Audit for engagements, and tracking the resulting issues and action plans until effective closure
Reviewing and completing the analysis of processes for compliance with regulatory requirements, such as Privacy and Sarbanes Oxley
Promoting of risk awareness and accountability throughout Group Insurance to develop intelligent risk-taking skills
Minimum 10 years broad, relevant business experience in Risk Management and/or Financial Services either in the industry or as a management consultant with a proven track record influencing processes and controls
Strong analytical skills including the ability to think critically and logically; creative problem solving and excellent decision-making skills
Strong organizational skills including the ability to operate effectively from the conceptual stage through to successful implementation while working on multiple projects simultaneously. Project management skills a plus
The ability to work effectively through a matrix organization utilizing strong influence skills coupled with technical risk management expertise resulting in strong and productive working relationships with colleagues in the business/function and within Risk Management to achieve objectives. Willingness to face difficult situations head on
Excellent oral and written communication skills; strong facilitator of group discussions
Excellent listening and communication skills to effectively interface with senior leaders and facilitate group discussions
Ability to demonstrate a high degree of initiative, curiosity and an eagerness to learn new processes and disciplines. Resourcefulness, good judgment, persistence and follow-through
The interest and ability to assume broader leadership responsibilities as part of a growing, global corporation
Competence with Microsoft Excel, Word and PowerPoint
Knowledge of GAAP reporting and statutory reporting, as well as Sarbanes Oxley and Model Audit Rule compliance requirements preferred
A Bachelor's degree is required, preferably in a business major, and an MBA is a plus. Relevant professional certifications (e.g., CPA, CFA, etc.) are also a plus

Business Operational Risk Management Resume Examples & Samples

Bachelor's Degree in accounting, finance, or related discipline. CPA, CIA, CISA, or similar designation preferred
Experience in the asset management industry preferred
Candidate should have a minimum of 3-5 years of experience in public accounting or internal auditing, operational risk management, and/or public accounting covering financial services clients
Candidate must possess strong oral/written communication skills, be able to interact with all levels of personnel, be self-motivated, have excellent organizational and time-management skills, and must be flexible and reliable
The Senior Analyst must have strong research, analysis, and problem-solving abilities

Operational Risk Management Resume Examples & Samples

Review and report on compliance processes in all areas of the firm across Australia, New Zealand, PNG and Fiji
Implement process improvement plans
Provide guidance and support to compliance process owners
Oversee the Firm’s membership obligations to comply with limitation of liability schemes under professional standards legislation
Provide support to the ERM program, which includes monitoring of identified enterprise risks, tracking implementation of planned treatments with risk owners and reporting on progress of risk treatments
Work closely with our Project Managers to plan and deliver RM projects
Deliver RM presentations
Work closely with other RM and General Counsel Team members
Risk Management, ERM, Internal Audit or Compliance experience
Minimum of 5 years’ experience in a related role
The ability to manage projects independently
Well-developed analytical skills with the ability to formulate solutions
Excellent verbal/written communication skills and ability to present complex ideas to senior stakeholders
The ability to develop effective relationships with stakeholders throughout the firm
Problem solving capability with skills to apply rules to different sets of facts
Experience in a professional services firm would be an advantage

Head of Operational Risk Management, Pbwm Resume Examples & Samples

Head and drive the ORM PB OpRisk function in the Asia-Pacific region, out of Singapore or Hong Kong
Independently assess whether governance, internal controls and business activities commensurate with operational risk appetite set by the board and PB Top Management
Provide Operational Risk transparency on the PB business portfolio in the region via engagement with key stakeholders and escalation of issues to regional business partners and relevant bank bodies; propose adequate risk mitigating measures to close gaps
Participate in the most senior risk management committees for the region
Assist, challenge & quality assure all PB Risk & Control Self Assessments
Review and sign-off on all new PB business initiatives in the Asia-Pacific region from an operational risk per-spective
Foster strong collaboration with your ORM PB OpRisk peers in charge of the other regions

Mgr, Operational Risk Management Resume Examples & Samples

Lead a team of operational risk professionals who work directly with the lines of business (LOBs) to identify risks, develop assessments, provide input over controls and testing, advise on and monitor remediation activities and create reporting
Responsible for primary management of Operational Risk (and in Compliance Risk for some business units) in setting strategic direction and implementing operational and compliance policies for business divisions within Key
Responsible for assisting with the ongoing development and implementation of the Major Line of Business (LOB) Operational Risk teams strategic plan to accomplish its Annual Operational Risk objectives, to include among others: the development and implementation of Operational risk policies and procedures; assessment, monitoring and testing; establishment of line of business accountability and escalation and reporting processes
Responsible for ongoing development and implementation of operational risk management topics, including such things as being the subject matter expert on operational risk activities associated with risks, controls, testing, remediation and reporting
Provide direction and deliver training to line of business personnel, Risk Management staff and others on regulatory matters, compliance policies and procedures, operational risk best practices and other industry best practices
Monitor and assess new or amended legal and regulatory requirements as they relate to the Enterprise Commercial Payments businesses both domestically and internationally (where applicable). Accountable for ensuring that policies & procedures and associated Risk Management programs are consistent with current applicable rules, regulations and laws
Ensure the ongoing development and enhancement of risk assessments, testing, monitoring and associated plans
Responsible for managing and mitigating compliance, operational, legal, regulatory, and reputation risks associated with the handling of issues for each of the areas of the incumbents responsibilities to also include material, nonpublic information, client confidential information, and potential conflicts of interest
Provide authoritative and consultative advice and support to management and employees (client management) utilizing independence yet providing pro-business solutions. Interact with more senior level clients within the organization
Analyze and provide feedback around risks associated with the offering of new and/or enhanced products, services, processes, business initiatives and outsourced third party activities
Responsible for proactively anticipating and responding to changes in regulations, rules and/or laws; assessing the impact of any change to the Enterprise Commercial Payments business areas and assisting them in responding to such changes
Accountable for ensuring that policies and procedures and associated compliance and operational risk programs are consistent with current applicable banking and securities rules, regulations, and laws
Respond to internal and external audits, exams and requests for information. Assist in the evaluation of audit and examination findings and implementation of corrective action and needed responses
Assist in the response to ongoing regulatory and legal inquiries and investigations
Oversees and/or conducts role specific training with respect to Operational Risk to assigned LOBs to enhance organizational understanding of operational risk, risk identification processes and control design and management processes
Escalates promptly to appropriate senior management or appropriate risk committee any material breaches of applicable laws, rules, policies or standards with actual or potential operational risk impact, and necessary correction action
Monitors compliance with operational risk policies and standards by integrating operational risk control self-testing into a comprehensive control self-testing program that performs regular and comprehensive risk assessment and testing, identifies gaps and deficiencies, and formulates response strategies for corrective action
Proactively works with assigned business unit management to identify and assess the operational risks associated with business activities, ensuring alignment with the Corporate Operational Risk Framework, including
Advising LOBs on operational risks and controls and key risk indicators
Advising LOBs on operational risks related to new products and/or services, technology and security, and business initiatives
Advising LOBs on operational risks related to outsourced third party activities
Develops and recommends for approval policies, standards, procedures and guideline to comply with corporate risk appetites, tolerances and policies
Conducts review and challenge activities and escalation, including independent testing as required
Manage 2nd LOD requirements related to the Governance, Risk & Compliance application and Risk Assessment Processes
An Undergraduate degree is required, advanced degree/s preferred
Minimum of 5-10 years of relevant industry and professional experience
5+ years of management experience (direct employees or equivalent expertise)
In-depth practical knowledge of internal controls, risk assessments and operational and compliance processes, and applicable techniques for implementation of regulatory, compliance and legal requirements and operational processes
Strong leadership and relationship management skills including the ability to lead up and across the organization
Ability to effectively communicate to lines of businesses and senior management, both in writing and verbally
Proven ability to have, maintain, and establish strong contacts within the industry so as to be aware of current industry issues and practices
Industry certifications a plus, such as Certified Regulatory Compliance Manager (CRCM)
Strong project management and/or continuous improvement skills

Manager, Operational Risk Management Resume Examples & Samples

Implementing aspects of the Operational Risk Management (ORM) Framework, including Risk and Control Self Assessments, Risk Events and Key Risk Indicators (KRIs)
Conducting risk assessments of major business initiatives, and ensuring appropriate controls are implemented,
Identification and/or resolution of risk issues impacting the business, including conducting control reviews or gap analyses for existing processes, as needed,
Liaison between the business and Internal Audit for audits and tracking the resulting issues and action plans until effective closure,
Support of the ILI and Prudential Advisors Risk Committees,
Review and analysis of transactions and processes for compliance with regulatory requirements possibly including Privacy annual assertion
Promotion of risk awareness and accountability throughout Life and Prudential Advisors, to develop intelligent risk-taking skills
Ability to demonstrate initiative, curiosity and an eagerness to learn
Ability to think critically and logically; creative problem solving and excellent decision-making skills
Strong organizational skills including the ability to work on multiple projects simultaneously, and bring them to resolution
Excellent communication skills and effective facilitator of group discussions
3-5 years experience working in one or more areas of insurance (such as Product, Service Delivery, Distribution), Finance, a captive agency system, and/or internal control/ risk management
Working knowledge of Microsoft Excel, Word and Powerpoint
Privacy and Personal Identifiable Information (PII) Standard experience a plus
Project management skills a plus
Working knowledge of laws and regulations governing individual life insurance products and distribution channels a plus

Director, Operational Risk Management Resume Examples & Samples

Product Group Leadership Team
Personal & Commercial Operational Risk and Compliance
P&C Integrated Distribution and Operations
Enterprise Risk Management
Marketing: channels and brand strategy, customer agreements - FCAC, Privacy, cost of borrowing
P&C Project Management Office: involved in projects to proactively address risk issues
Legal, Technology & Operations, and other internal Corporate Support groups: Information Management/Security, Risk, Compliance
P&C Ops: provide input to quarterly attestations
RCSA and LCM: collect and report quarterly on issues of all different groups
Suspense Accounts: provide profile of suspense issues
BASEL Operational Risk: P&C Loss Reporting SCOPE AND IMPACT
Change leadership (working)
Process co-ordination and management (in depth)
Problem-solving (in depth)

Director, Operational Risk Management Resume Examples & Samples

Foster and provide visible leadership in the promotion of sound operational risk management practicesacross Trading Products businesses and on an end-to-end basis, i.e., including Wholesale Banking Product Operations (WBPO)
Implement the Enterprise ORMF including program strategy, standards, and tools based on Basel/Industry Practices in order to ensure effective processes to identify, measure, manage, monitor and report on Operational Risks
Provide objective and independent Operational Risk expert advice and counsel to the Trading Products Management teams
Understand Trading Products strategies, boundaries, scope, opportunities and risk through ongoing dialogue with Trading Products senior management; review available documentation including Management Committee strategic presentations and financial results
Recommend courses of action for the Trading Products and Trading Products risk governance systems to ensure ongoing improvement and evolution of their governance programs and practices in response to identified risks and/or gaps in the system
Monitor material risk mitigation action plans to ensure they are implemented by the LoBs to close identified operational risk management gaps
Provide guidance on the Bank’s Operational Risk framework to ensure that Trading Products management is aware 1) of the Bank’s operational risk-taking philosophy, policy, authority structure, procedures and processes 2) their own role and accountabilities in supporting these processes
In line with the capital model, continue to build transparency around the end-to-end view of Operational Risk within the Trading Products businesses. Be instrumental in helping to build bridges between Trading Products and WBPO areas of the bank
Ensure effective incorporation of operational risk into governance structures at the New York senior Risk/Business committees for the Trading Products businesses
Drive consistency, quality and continuous improvement in enterprise wide execution of the framework across the Trading Products businesses
Build consistency and quality in ORMF execution including reporting, methodology, tools and Operational Risk
Liaise with other Operational Risk Managers to share best practices on operational risk management programs
Facilitate efficiencies and economies in operational risk management programs and practices within Trading Products by working with CORM and the CSAs to build alignment in scheduling, reporting and other requirements pertaining to ORMF
Drive continuous improvement across in the execution of the ORMF and ensure feedback is incorporated by CORM into ongoing development of tools and guidance. Ensure that change management impacts are assessed and related processes are in place
Provide guidance to Operational Risk Managers in Trading Products
Play a lead role in integrating the framework components within the Trading Products areas
Promote convergence with WBPO, and with other Operational Risk Officers to drive consistency in practice and efficiencies
Foster and provide visible leadership in the promotion of operational risk management culture and awareness. Drive
Optimal transparency and responsiveness on Operational Risks and losses across the Trading Products areas
Awareness of Trading Products area’s risk taking philosophy, risk appetite, policy, authority structure, procedures and processes and incorporation of Operational Risk elements therein
A healthy tension and mutual respect between the Trading Products businesses and the Operational Risk function
Appropriate governance and escalation processes within the Trading Products businesses and transparency on key risk issues
The ability to influence strategic business decisions through ensuring a risk-based approach to the strategic decision making process
Required awareness and education programs required to further embed a risk culture in Trading Products
Ensure that the Trading Products’ Risk profile for New York is aligned with strategic business objectives and Operating Groups’ stated risk appetite
Raise and highlight concerns where management is not fulfilling operational risk management responsibilities
Implement performance metrics and processes to consolidate, interpret and report operational risk information for the Trading Products areas
Identify and interpret operational risk exposures, issues, losses, trends and early warning signs
Establish and monitor suitable Trading Products KRIs/Risk Tolerance operational risk metrics – in conjunction with relevant CSAs
Create and maintain a current Trading Products Operational Risk profile for New York that supports the basis for making business decisions from a risk appetite perspective
Lead the timely monitoring and reporting of operational risks to Trading Products ORO, US ORO, Senior Executives, and CORM
Perform standard and ad-hoc analyses and reporting
Monitor material risk mitigation action plans to ensure they are implemented by the Operating Group to close identified operational risk management gaps
Participate on appropriate governance (project, strategy, leadership team) forums to ensure risk considerations are a key input into business strategy
Foster effective working relationships with regulators
Anticipate and prepare for emerging regulatory developments in the specific business areas and maintain effective relationships with our regulators
Assist the Trading Products businesses in New York in delivering against heightened regulatory expectations
Participate where required – and at the discretion of the Executive Leadership Team of Operational Risk – in regulatory discussions with global regulators
Managerial leadership
Provide leadership to direct reports, as well as leadership and direction to Operational Risk groups, and executives across the enterprise
Provide performance feedback and coaching
Provide access to training and career development opportunities
Make decisions and/or recommendations regarding hiring, transfers, terminations and compensation
Effectively deploy physical, financial and human resources
Ensure that the group collaborates appropriately with other Operational Risk and CSA groups across the enterprise
Recommending - input to corporate policies and standards; operational risk practices and processes
Recommending – counsel Trading Products management on appropriate ORMF techniques to implement in order to effectively support Trading Products risk management practices
Escalation – of operational risk exposures and reporting issues
Advising – provide solicited and unsolicited advice on Trading Products operational risk and on Corporate/regulatory requirements
Advising– provide subject matter advice to Trading Products Executives regarding proposed operational risk management solutions
Monitoring – of practices, processes, mitigation to ensure compliance with Corporate and regulatory requirements
Monitoring – be informed of operational risk reporting; Audit and Compliance reviews; practices, processes, mitigation to ensure compliance with Corporate and regulatory requirements
Reporting– on operational risk trends, material operational risk issues, and emerging requirements to senior management of the Trading Products areas and to CORM
Monitoring – to be informed of operational risk reporting; Audit and Compliance reviews; Banking Group processes, practices and activities related to operational risk, Trading Products strategies
Coordinating – information required to create reports and operational risk profiles
Influencing– Senior Executive levels of Trading Products
Expert knowledge of Operational Risk
Expert knowledge of Trading Products
Strong knowledge an understanding of Trading Products Group structure
Operating Group organization
Interrelationships and changes occurring within BMO enterprise
Trading Products Policy framework, related processes and control frameworks
Related risk frameworks (credit, market, etc.) and risk management practices
Conceptualization, presentation and communication skills to effectively execute change
Excellent communication skills in working with Senior Executives, Managers, Auditors, and Regulators
Strong critical thinking
Ability to identify and effect appropriate risk governance and control mechanisms

Mgr, Operational Risk Management Resume Examples & Samples

BA/BS in Engineering or finance discipline with heavy math/statistical focus is required
Experience with financial modeling and analytics is required
Six Sigma Lean, Greenbelt, Blackbelt or Master Blackbelt is preferred
Experience with Capital at Risk is preferred

Director, Operational Risk Management Resume Examples & Samples

Contribute to the successful execution of the Third Party Risk Management program to ensure a consistent, risk-based approach
Establish strong partnerships with business lines and corporate functions to ensure effective planning and collaboration on third party risk management related matters
Consult and guide business managers across business and corporate functions responsible for third party relationships
Actively engage and collaborate with peers and team members, contributing to the best collective strategic thinking
Engage internal subject matter experts across information technology, information security, privacy, sourcing, legal, corporate security and other influencers to contribute to the effective management of third party relationships
Produce and present materials for varying audiences across all management levels in support of key decisions
Establish and maintain internal and external relationships necessary to continuously evolve vendor management and outsourcing subject matter expertise and benchmark Prudential practices
Lead and/or contribute to special projects and initiatives including program planning, business case development, solution definition and development, project management, resource coordination, and senior management presentations/reporting
At least 3 years of proven experience in vendor risk management or vendor program management supporting a global enterprise
At least 5 years experience in risk management or related control discipline such as audit or compliance
Financial Services industry experience and knowledge of organization hierarchies and related functions and processes a plus
Direct experience developing, implementing or managing all or material aspects of a global program and its related components
Outstanding planning, analysis, facilitation, negotiation and problem resolution skills
Strong strategic thinking, intelligent decision making and process management/delivery capability
Demonstrated leadership in collaborating, managing and influencing relationships across a broad set of stakeholders and executives
Strong skills in leading meetings and preparing materials/presentations for internal and external parties
Excellent verbal and written communication skills and ability to tailor messages to various audiences
Results oriented self-starter with ability to organize and lead multiple concurrent priorities while working independently or part of a team in a fast paced environment
Ability to learn quickly, uphold high performance standards and thrive in situations where ambiguity is to be anticipated and a sense of urgency is required
Strong proficiency with desktop technology (e.g. Word, Excel, PowerPoint) and familiarity with enterprise platforms and related components (e.g. workflows, dashboards, inventories, reporting)

Operational Risk Management Resume Examples & Samples

Work within ORM team in Japan, advising key business partners and senior management
Support the implementation of the regional and global control infrastructure and escalate any risk gaps to senior management
Help build strong relationships with local management and regional operational risk partners
Experience of working within Operational Risk Management
Project Management skills

Director, Operational Risk Management Resume Examples & Samples

Work with the Vice President, Global Head of Operational Risk Management and PREI business management to proactively identify and evaluate operational business risks and trends, and develop processes that help mitigate risk, ensure compliance, and protect PREI's brand
Assist management with all aspects of the audit process, including facilitating Risk and Control Self Assessments, documenting key risks and controls, developing action plans to address control gaps and providing effective challenge to the adequacy of controls
Identify, research, evaluate , and/or resolve risk issues impacting the business, including conducting control reviews or gap analyses for existing processes, as needed
Establish and maintain relationships with PGIM and PREI Business and Functional Leaders, as well as the broader risk management community, internal audit, legal, compliance, operations, and finance staff
Lead PREI's Sarbanes-Oxley efforts and related reviews; communicate results and analysis to senior management and key internal stakeholders
Bachelors degree required; Masters degree / MBA preferred
8-10 years of related work experience with a minimum of 3 years in risk management, audit or similar function within the institutional asset management business; prior experience in real estate investment management strongly preferred
Strong familiarity with both the private and public asset classes
Prior experience in operational process and internal control design with a proven track record influencing processes and controls
Working knowledge of Sarbanes-Oxley, Privacy and other regulatory requirements
Strong project management skills and experience
Strong analytical, critical thinking skills; solutions oriented
Ability to work independently, thinks outside the box, and demonstrates creativity and innovation
Experience managing and developing more junior team members

VP Operational Risk Management Resume Examples & Samples

The ongoing development and governance of the risk control/framework for the APAC PB business
Acting as the second line of defense for APAC PB Business
Participate in the risk/governance committee
The support of on-going development of the risk metrics, policies and procedures for the APAC business
Oversee any escalated operational incidents and handle accordingly
Work closely with the PB business and other business units to mitigate, investigate any potential risks
Approving on any local suitability applications
Lead in any projects or trainings related to operational risk
Have sound knowledge of developing operational risk frameworks
Have excellent communications skills to handle various stakeholders

Manager, Operational Risk Management Resume Examples & Samples

Acts as risk ambassador and successfully increases operational risk awareness for business partners
Intellectual curiosity and a quick learner
Minimum of three years audit experienced preferred
Familiarity with the companys key enterprise operational risks (e.g., privacy, vendor, business continuation, information security, etc.)

VP-operational Risk Management Issuer & DCC Business Coverage Resume Examples & Samples

Liaise with all relevant business, risk and functional partners to uncover risk themes, root cause and the development of remediation efforts
Conduct deep dive analyses to uncover root causes (e.g. control breakdowns) of large or frequently occurring losses
The individual must maintain strong relationships with the Business, other Risk and Control functions, and Operations to effectively influence changes that will improve the risk and control environment. In addition, strong team interaction is required
Prior risk and control process management experience
Analytical inquisitiveness and problem solving ability; an ability to ask insightful questions, break analytical challenges into workable components and draw meaningful conclusions
Excellent problem-solving abilities; strong analytical skills – both quantitative and qualitative
Critical thinking skills are essential for success
Professional presence and attitude
Candidate should feel comfortable interacting with individuals at all levels of the organization and have an ability to influence others
Ability to react quickly to a fluid environment and changing priorities while executing plans to achieve multiple objectives

Manager, Operational Risk Management Resume Examples & Samples

Providing Operational Risk support and advice to business partners, including facilitating risk assessments of major business initiatives and ensuring appropriate controls are implemented
Implementing aspects of the ORM Framework, including facilitating Risk and Control Self Assessments with functional personnel, documenting key risks and controls, developing action plans and providing effective challenge to the adequacy of controls
Working with business partners to provide guidance in the design and implementation of Key Risk Indicators
Researching, evaluating, and/or resolving risk issues impacting the business, including conducting control reviews or gap analyses for existing processes, as needed
Analyzing and reporting operational risk events and emerging risks, analyzing root causes of control breakdowns, assisting the business in developing remediation plans
Working with business partners to address developing issues and existing control gaps in the business
Providing consultative guidance to business partners in the assessment of significant, new, and material exposure for potential Pension Risk Transfer transactions with some guidance from supervisor
Reviewing and completing the analysis of processes for compliance with regulatory requirements, such as Privacy and other Corporate Programs
Promoting risk awareness and accountability throughout the business to develop intelligent risk-taking skills
May require a maximum of 25% travel
3-5 years experience working in one or more relevant areas such as internal control/ risk management areas, Audit, Compliance, Actuarial, Technology, Product, Service Delivery, and/or Finance
Ability to quickly apply broad business knowledge and practical experience to understanding and evaluating operational risks and controls at times, under ambiguous circumstances
Ability to demonstrate initiative, curiosity, an ability to seek out information, and an eagerness to learn
Strong leadership skills with the ability to work independently, where needed, and with confidence
Excellent listening, communication, and negotiating skills to work effectively across business groups and with senior leaders
Strong team player and an ability to partner across the organization and achieve results working through others
Strong analytical skills including working knowledge of Microsoft Excel, Word, Visio, and PowerPoint
Highly motivated, energetic and positive individual Project management skills a plus
A Bachelor's degree is required, preferably in a business major. Internal audit or public accounting experience a plus. Relevant professional certifications (e.g., CPA, CFA, etc.) are also a plus

VP, Operational Risk Management Resume Examples & Samples

Recommending corporate-wide operational risk policies and ensuring the consistent interpretation and implementation of these policies
Designing training programs to promote and sustain a culture of risk awareness
Coordinating the risk assessment process for changes to the firm's business activities
Driving the corporate-wide operational risk self-assessment exercise to identify and address control weaknesses and/or gaps
Monitoring and reporting the corporate-wide operational risk profile to senior management and the risk governance committees

Manager, Operational Risk Management Resume Examples & Samples

Researching, evaluating, and/or resolution of risk issues impacting the business, including conducting control reviews or gap analyses for existing processes, as needed
Analyzing and reporting operational risk events, analyzing root causes of control breakdowns, assisting the business in developing remediation plans
Working with Risk and business partners to address developing issues and existing control gaps in the business
Reviewing and completing the analysis of processes for compliance with regulatory requirements, such as Privacy
Promoting of risk awareness and accountability throughout the business to develop intelligent risk-taking skills
Experience working in one or more relevant areas such as internal control/ risk management areas, Audit, Actuarial, Technology, Product, Service Delivery, and/or Finance
Excellent listening and communication skills to work effectively across business groups and with senior leaders
Strong analytical skills including working knowledge of Microsoft Excel, Word and PowerPoint
Highly motivated, energetic and positive individual who
A Bachelor's degree is required, preferably in a business major. Relevant
Professional certifications (e.g., CPA, CFA, etc.) are also a plus
If the position is based in Dresher, PA travel is 25% to 35%. If the position is based in Newark, NJ travel is 10%,

Svp-operational Risk Management MSS Business Coverage Resume Examples & Samples

Drive – Operational Risk Anticipation, Mitigation and Loss Recovery (and respective Recovery Plans)
Support Operational Risk Management Policy implementation
Lead Risk Reviews and conduct deep dive analyses to uncover root causes (e.g. control breakdowns) of large or frequently occurring losses
Participate and SupportDevelopment of documentation and reporting requirements across all elements of the Operational Risk framework
Knowledge of financial markets and products particularly Capital Markets experience
Prior experience in Agency Securities Lending, Prime Brokerage, Futures and/or Equities Markets a plus
Ability to collaborate with other, communicate effectively with senior management, build effective business relationships

CEP Operational Risk Management Head Resume Examples & Samples

Oversee the delivery of operational risk reports to the Board, Risk and Audit Committees, OROC, Regulators and Senior Management of CEP
Propose and ensure compliance with the operational risk appetite (including adherence to both the quantitative and qualitative aspects of Citi’s Risk Appetite Policy as it relates to CEP)
Deep involvement in developing and preparing annually the operational risk sections of the ICAAP, including stress testing and scenario analysis
Drive efforts to improve operational risk management and operational risk reporting, including improving efficiency and increased automation of report production
Review and approve new product proposals/product programs from an operational risk point of view
Work closely with Regional and Global ORM Management to ensure CEP Legal Vehicle operational risk issues are being identified and addressed
Support the CEP CRO in operational risk matters
Anticipate and inform the Citi Country Officers, country business managers and regional ORM Heads of significant regulatory developments; helping to create and implement strategies
Ensure an effective working relationship with the regulators and statutory auditors
Ensure that appropriate statutory audits and examinations are conducted. Ensure that the tracking of corrective actions of issues raised by the Manager Control Assessment (MCA), as well as internal and external audits are diligently performed
Chair CEP OROC and provide governance at a Franchise level through forums like BRCC, CCC
Authority to command attention and enforce risk decisions in a relevant commercial manner but in a way which also meets Citi’s operational risk related policies
Ability to impress regulators with command of operational risk role and to respond confidently and appropriately to their requests
Strong interpersonal and communications skills (written / verbal) at all organizational levels
Excellent planning and execution skills
Ability to motivate those reporting to you
Extensive experience in the operational risk analysis
Sound, demonstrable track record of addressing strategic operational risk issues for a regulated bank
Stature and standing to impress the Risk and Audit Committees and Board of CEP
Expresses complex or detailed issues simply so that others understand principals of operational risk issues despite complexity of models or volume of information
Strong tenacity and resilience

Operational Risk Management RCA Manager Resume Examples & Samples

10 or more years of experience in an applicable risk management environment
5 or more years of experience in a European regulatory environment
Experience in other international regulatory environments (e.g., Asia, South America)
Outstanding communication skills and ability to interact with all levels of management

Operational Risk Management Resume Examples & Samples

Lead point of contact in providing operational risk support and education to senior management and their functional control teams
Collaborating with other Operational Risk teams, representing RFDAR on selected working groups
Managing the tracking and reporting of control remediation globally including audits and regulatory commitments, including interaction with Internal Audit, Regulatory Liaison Team and line managers to ensure that remediation is appropriate and achieved according to timelines
Supporting line managers in documentation and/or review of processes and controls, identification of control improvements
Work with line management to identify and ensure operational incidents/losses are reported in accordance with policy and lessons learnt across the department
Provide independent challenge, perform risk assessments, root cause analysis of issues, produce recommendations

Operational Risk Management Head Resume Examples & Samples

Ensure proper management of Operational Risk in the assigned countries
Work in coordination/unison with the Operational Risk Management LATAM community to deliver the consolidated plan of initiatives & projects for the region
Identification and anticipation of the most significant operational risks to business activities. Work with the business to determine appropriate mitigates to those risks
Provide oversight to changes in the regulatory environment that have material op risk implications to the Business
Investigate what is causing metrics to deviate from trend and escalate situations that pose excessive risk
Serve as Subject Matter Expert (SME) of Operational Risk Management topics in the Region, as designated by the Operational Risk Management Head for LATAM (ex-Mex), coordinating topic from a Regional perspective and providing expert advice to the ORM Country Heads
Good knowledge of the ICG and Consumer businesses, including how O&T supports these Businesses would be highly desirable as well as previous experience in Risk Management
English (Spanish will be a plus) - candidate must be able to write reports, make presentations and articulate them in a clear, concise manner mainly in English
Undergraduate degree (majors in in Economics, Finance, Statistics or related areas are seen as advantage, but different majors are also of interest if other experience demonstrates quantitative and analytical skills)
Analytical inquisitiveness and problem solving ability; an ability to ask insightful questions, break analytical challenges into workable components
Excellent leadership, influential and teamwork skills
Strong inter-personal/relationship skills
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

Country Operational Risk Management Head China Resume Examples & Samples

Strong analytical skills applicable across businesses, products and customer classes
Experience in Operational Risk with knowledge of credit risk and/or market risk a plus
Acts as a leader with an understanding and appreciation for diverse backgrounds
Strong Presentation skills – comfortable with public speaking across various forums and be able to effectively and logically communicate when ideas are being challenged in an open forum

VP, Operational Risk Management Resume Examples & Samples

A proactive, driven leader with the ability to operate effectively from the conceptual stage through to successful implementation
Superior analytical and technical skills. Ability to think critically and logically, creative problem solving and excellent decision making skills
Ability to influence partners and drive conflict resolution coupled with technical risk management / financial or actuarial expertise
Ability to build strong and productive working relationships with staff at all levels across the company and develop the ORM staff
A proven track record working with senior leaders and decision makers
A highly organized and disciplined individual able to work on multiple projects simultaneously, and bring them to resolution
Excellent listening and communication skills and effective facilitator of group discussions

Managing Director & Global Head of Operational Risk Management Resume Examples & Samples

Significant experience in operational and operations risk management with evidenced capabilities within a senior leadership role building and developing a best in class Operational Risk Function within an international financial services institution
Demonstrable track record of identifying, assessing, monitoring and measuring operational risks within a highly complex global business
Expertise in working with highly complex, technology enabled businesses with a proven understanding of the associated risks, cyber threats and vendor/3rd party risks
Demonstrated management and leadership capability, including knowledge of effective change management techniques, to lead people through a changing environment
A proven track record of establishing a proactive, constructive dialogue and partnering effectively with business leaders, professionals in peer infrastructure groups and regulators
A university degree from a well-respected academic institution; advanced degrees and/or other professional certifications are preferred, but not required
Well-articulated sensitivity to the critical importance of protecting the company’s brand and reputation in the market

Operational Risk Management Head Mexico Resume Examples & Samples

Drive the strategic direction of Operational Risk Management for Mexico working with colleagues and partners to
Identify emerging operational risks in the context of the current economic, regulatory and business environment and assure that measures are being taken to mitigate these risks
Conduct quarterly risk reviews based on the identification of emerging risks and focused on key risks or root causes to proactively manage op risk
Analyze operational risk data (typically losses, metrics or assessment results) to identify areas of excessive risk and to ensure that mitigation efforts are having the desired effect(s)
Perform independent risk assessments of MCA entities, challenge MCA entity ratings where appropriate
Identify root causes of major internal losses and ensure actions are taken to reduce the risk of loss from similar causes
Lead or contribute to initiatives to identify, assess and reduce operational risk within and across products and businesses
Review and approve new product proposals/product programs as appropriate
Work with businesses to proactively manage and mitigate operational risks, and make recommendations on corrective actions that should be taken
Identify changes in business strategy, market conditions, industry trends, regulatory environment, country macro-economic factors, etc. that may lead to an increase in Op Risk
Work with businesses and functions to determine proper mitigating actions as necessary
Uphold the Operational Risk Policy
Provide Operational Risk oversight to assure policy and regulatory compliance
Facilitate adherence to specific regulatory requirements for Mexico, including the International Convergence of Capital Measurement and Capital Standards (‘Basel II’)
Interface with Regulators on Operational Risk matters
Data / Quality / Benchmarking
Ensure operational risk data meets minimum standards for management, reporting, and capital uses; in particular make sure data being using for capital allocation is accurate and correct
Work with colleagues in other areas of Risk Management, Finance, compliance and the Businesses to assure appropriate management of Operational Risk processes
Facilitate accurate and appropriate reporting of operational risks to senior management, the Regulators and the Board of Directors
Promote the use of ORM tools to anticipate, mitigate and recover operational risk losses
Support corporate initiatives, including those related to Operational Risk and the alignment of capital assessments with risk management objectives
Work with MCA Senior Manager to
Provide ongoing training and guidance on implementing MCA standards and processes
Review MCA entity Annual Risk Assessments (“ARAs”) for overall coverage/reasonability
Conduct independent risk assessments and challenge entity ratings or PRC’s (Processes, Risks and Controls) as appropriate
Review reasonability of control issues materiality/assessments and MCA entity Ratings
Independently back-test to identify root cause and MCA enhancements
Leadership and Management of Staff
The role involves managing a team of approximately 10 individuals including 3 co-managed resources. Flexibility is required to adapt to competing priorities, balancing strategic progress on overall operational loss mitigation and frequent deliverables in a rapidly changing, dynamic environment
Manage staff with the goal of building a great team. Create a competitive advantage by emphasizing talent and learning, and ensure the team has the right stature within the organization
Consistently raise the bar on performance and create a clear path forward toward sustainable results
Create stretch goals for the team as well as create project plans for execution
Work to ensure staffs meet ORM profile. Coach and develop staff
Advocate new ideas and opportunities
Expand team members’ skills and knowledge in order to develop well rounded Risk officers that produce robust and effective independent risk analysis and challenge
MBA or other advanced degree in Economics, Finance or related areas is not required but it is strongly preferred
Important track record in control functions
Preferably exposed to different markets and businesses
Natural leadership abilities and stature / seniority
Ability to influence and to challenge others
Demonstrated success in building high functioning teams
Bi-lingual Spanish/English proficiency – candidate must be able to conduct all business activities including presentations in both languages

Manager, Operational Risk Management Resume Examples & Samples

Five years of related experience, including risk, control, public accounting and/or Internal Audit experience
Must have a strong working knowledge of the principles, practices and concepts of internal control, including the COSO Integrated Framework of Control
Must have the ability to facilitate control self-assessments and identify/articulate opportunities to improve control design efficiency and effectiveness; creative problem solving and presentation skills will be highly valued
Must be able to evaluate the operating effectiveness of controls, assess severity of control deficiencies and collaborate with management to develop action plans
Must possess working knowledge of several insurance operation functions
Must be able to partner with management at various levels of the organization in businesses located around the world
Must have strong conceptual thinking skills and be able to effectively research and resolve business issues arising in various operating environments
Proficiency in Japanese, Chinese, or Korean language preferred
Experience working with international counterparts and traveling internationally preferred
International travel will be required and could reach 20% of the year

Global Head of Cbna Operational Risk Management Resume Examples & Samples

Identification, analysis and assessment of operational risks
Setting the risk appetite and tolerance for operational risks
Effective challenge, verification and validation of key control issues and operational risks
Anticipation and mitigation of operational risk events
Formulating and executing a complex and comprehensive strategy
Well-versed in breaking down complex matters into core issues and root causes that can be more readily addressed
Proficient in developing new ideas to mitigate risk and improve current processes. Ability to prioritize high impact potential problems effectively
Subject matter knowledge is a must – Operational Risk and the general principles of risk management should be embedded within the individual’s area of expertise
Demonstrated leadership and people management skills including a proven track record of building high functioning teams
Being able to influence and drive initiatives across a virtual organization is an essential skill
Demonstrated ability to articulate and implement a complex and comprehensive strategy

Operational Risk Management Issuer & DCC Business Coverage Resume Examples & Samples

The position supports Issuer Services and Direct Custody & Clearing
Support Operational Risk Management Policy implementation - The ORM Business Coverage team engages with the Business to ensure it is well controlled and in compliance with operational risk and control related policies and procedures. The role consists of identifying risks; this includes proactively identifying and assessing risks and controls, evaluating, and advising on significant issues, interfacing with other internal control and support functions, and advising the Business on the best course of action and corrective action plans. Identification and mitigation of emerging risks and significant operational residual risks is critical
In addition to identifying key risks, the individual must be cognizant of Business and industry trends that present business opportunities and be able to provide advice to assist the Business in moving forward with new business in a controlled environment
Notify / Escalate operational risk concerns
Participate and Support Development of reporting and documentation requirements across all elements of the Operational Risk framework
Support efforts to serve as a basis for resource prioritization against non -discretionary and risk based deliverables
Ability to collaborate with others, communicate effectively with senior management, build effective business relationships
A thorough ability to provide risk versus reward analysis is imperative
Clear understanding of legal/regulatory environment
3–5 Years’ Experience in Issuer and/or Securities Services
Risk Management experience

Senior Manager, Operational Risk Management Resume Examples & Samples

Identifying and interpreting operational risk, issues and trends (including emerging risks) within Corporate Services, understanding the key controls for managing these risks and recommending appropriate courses of action to the Director, Operational Risk. Recommendations made by the ORO shall be founded on a risk-based analysis of Corporate Service’s activities and/or choices with respect to risk acceptance and/or mitigation strategies
Representing Corporate Services in enterprise operational risk governance initiatives, and facilitating operational risk related activities within Corporate Services that are initiated by other Operating Groups, Corporate Support Areas, Corporate Audit, regulators or other external groups
Providing subject matter expertise on effective operational risk management and governance frameworks while acting as SME. This includes operational risk identification, measurement, mitigation, monitoring and reporting within Corporate Services
Support education and awareness programs for operational risk within Corporate Services. Sponsor operational risk education for new staff and executives
10 years’ experience in a leadership capacity having broad business acumen – holding a professional designation in risk management, finance or accounting
Extensive experience working within an Operating Group or Corporate Services
Strong knowledge and understanding of operational risk management activities
Strong knowledge and understanding of BMO Financial Group structure
Strong strategic vision and planning ability
Strong conceptualization, presentation and communication skills to effectively execute change
Sound judgment and strong analytical skills to identify opportunities for enterprise collaboration
Highly developed relationship management and leadership skills
Excellent communication skills in working with Senior Executives, Managers, Auditors, and Regulators in Canada and the US

Operational Risk Management Head Resume Examples & Samples

Work in coordination/unison with the ORM LATAM community to deliver the consolidated plan of initiatives & projects for the region
Identification and anticipation of the most significant operational risks to business activities. Work with the business to determine appropriate mitigants to those risks
Serve as Subject Matter Expert (SME) of ORM topics in the Region, as designated by the ORM Head for LATAM (ex-Mex), coordinating topic from a Regional perspective and providing expert advice to the ORM Country Heads
Good knowledge of the ICG businesses, including how O&T and CSCs supports the business, would be highly desirable as well as previous experience in Risk Management with minimum 5 years of experience in senior positions

Dewm-head Operational Risk Management Resume Examples & Samples

Provide best in class business Risk monitoring and control review functions to support the desired growth of the business; support business strategy including cost controls
Support 3LOD model related relevant coordination including quarterly self testing processes for WM Hong Kong. Following directives from global and regional offices, implement changes in policies and procedures to meet with regulatory & audit expectations
Handle client enquiries and complaints; oversee the end-to-end complaint handling process and ensure compliance with internal and regulatory requirements; work closely with legal and compliance on litigations and regulatory complaint cases
Enhance Risk awareness culture; support governance function in line with global and regional business and risk organization; chair monthly engagements with Group Heads and quarterly In-business Risk review with North Asia management team to go through operational risk issues, key risk topics and regulatory updates
Support regulatory reporting’s to HKMA; aim to achieve satisfactory rating for internal, external and regulatory audits; ensure timely completion of audit actions points
Manage the ORM team in WM Hong Kong with the aim to retain talent and promote core competencies among all team members; supervise staff on regular review functions, enable cross functional on-the-job training and ensure back-up arrangement is in place
Proven track record in areas of ORM/ Compliance/COO/Business management , in a Wealth Management setup
Knowledge or experience of Supervisory and Control environment and WM HongKong related Regulatory expectations
Sound understanding of core WM processes and controls
Relevant WM industry experience of at least 8-10 years

Manager Operational Risk Management Resume Examples & Samples

Assist in the development of an operational risk plan for business unit and/or processes
Lead and develop business unit ORM staff
Develop and maintain effective working relationships with appropriate corporate and business unit management
Plan and conduct risk assessments, compile results, and perform projects
Knowledgeable of risk framework and relevant tools
Develop and evolve guidance materials for all operational risk program components (e.g. loss event collection, key risk indicators, risk assessments and scenario analysis) and internal controls program components (e.g. control design, control testing, and process documentation)
Assess the appropriateness of the business process control design and oversight of control testing to determine compliance with SOx, SOC1, external audits, etc
Develop and/or maintain subject matter expertise on specific ORM processes within the organization and share knowledge to enhance best practices
Sufficient comfort level preparing complex business process reviews, identifying key process risks and defining controls
Provide recommendations and improvement opportunities to enhance control environment and remediate control weaknesses
Provide regular reporting on risk management including details of material incidents and updates on progress against Global standards and initiatives
BA degree in related field (accounting, finance, actuarial, mathematics, etc.) appropriate for the risk area/department above or equivalent experience. 7+ years of audit experience or equivalent required. Previous management experience
Transparency and consulting on risk management in the business
Strong interpersonal skills, ability to challenge and inquire in constructive fashion
Ability to identify issues and suggest improvements
Excellent communication skills; effectively persuades others and leads in facilitation of conversation in situations of conflict
Strong problem solving and analytical skills; ability to compile and analyze data and key metrics
Works on multiple projects at a time while planning future projects in addition to developing priorities for other staff. Masters use of effective project management techniques and tools
Provides guidance and support to other team members in achieving their objectives
Provides support and leadership surrounding collaborative activities
Knowledge and/or the ability to understand different types of risk (financial, credit, liquidity, operational) and the impacts of each risk to the organization
In-depth knowledge and hands-on experience with internal controls, business processes and operational risk management. Knowledge of current changes and developments in the industry, regulatory environment and operational risk management
5+ years of managerial experience preferred. Financial Risk Manger (FRM), Professional Risk Managers' International Assoc. (PRMIA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA) or Certified Public Accountant (CPA) certifications desired

Operational Risk Management & New Products Resume Examples & Samples

Working with Business Sponsors to define scope and parameters of proposed new businesses and products
Helping to define infrastructure requirements necessary for product introduction
Daily/Weekly/Monthly monitoring of key initiative issues and progress of product approval
Preparing weekly and monthly presentations for Senior Management
College Degree (graduate degree a plus)
8- 10 years of professional work experience, including four years of relevant operational risk management and/or New Product Approval experience with a major financial institution
Solid understanding of the operational risk management life cycle including risk identification, assessment, monitoring and management
You will be expected to handle working relationships related to operational risk with business line management and other support and control areas
Strong verbal and writing skills are required as well as prior experience in developing and delivering operational risk reporting
You will need to collaborate with ORM and New Business colleagues in the other regions to achieve consistent global practices and methodologies

Manager, Operational Risk Management Resume Examples & Samples

Applying sound judgment in the evaluation of risks and controls. Effectively challenges adequacy of controls
Facilitating insightful conversations during Risk and Control Self Assessments (RCSAs) to ensure appropriate consideration and evaluation of risk topics
Performing effective root cause analysis to identify control gaps and weaknesses and recommend appropriate corrective course of action
Collaborating with control partners to promote an effective risk management culture by proactively identifying areas of operational risk across processes, including areas such as Sarbanes Oxley, vendor governance and model risk
Acting as risk ambassador and successfully increases operational risk awareness for business partners

AVP, Operational Risk Management Resume Examples & Samples

Strong understanding and preferably direct professional experience in banking operations at a Canadian Financial Institution
Minimum of eight (8) years’ experience, in a large bank or insurance company, with at least 2 years spent in a Risk Management Role
Demonstrated success in large scale organizational change management is a must
Knowledge of Operational Risk Practices and concepts in the financial industry. Accountability or exposure to the development and implementation of an AMA framework is an asset
With guidance from the VP - Integrated Risk Management, develop, implement, and maintain an Operational Risk Management Framework across CWB Group, which facilitates effective Operational Risk management while meeting OSFI’s expectations
Develop and implement Operational Risk management tools within the Operational Risk Management Framework including risk taxonomy, Risk and Control Assessment, internal loss data capture, scenario analysis, root cause analysis, external loss data reporting, new product risk assessments, business process mapping, KPI and KRIs
Maintain an Operational Risk Management Policy and related standards
Develop an Operational Risk Appetite
Measure and aggregate Operational Risk exposures, monitor them against risk appetites, and report to the Executive Risk Committee and the Board. This requires working in consultation with other Second Line of Defence experts such as Regulatory Compliance, Human Resources, and Technology
Based on risk assessments and inputs from other risk management tools, prepare annual reporting for both the CWB Board and the Subsidiary Boards of the risk profiles of CWB Group, the Bank (CWB), and subsidiaries
Provide proactive, consultative support and formal training to CWB Group for managing the requirements of CWB Group’s Operational Risk Management Framework, and be recognized as the subject matter expert for same
Provide education on and embed accountabilities for operational risk management in accordance with 3 lines of defence
Influence and gain buy-in from senior management across CWB Group by communicating the requirements and the value proposition to gain the support needed to further develop and implement Operational Risk enhancements to First Line of Defence risk management
Exercise highly developed change management skills to enable transition from existing approaches to newer approaches, and overcome barriers to change
Lead CWB Group as the primary contact and correspondent with the Canadian Bankers Association Operational Risk Specialists Group, and speak on behalf of CWB Group to this organization
Represent CWB Group in contact and correspondence with government regulators
Interpret and assess emerging regulatory governance rulings for impact on CWB Group’s Operational Risk Management processes
Continually monitor "best practices" in the financial services sector to ensure that opportunities to improve our Second Line business processes are considered, evaluated and, where applicable, implemented
Lead Group-wide development, implementation, and utilization of risk management tools within the Operational Risk Management Framework
Scope out the most efficient and practical way to implement the Operational Risk Management Framework across CWB Group, with particular focus on leveraging existing people, processes and systems, and ensuring processes are sustainable once implemented
Develop close working relationships with operations coordinators and subject matter experts throughout CWB Group to help them assess the best way to implement Operational Risk management requirements within their business/department. Particular focus must be placed on understanding their existing risk and compliance processes to understand how best to adapt them in order to meet requirements, without duplicating effort
As the Operational Risk Management Framework is closely integrated with the Group (Enterprise) Risk Management Framework, assist in developing the broader risk management processes
Treat all stakeholders with professionalism, dignity, and respect; support an environment where people can contribute and excel
Demonstrate strong interpersonal skills that contribute to working effectively in a diverse working environment
Accept responsibility and hold oneself accountable for one’s actions and results

Director, Operational Risk Management Resume Examples & Samples

Responsible for risk assessment, risk decision-making and oversight of risk controls implementation within Enterprise Operations, IT and Infrastructure Services
Establish formalized approach for the management of operational risks
Develop, implement and maintain processes for the identification, analysis and mitigation of risk events
Ensure appropriate management focus on mitigation of risk, including implementation of management action plans related to open audit issues and corrective action plans related to Market Conduct examinations
Identify and monitor Key Risk Indicators and other operational risk metrics
Develop and implement risk prevention measures
Track and report on potential and existing risk events
Provide education to operational associates regarding operational risk
Oversee risk analysis and regulatory reporting
Manage team providing market conduction examination support and litigation support
Provide oversight of the Enterprise Operations liaison for new law and regulation applicability analysis and implementation within Operations
Oversee Mandates Governance framework and direct team members supporting prioritization and governance of Mandates through the Steering Committee, Subcommittee and Prioritization Committee
Work closely with the Vendor Management Office to ensure effective third party oversight controls and monitoring
Provide input and help coordinate meeting agenda topics and related materials for the Technology & Operations Risk Review Committee and Technology and Security Working Group
Participate in strategic planning of the department and develop a plan to execute the strategy
Set team objectives, goals and action plans and manage resources to the successful accomplishment
Manage appropriate operating budgets
Oversee and direct signficant financial impact projects within the area
Ability to direct teams and influence stakeholders at multiple levels within the enterprise
Ability to manage and mentor staff by teaching technical skills, sharing insights, instilling CNO's values, and reinforcing the foundational guiding principles of Technology and Operations
Highly organized and able to handle multiple priorities simultaneously
Excellent oral and written communication skills, presentation skills and interpersonal skills to successfully perform in a leadership role and interact with various internal and external stakeholders
Ability to demonstrate leadership; capable of generating a high degree of respect and trust to develop strong relationships with the Operational Risk Management team and all levels of management throughout the enterprise
High personal standards and professional ethics with a commitment to excellence
People-oriented and energetic, with a sense of urgency and strong work ethic
Superior analytical and critical thinking skills
Strong aptitude for networking and relationship-building; proven ability to build and maintain relationships with key business partners across the enterprise
Excellent problem-solving and negotiating skills

Operational Risk Management Resume Examples & Samples

Connect with team to support delivery of the overall strategic direction, and ensure execution against set objectives
Manage and monitor risks proactively, via formulating operational risk management strategies, establishing relevant control standards and framework, and implementing sound controls
Lead operational risk related initiatives, conduct analysis of operational risk data and prepare reports
Monitor and ensure quality and timely completion of self-assessments, and the effectiveness of action plans
Share best practices through coaching and mentoring others
Provide advisory support to Consumer Banking Group on operational risks

Operational Risk Management Resume Examples & Samples

Implement the DBS’ Operational Risk Management (“ORM”) Framework, and drive the overall risk and control agenda and programmes within the Unit
Participate, drive and/ or lead the relevant colleagues to implement the Unit ORM local/ regional programmes / review/ risk mitigation initiatives to all T&O locations, if applicable
Participate in various committees/ taskforce assigned by the management to drive for the predefined objectives, e.g. Fraud Committee, FATCA Committee, etc
Raise operational risk awareness among departments and transfer/share skill-set on operational risk management, and coordinate/ deliver training efforts to promote risk management and compliance culture within T&O units
Build key relationships with the various T&O departments, work in partnership in identifying and developing solutions to address key operational risk areas

Senior Manager, Operational Risk Management Resume Examples & Samples

Operational Risk Management is an evolving discipline within financial services. While initially regulatory driven, the benefits of good operational risk programs (lowered loss expenses linked to better controls as a result of operational risk assessments, positive regulator reviews, predictive measures highlighting potential areas for loss, etc.) have inspired managers to more readily embrace its philosophies. This has resulted in operational risk management becoming a growing discipline where trailblazers have the opportunity to form policy and impact regulations
Department is dependent upon Group for systems development, support and training
The jobholder has to possess good knowledge on banking regulations and operations, and audit and control concepts in order to develop a set of effective standard guidelines that can be implemented. In addition, the jobholder is expected to be highly organized and to act independently and exercise broad discretion with minimal guidance and supervision
The importance of operational risk and control has increased over recent years and has the potential to be one of the most influential value added services available to senior management and the board. Jobholder’s ability in identifying major risk areas and key control weaknesses poses significant impact on businesses in meeting their strategic objectives
Minimum of seven years proven and progressive financial services experience or equivalent, including experience in operational and business unit-related positions
Minimum of a Bachelors degree in information systems, accounting, finance or related field. Professional designation or Masters degree preferred
Strong analytical, problem-solving, lateral thinking, communication, project management and interpersonal skills

Operational Risk Management Resume Examples & Samples

Project Manager for Operational Risk Management function. This includes
Three to five years of project management or compliance or risk management experience, preferably in the financial services industry
Strong project management and organization skills
Ability and willingness to take on additional assignments above and beyond core project management duties
Excellent interpersonal communication and collaboration skills
Strong PC skills including Microsoft Project, Word, Excel, SharePoint and PowerPoint
Undergraduate degree in business or business-related discipline
Advanced knowledge of risk management associated with the assigned product lines
Ability to work at all levels of the organization, including senior leadership
Demonstrated ability to work in a large corporate environment
Comfortable working in a team environment
SharePoint experience

Head of Operational Risk Management for Business Banking Resume Examples & Samples

7+ years of experience in a top tier bank
Experience with risk functions in a business banking setting
Evidence of superior personnel development and management skills
Champion of change with proven examples of having implemented change successfully
Ability to engage at senior levels (ExCo) to discuss potential risks and the preferred mitigants – in general, ability to interact and work closely with senior business heads and ExCo

Executive Assisstant for Operational Risk Management Resume Examples & Samples

Prepares and reviews materials for manager’s use in discussions and meetings
Well-developed problem-solving skills
Bachelor degree would be a plus

Operational Risk Management Resume Examples & Samples

Assist in establishing an enterprise-wide third party risk framework (TPRF) that facilitates the assessment of external or inter-affiliate third parties and the risks they manage on behalf of the Firm and risks they create for the Firm by nature of the external relationship. T
The TPRF will be integrated into the Firm's broader Operational Risk framework
Support Team Head in developing policies, procedures, tools, training and standards needed to support the TPRF
Build awareness across the Firm and interpret the application of external third party risk in the context of the Firm's risk and control environment; including facilitating coordination across the organization for external third parties used by multiple business/functions
Assist with developing aggregate risk reporting for senior management and conduct portfolio analysis
Provide Business Risk Officers with the tools and training to enforce the TPRF
Bachelor's degree in a related design field
Relevant Risk and Control experience in a corporate environment within financial services

Summer Internship Operational Risk Management Resume Examples & Samples

Assist in responding to identified issues, and creating project plans
Assist in managing the projects related to issue resolution
Assist in performing quality assurance testing
Strong written and verbal communication, analytical, problem solving, critical thinking skills
Highly organized; ability to prioritize time-sensitive assignments
Must be comfortable with ambiguity and have the ability to seek out required information to complete tasks
Ability to partner with multiple stakeholders with diverse objectives

Operational Risk Management Framework Resume Examples & Samples

Manage efforts to integrate various risk identification processes (Key Operational (KOR), Material Operational (MOR), Risk Appetite, MCA, etc.) and support projects related to technology applications supporting such
Partner with the Operational Risk Reporting team to identify requirements for, and implement standardized reporting
Assist program lead to drive consistency in KORs and KRIs to support aggregation at Segment and Citi levels
Analyze KOR and results data across businesses, using judgment to escalate issues, if any
Propose agenda and prepare, coordinate preparation of, all materials for the KOR governance forums in which key operational risks, status and trends are communicated
Meet with stakeholders to discuss new, or changes to, Standard/Procedures
Coordinate the monitoring and reporting of the Program’s status and results
Flexibly support other initiatives as needed and assigned
Knowledge of Operational Risk Management Policy, Key Operational Risk Procedures and MCA desired
Experience managing projects collaboratively
Experience managing technology requirements from a user perspective
Ability to manage a high workload and tight, firm deadlines in a dynamic work environment
Ability to offer guidance with the judgment to escalate as needed
Self-starter with a high level of initiative and ability to self-manage to deadlines
Excellent general computer skills including MS Office – Excel, Word and PowerPoint, including advanced skills for data manipulation in Excel

Operational Risk Management Framework Resume Examples & Samples

Experience managing technology and reporting requirements from a user perspective
Excellent general computer skills including MS Office – Excel, Word and Powerpoint, including advanced skills for data manipulation in Excel
10+ years of relevant industry experience

Business Operational Risk Management Resume Examples & Samples

Perform operational, compliance, internal control, technology and financial audits/targeted reviews. Prepare clear and well-organized audit workpapers that appropriately document the work performed. Write clear and meaningful risk comments and recommendations
Assist in the preparation of risk-based audit program analysis
Complete targeted risk review engagements, working within the parameters of the department’s annual plan using budget hours allocated by Management
Formulate appropriate conclusions regarding the adequacy of internal controls and procedures based on the work performed and knowledge of other operations in the business
Build technical knowledge of systems and data used by the departments
Interact with all levels of management and Company employees. Coordinate and convey review findings persuasively and confidently in meetings with management
Use automated software tools and stay abreast of current technology utilized by the team and the business
Perform special project and related duties, as assigned
Contribute to the preparation of audit report drafts and other written communications
Gain knowledge of the financial services industry and become familiar with the corporation’s products, operations, and technology and distribution systems. Update job knowledge by participating in educational opportunities, reading professional publications, maintaining personal networks, participating in professional organizations
GD *LI

Director, Operational Risk Management Resume Examples & Samples

Along with the AVP, Risk Management, the incumbent is a key resource in successfully managing a project leading to the operationalization of U.S.’s Operational Risk Management program, including but not limited to; loss data capture, operational risk event reporting & analysis, risk and control self-assessments, key risk indictors and the integration of these tools into our pre-existing risk management framework in support of progress towards compliance with OSFI’s E-21 guidance
Provides oversight of Model and End-User-Computing (MEUC) Risk Management, including Monitoring and Reporting Operational Risks on Model Risk
Monitors MEUC compliance across the US BG, assist first line in understanding the Policy, and review and challenge transition plans and extension requests prior to the US CRO's review and approval
Assists Corporate Model Risk Management (CMRM) with its Attestation Validation Program, Metrics Collection Exercise and other Corporate initiatives/requests
Reports compliance on a quarterly basis to the US CRO, US RMC and to the CMRM
Through knowledge of suppliers, processes and customer needs, leads the development of lean processes, efficient tools and effective reporting within both the SLF U.S. business and in support of our senior management forums
In partnership with corporate program owners and the target audience, the incumbent is responsible for developing and keeping current a training program for operational risk in U.S. that will continuously build our collective operational risk knowledge
Reviews and appropriately challenges SLF U.S. businesses through an operational risk lens
In collaboration with the risk management team continuously enhances the efficiency and effectiveness of second line challenge
Works directly with various functions such as finance, compliance, legal, actuarial etc. to ensure reliable and relevant communication and reporting to facilitate effective monitoring and challenge
Monitors business practices to ensure gaps/opportunities are identified, appropriately communicated and resolved in a timely manner
Thoroughly supports the SLF U.S. Risk Management team with all scheduled and adhoc deliverables
College degree with 8+ years of financial service industry experience and 3 or more years of risk management exposure including exposure to using and/or deploying operational risk tools and processes in a financial institution
Positive attitude, a natural willingness to support the team and a proven ability to develop and cultivate strong business relationships with suppliers and customers
Excellent communication skills (written, verbal, presentation)
Demonstrated ability to develop and execute innovative pragmatic solutions to complex problems
Successful experience interpreting policy or regulatory requirements that lead to the execution of effective processes that support compliance with the requirements

Risk Manager, Operational Risk Management Resume Examples & Samples

Providing reviews and challenging Non-Financial Risk (NFR) profiles
Establishing, enhancing and embedding an effective ORM framework and monitoring the implementation within areas of responsibility
Ensuring that the applicable operational risk strategic direction is consistent with the Global strategy as well as ensuring effective management and measurement to ensure processes are adopted
Developing policies and procedures concerning ORM to meet specific local regulatory requirements
Maintaining knowledge of industry trends and standards, risk management practices, legal and regulatory changes
Proven ORM and control experience in the first and second lines of defence with relevant experience in the design and implementation of ORM frameworks
Highly effective at time management, multi-tasking and prioritisation in order to meet agreed deadlines
Proven influencing and stakeholder management skills across senior levels in order to facilitate agreement on design and implementation
Able to share information, transferring knowledge and experience to team members and key stakeholders
Appreciation of the regulatory environment in the region and more broadly of the lead regulator perspectives on operational risk
Excellent Microsoft Office knowledge
Proficiency in English language (verbal and written), German (beneficial)

Operational Risk Management Resume Examples & Samples

Enhance risk governance within Unit by assisting UORM and Team Head of ORM in driving the Unit’s operational risk committee or equivalent forum
Facilitate implementation of corporate operational risk policies and standards within CB units via timely communication and coordination with unit compliance coordinators to ensure consistent understanding and effective implementation across CB units
Ensure proper implementation of Unit-specific operational risk policies and procedures via coordinating proper completion and validation of RCSA/ Gap Analysis/ KOR and perform quality review and validation. Monitor and track proper action plans are established to address any control gaps identified
Promote risk & control awareness within CBG, including conducting operational risk training via supporting the issuance of Control and Compliance Newsletter, organizing control and compliance related forum for CB staff and monitoring of training attendance to ensure proper completion
Share operational risk best practices within the Unit by providing support for the issuance of Newsletter and Control & Compliance Forum
Monitor timely completion of quality RCSA and provide guidance on the identification / assessment of risks and controls. Ensure proper issues and action plans arising from the RCSA are tracked to completion
Ensure timely reporting/escalating of risk events/significant incidents via communication of reporting requirements with respective units and regular tracking and monitoring and perform action tracking to ensure timely issue resolution
Review and validate risk events reported for factual accuracy, proper categorization of event, cause, effect, and monitor that proper action plans are established to correct and prevent event from recurring

Operational Risk Management Resume Examples & Samples

Enhance risk governance within Unit in driving the Unit’s operational risk committee or equivalent forum
Ensure implementation of corporate operational risk policies and standards within CB units via timely communication and coordination with unit compliance coordinators to ensure consistent understanding and effective implementation across CB units
Develop and ensure implementation of Unit-specific operational risk policies and procedures where relevant
Promote risk & control awareness within CBG, including conducting operational risk training via issuance of Control and Compliance Newsletter, Internal Control Staff Handbook, and organized control and compliance related forum for CB staff
Share operational risk best practices within the Unit via Newsletter and Control & Compliance Forum
Ensure timelycompletion of quality RCSA and provide guidance on the identification / assessment of risks and controls. Ensure proper issues and action plans arising from the RCSA are tracked to completion
Monitor timely reporting/escalating of risk events/significant incidents and perform action tracking to ensure timely issue resolution
Review and validate risk events reported for factual accuracy, proper categorization of event, cause, effect, and ensure that proper action plans are established to correct and prevent event from recurring

Global Head of Operational Risk Management Frameworks & Methodology Resume Examples & Samples

Support the development of a global operating model for operational risk across the organisation including a phased implementation plan
Lead development with the senior risk team of core operational risk frameworks and provide thought leadership on key requirements for embedding frameworks effectively
Provide independent oversight of 1st implementation and operational risk outputs
Support provisions (in coordination with the Risk Operations team) of relevant management information including the escalation of material issues to senior management, including materials for oversight committees
Provide follow up and tracking of material risk mitigation plans and actions
Support development of enhanced governance structures
Stakeholder management at all levels across the organisation including senior management
To establish and maintain highly effective working relationships with all key internal stakeholders for example the heads of the first line of defence teams and other second line of defence heads
Proven operational risk expertise including framework development and implementation
Understanding and experience developing an effective three lines of defence model
Excellent communication skills with the ability to communicate with other internal functions and senior management
Strong stakeholder management skills and ability to face off to senior peers and stakeholders
Strong analytical and problem solving skills with a hands-on mentality
Dedicated to maintaining high standards including attention to detail
Detailed knowledge and experience of working in the financial services sector
The ability to work independently and to tight deadlines

Operational Risk Management Resume Examples & Samples

Monitoring and assessing the effectiveness of risk mitigation tools including the internal controls framework
As needed, driving projects aimed at strengthening controls to enable better decision making about products and service offers
Focus on the anticipation, mitigation and recovery of Operational Risks in the Retail & Subsidiaries sector identifying areas of potential operational risk and working with the multi-disciplinary businesses and various partners in other control functions to mitigate those risks
Oversight effectively control, identify and monitor Key Processes, Risks and Controls driving consistency in content and quality
Select high value events for root-cause analysis and conduct deep dives of significant operational losses to determine sequence of events, control weaknesses, errors in judgment, policy or technical deficiencies
Oversight of Retail & Subsidiaries entities. Advice and challenge activities across the Operational Risk Activities that involves regular activities as Annual Risk Assessment, Risk Set Challenge, Outlier Challenge, tool support, MCA advisory, quarterly reviews, workshops, awareness, operational risk and frauds events
Independent Challenger. Lead reviews and deep dives on the Retail & Subsidiaries entities to have and independent opinion regarding Significant Inherent Risk, Main control, adequate Monitoring control as well as significant Residual Risks and emergent risks within an end to end environment
CPAC Committee. Advice, analyse and approved new product/services and functionalities in the Retail & Subsidiaries side
Scenario Analysis. Act as an independent challenger in the scenario analysis programs of the Retail & Subsidiaries business across the different phases
KORs/KRIs. Support Businesses in the quarterly updating of the information and global reporting of Retail & Subsidiaries KOR and KRIs. It includes a partnership the 1st. line of Defence who are the owner of the KOR/KRIS data
Working with Local and Global ORM teams to collaborate as member of their global committees
Communications with other lines of defence with the objective to improve the control environment of the assigned entities, it includes continues interaction with IA, Compliance, CSIS, Finance, Legal. Also with the Governance and Control Office who standardizes and prioritize control activities across Grupo Financiero Banamex
A robust understanding of financial products and processes across all of Citibanamex’ s businesses or understanding a bank as a whole organization, its main purposes, dependencies and environment. The below global functions processes will be advantageous
MBA or other advanced degree in Accounting Economics, Finance or related areas (not required but strongly preferred)
Fluent in Spanish and English - candidate must be able to write reports, make presentations and articulate them in a clear, concise manner in both languages

Operational Risk Management VP Resume Examples & Samples

Independently assessing risk, challenging both our historical and proposed practices and working as independent partners with our colleagues to improve our processes
Establishing and overseeing the application of operational risk policies
Focus on the anticipation, mitigation and recovery of Operational Risks in the (Global & Regional Entities) identifying areas of potential operational risk and working with the multi-disciplinary businesses and various partners in other control functions to mitigate those risks
Analyse operational risk data (losses, metrics or assessment results) and other sources of data/information to identify areas of excessive/high risk and also ensure past mitigations efforts are having the desired effect
Working with colleagues in the global ORM teams to align local practices and procedure to them
Make use of a solid understanding of a wide range of business and a network of business relationships. He/she will be viewed as a thought leader on operational risk management both in the firm and in the industry
Lead Risk Set challenges based on the criticality of each MCA or if a main concern raise prior to its schedule review
Oversight of (Global & Regional Entities). Advice and challenge activities across the Operational Risk Activities that involves regular activities as Annual Risk Assessment, Risk Set Challenge, Outlier Challenge, tool support, MCA advisory, quarterly reviews, workshops, awareness, operational risk and frauds events
Independent Challenger. Lead reviews and deep dives on the ( Global & Regional Entities)to have and independent opinion regarding Significant Inherent Risk, Main control, adequate Monitoring control as well as significant Residual Risks and emergent risks within an end to end environment
KORs/KRIs. Support Businesses in the quarterly updating of the information and global reporting of KOR and KRIs. It includes a partnership the 1st. line of Defence who are the owner of the KOR/KRIS data
Active participation in local and global ORM forums
Experience in Manager´s Control Assessment procedure or internal controls
Regulatory and Compliance Risk
Well versed in breaking down complex matters into core issues and root causes that can be more readily addressed. Proficient in developing new ideas to mitigate risk and improve current processes. Prioritizes high impact potential problems effectively
Analytical inquisitiveness and problem solving ability, and ability to ask insightful questions, break analytical challenges into workable components and draw meaningful conclusions

Business Operational Risk Management Resume Examples & Samples

The Senior Manager will be responsible for coordinating and supervising the daily activities of operational risk reviews of the business. Ensures that reviews are properly conducted and completed in accordance with the annual plan and follow-up work is performed when appropriate
Responsible for monitoring and analyzing risk processes and policies ensuring program is compatible with the enterprise risk management framework
Provides oversight of risk management for significant operational changes, system implementations, assesses impact, works with business units to plan for smooth transition, and evaluates and mitigates the risks associates with the change
Directly handles risk areas of a more complex or sensitive area. Applies appropriate procedures to the areas reviewed to ensure that key controls are designed, documented, regularly tested, and all significant risks are addressed
Tracks operational risk incidents for root cause trends and identifies external events for lessons learned opportunities
Actively participates in controls assurance planning. Helps to define project scope, time frame and review program for approval. Balances and completes several tasks areas simultaneously
Plan and supervise targeted risk review engagements, working within the parameters of the department's annual plan using budget hours allocated by Management
Formulates appropriate conclusions regarding the adequacy of internal controls and procedures based on the work performed and knowledge of other operations in the business
Prepares clear and well-organized review work papers that appropriately document the work performed. Writes clear and meaningful risk comments and recommendations
Interacts with all levels of management and Company employees. Coordinates and conveys review findings persuasively and confidently in meetings with management
Performs special project and related duties, as assigned
LI *GD

Operational Risk Management Resume Examples & Samples

Robust analytical and problem solving skills
High level of competency related to Microsoft product suite
Previous financial services or risk management experience
Database proficiency
Presentation and relationship building acumen
Banking related operational loss data experience
Experience writing policy or procedures

AVP, Operational Risk Management Resume Examples & Samples

4+ years of experience in financial services operational risk management or other closely related role
Bachelor’s degree in business administration, finance, accounting, or other relevant area
FRM, PRM, or CIA certification preferred; CISA certification a plus
Deep understanding of the investment industry, products, and markets in which Nuveen and its affiliates operate
Appropriate knowledge of financial services industry practices, internal controls and regulatory requirements
Solid understanding and experience with operational loss causes, measures and mitigation strategies
Firm understanding of key control concepts, operations processes, and risks affecting Nuveen’s businesses and product offerings
Broad experience assessing business processes, clearly articulating matters verbally, as well as in written and presentation formats
Familiarity with ORM platforms including RSA Archer desired
Expertise in spreadsheets, charts, and graphs (Excel), process mapping (Visio), presentations (PowerPoint)
Ability to design and implement project management / change management that successfully integrate risk measurement and evaluation methodologies
Strong analytical skills, including the ability to probe sensitive issues while maintaining the highest level of integrity and objectivity
Effective communication skills; successfully communicate complex issues and influence a wide variety of audiences at different levels of the organization and summarize details for senior leaders
Attention to detail and strong organizational skills, including the ability to manage several projects simultaneously
Collegial and cooperative approach; partner with others and develop strong working relationships with personnel across the Nuveen and TIAA organizations collaborating to achieve program objectives
Highly motivated and resourceful; successful working both independently and as a team member

Enterprise & Operational Risk Management Change Lead Resume Examples & Samples

Accountability to deliver strategic reporting platform for Enterprise and Operational Risk from business standpoint which complies with BCBS239 principles
Implement & manage a governance which helps to prioritize and deliver reporting requirements across the firm as per business priorities (such as RWA savings initiatives, regulatory initiatives, internal business strategy implementations)
Maintain delivery of reporting changes in legacy platforms until all the reports are migrated to strategic platform
Producing timely status updates, facilitation of steering committee, senior stakeholder management for the integrated reporting book of work
Work with IT to create a comprehensive and transparent view as to the workstreams/deliverables, issues and risks. Continuous and timely updates and where appropriate escalation if issues
Responsible to forecast, monitor and manage integrated market risk reporting budget for business
Act as the Lead Subject-Matter-Expert for regulatory and Enterprise and Operational risk agenda
Senior project management experience, in front office, risk management or associated functions
Exposure to end-to-end business process from data management, calculations and reporting
Strong understanding of IT infrastructure and architecture. Extensive system implementation experience
Global team and delivery management experience
University Graduate with good honors degree. MBA or equivalent post-graduation, FRM or CFA will be an added advantage
More than 12 years relevant work experience in Financial Institutions

Operational Risk Management Ccar SVP Resume Examples & Samples

Interpretation of regulatory expectations and industry best practices supporting capital planning through ownership of updates to Operational Risk work stream gap analyses for capital planning
Support identification of target state framework with increased integration of processes across central Operational Risk capital planning activities for CCAR/DFAST, Recovery and Resolution planning, etc. and BAU risk management processes
Prioritization of opportunities for Citi to remediate and enhance practices based on the above, working in close partnership with sub-work streams contributing to the Operational Risk work stream
Support the approval processes for CCAR/DFAST through review and recommendation of refinement, where appropriate, of approval requirements of sub-work streams contributing to the loss projection
Creation of clear, concise and insightful materials in support of Senior Management briefing packages to ensure business engagement and credible challenge requirements are met
Manage the process and author sections, as required, for CCAR/DFAST methodology documentation and create standardized materials for ICAAP, resolution, and recovery planning as required
Support the evolutionary development of risk ranking tools to determine Citi’s Material Operational Risks and mechanisms to select scenarios to include in the CCAR/DFAST forecast
Provide tactical support for the evolutionary development of Citi's Operational Risk Appetite framework
Participate in and provide ongoing support for audit and regulatory reviews and inquiries
Undergraduate degree (major in Economics, Finance, Engineering or other quantitative areas are preferred). Graduate degree strongly preferred
Five plus years of experience in the financial services or a heavily regulated industry; risk/business/finance experience preferred; prior work experience in management consulting, risk management or finance preferred. Prior experience with technical writing and/or client pitch books a strong plus. Knowledge of Banking/Regulatory rules a plus
Intellectual curiosity and interest in risk analysis

Operational Risk Management Framework Resume Examples & Samples

Review & update of Operational Risk Policies & Procedures and Divisional Standards
Support regulatory updates and submissions related to Operational Risk Framework
Support preparation of training material and delivery of Framework related trainings
Support enhancements to current operational risk reports
Support set up and periodic review of Risk Appetite
Incident Data Analysis and Reporting
Top Operational Risks related Review, Analysis & Reporting
Provide Guidance and Support on Control Activity Framework Roll out
Support tracking and closure of commitments assigned to FCAR (audit, regulatory, self-assessments)
Post Graduate with 5-6 years of work experience in a Global Bank or Big 4 audit firms
Strong analytical/technical background, paired with strong interpersonal & communication skillset
Demonstrated success in managing multiple priorities, delivering to established timelines, and to high quality standard
Independent, well structured, control and detail oriented working style
Be able to work autonomously in a global team setup
Advanced MS office skills (VBA knowledge preferable)
Risk Management / Operations / Control background

Assistant VP, Operational Risk Management Resume Examples & Samples

Facilitating the identification and evaluation of the organization’s key operational risks and controls, including assessing, reporting and validating remediation of operational risk exposure and related control gaps
Evaluating and where necessary, challenging, completed business operational risk self-assessments
Promoting a culture of risk transparency and business unit-level ownership and accountability over operational risk and control environments
Fostering continuous improvements to operating environments
Providing thoughtful and collaborative leadership and serve as the subject matter expert on operational risk initiatives
Organizing and evolving Oaktree’s operational risk framework and associated assessment methodology, approach and tools
Performing theme / trend analysis on recurring operational risk incidents for management’s evaluation and remediation
Facilitating discussions with business owners in the consideration of emerging operational risks (e.g., driven by changes in operating and regulatory environments)
Conducting interviews, creating working papers, etc., that support work performed and conclusions reached
Communicating the results of risk analysis via written reports and verbal presentations to management
Documenting and assessing operational breaches/risk events, consulting with business to develop appropriate controls/remediation plans, and monitoring implementation of agreed upon mitigation
Owning relationships with specified business managers to promote a culture of continuous improvement/operational risk management and driving constructive communication with the ORM team
Periodic benchmarking of the firm’s practices against those of peer firms
Pursuing professional development opportunities via professional associations and internal/external training; and
Performing various other tasks and projects, including Internal Audit related, as required
6-8 years of operational risk management, audit and/or related experience required; experience in the investment management industry preferred
Experience facilitating top-down, forward-looking operational risk assessments
Practical experience with Basel II/III, COSO, ERM, risk and control self-assessment tools and concepts
Proven capability in collecting and analyzing complex data, evaluating information and systems and drawing logical conclusions
Track record in planning and project management and in maintaining composure under pressure while meeting deadlines
Strong skills in resolving problems and negotiating issues
Highly organized and able to manage multiple projects with differing priorities to meet deadlines
Team-oriented, possessing strong integrity and professionalism and sharing in Oaktree’s common goal of excellence
Demonstrated ability in

Director Operational Risk Management Resume Examples & Samples

Responsible for overseeing Mutual of Omaha Bank's Operational Risk and ensuring that Operational Risk is proactively managed
Develop and manage the Enterprise Operational Risk framework and ensure it is implemented across the bank in partnership with operational risk and business executives
Ensures that sound Enterprise Risk Management principles in Mutual of Omaha's Bank align with enterprise risk appetite and tolerances
Collaborates with senior management to develop and administer a consistent, coordinated process to identify, assess, measure, and monitor bank operational risks
Responsible for coordinating the bank's operational risk committee agenda and for collaborating with compliance risk managers, credit risk managers, market risk managers and business unit to implement a bank risk framework, with the oversight of the bank's Enterprise Risk officer
Ensures that all operational risks relevant to the business are aggregated at an enterprise level and that business-line risk officers have mitigation and contingency plans in place
Ensures that the top enterprise operational risks are identified, assessed and that mitigation plans are monitored, and reported to all key stakeholders
Aggregates the level of operational risk across Mutual of Omaha Bank, quantifying the level of risk being assumed, and effectively identify and escalate operational risk matters appropriately to Senior Management, the bank's enterprise risk committee and the appropriate parent risk committee
Develops and monitor leading and lagging key risk indicators for operational risks. Implement checkpoints/limits as necessary
Establishes and manages processes for monitoring and reporting the effectiveness and strength of the risk control environment to stakeholders and recommend changes to the Chief Risk Officer, and other key stakeholders
Ensures that the operation risk framework remains both effective and is implemented effectively
When appropriate, promulgates operational risk policies and standards for approval by the proper governance body
Accountable for populating the operational risk information platform with bank operational risk information, and ensures that business areas are capturing risks, controls, testing data and operational losses into the system
Performs additional projects as directed
10+ years of financial services industry experience
5+ years of Enterprise Risk, Audit, or Operational Risk experience in a significant leadership role with proven ability to engage with Executive Management

Operational Risk Management Head Resume Examples & Samples

Determine the current state of controls readiness in the country, establish and chair, controls management processes that includes representation from all related functions e.g. Operational Risk, O&T Risk and Control Management, Finance, Compliance, Annual Risk Assessment. Discuss and identify the top franchise concerns/issues through various controls and risk forum
Participate Business Risk Control Committee meetings on a quarterly basis, provide transparency on a continuous and consolidated basis for significant Compliance and Control reporting
Proactively monitor risks and review issues and make recommendations to the businesses and control functions
Ensure to provide oversight in the implementation of operational risk management frame work
Work with the businesses, regional management and ORM when operational losses arise to understand the root causes and influence process changes to avoid re-occurrence
Lead ORM Deep Dives for the country
Enforce stronger governance in the implementation of operational risk framework, local regulatory issued policies and directives, and controls within the Franchise
MBA or advanced degree in Economics, Finance or related areas (not required but strongly preferred)
Solution-oriented, consensus builder, strong leadership, influencing and negotiation skills
Leading, or co-leading, all regulatory discussions
Strong analytical skills applicable across ICG & GCG businesses, products and customer classes
Both verbal and written

Manager Operational Risk Management Resume Examples & Samples

Support the development, rollout and ongoing oversight of the key components of the ORM Program
Play a role in supporting implementation of new ORM Program initiatives
Contribute to building a strong, collaborative relationship with Divisional Risk Functions and provide ongoing operational risk advisory services
Contribute to overall Operational Risk Management education, communication and reporting
Knowledge/Skills/Competencies/Education
Broad knowledge of financial services/insurance business and related products
Relevant experience in managing risk in a business or functional area
Preferred 3-5 years of experience in operational risk management or a highly related field which may include roles in operations management, finance, third party risk, fraud, legal, audit, compliance, risk consulting etc
Strong influencing skills with the ability to build effective relationships, both within and across divisions
Excellent analytical and problem solving skills with ability to think strategically – an innovative mindset
Excellent collaborative team player in an increasingly agile project structure work environment

Director, Operational Risk Management Resume Examples & Samples

Defines points of focus for Risk and Control Self Assessments (RCSAs), aligns the right resources to complete RCSAs and facilitates insightful risk management conversations
Applies sound judgment in the evaluation of risks and controls. Effectively challenges adequacy of controls
Advises Corporate Functions on the development and implementation of action plans to address control gaps
Promotes and builds strong risk management culture in the Corporate Functions through strong engagement and relationship building with senior management
Proactively partners with Risk Management counterparts to identify risk management processes with enterprise-wide implications and effective methods to evaluate control effectiveness
Assists senior leaders with preparation of materials for Operational Risk Committees
Risk management and/or audit experience
Familiarity with the principles of Basel II, Sarbanes-Oxley and COSO
Superior relationship management skills with the ability to partner and build professional relationships in a cross-functional environment
Proactive, driven professional with the ability to operate effectively from the conceptual stage through to successful implementation
Uses strong influencing skills with technical risk management expertise to achieve objectives
Excellent listening and communication skills
Applies sound judgment in determining when to escalate risk issues
Adaptability and flexibility to work effectively with a diverse portfolio of people, processes and functions
Business and financial literacy
Works independently and delivers high quality outputs
Clear and effective writing skills
Experience working under Federal Reserve Board supervision a plus

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