Operational Risk Manager Resume Samples

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G Waelchi

Gabriel

Waelchi

958 Osinski Plains

Philadelphia

+1 (555) 100 1398

958 Osinski Plains

Philadelphia

Phone

p +1 (555) 100 1398

Experience Experience

San Francisco, CA

Operational Risk Manager

San Francisco, CA

Deckow Inc

San Francisco, CA

Operational Risk Manager

Assisting in the development of operational risk frameworks, a strong risk management culture and to be recognized for providing expert operational risk advice
Work on developing the Mumbai team and providing guidance in charting career development plan for the team
Work with the line and Vendor Risk Management to manage the Outside Service Provider program
Facilitation and oversight of the implementation of the Operational Risk Management Framework, including providing insight to the Board on the ORMF
Develops and documents engagement plans, testing workpapers, findings and issues, engagement reports, and other work products with quality and within deadlines
In a manager role, effectively leads and develops others; provides candid and honest feedback on an on-going basis
Work closely with the Model Development organization to develop or enhance loss forecasting modeling capabilities

Houston, TX

Business Operational Risk Manager

Houston, TX

Leffler Group

Houston, TX

Business Operational Risk Manager

Proactively identifying operational risks and assessing the adequacy of controls to manage such risks, including recommending enhanced or additional controls
Working with support areas such as operations, finance, settlements, risk management and technology in ensuring a high level of control is maintained
Proactive in identifying and following up on anomalies / areas of concern
Implementing operational risk frameworks and a strong risk management culture providing expert operational risk advice
To work with support areas such as compliance, finance, settlements, risk, IT in ensuring businesses are operating in a controlled manner
Assists in the execution and monitoring of risk management practices, operational issues and control breakdowns in MOD Manila
Design and complete control assurance testing on critical controls and present result to senior management

present

Philadelphia, PA

VP, Operational Risk Manager

Philadelphia, PA

Jerde, Jacobi and Simonis

present

Philadelphia, PA

VP, Operational Risk Manager

present

Independently review, challenge and support risk management activities
Facilitate the Risk & Control Self-Assessment (RCSA) process
Coordinate, organize and facilitate the risk trends happening across the respective BU
In response to material risk events, whether internal or external, conduct independent deep dive reviews and assessments to determine root cause(s), assess control environment, escalate issues and identify/monitor remedial actions to mitigate against the risk of future losses
Support reporting and monitoring of metrics and Key Risk Indicators (KRI) at the product line and divisional levels; continuously improve existing body of KRI and related reporting
Consult with internal groups such as Firm Operational Risk, Enterprise Operational Risk Control, Compliance, Legal, and other Operations teams on matters related to risk controls, self-assessments, incidents and infrastructure projects
Coordination of efforts to address questions and other requests during exams and audits

Education Education

Bachelor’s Degree in Business

Ball State University

Bachelor’s Degree in Business

Skills Skills

Self-starter with strong initiative and sense of ownership including the ability to work under own direction and be accountable for deliverables
Strong relationship management with the ability to develop strong partnerships across the organization, diffuse conflict and work toward agreement
Strong desktop/PC skills, including strong knowledge of MS suite of applications, particularly PowerPoint and Excel
Strong knowledge of the Consumer Credit Card business and applicable rules, regulations and processes
Strong adaptability & Attention to details
Basic understanding of SAS, VBA, SharePoint. Strong proficiency in Excel, Access, Power Point, and other MS products
Excellent communication skills, both verbal and written, inclusive of ability to distill complex relationships into clear, concise and actionable information
Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
Strong desktop/PC skills, including strong knowledge of MS suite of applications, particularly PowerPoint, Excel, and Project
Highly proficient in Excel/pivot tables and PowerPoint

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Operational Risk Manager Resume Examples & Samples

Strong experience in a financial services organization
Strong knowledge of Capital Markets products and business processes and best practices in operational risk management
Significant experience in internal control and risk oversight
Experienced in managing and balancing both enterprise and regional requirements as part of a regional team supporting a global mandate
Strong relationship-building, facilitation and team-building skills across all management levels
A collaborative and solution-oriented mind-set
Highly self-motivated with a strong sense of initiative
Ability to work under pressure and balance a diverse set of priorities

Operational Risk Manager Resume Examples & Samples

Undergraduate degree in Business, Finance or other related field (at minimum)
3 years of relevant experience in audit, compliance, SOX/FDICIA, business unit control testing within the Financial Industry
Canmanage ambiguity and bring focus with recommendations on solving tactical and strategic projects and deliverables
Strong communication and project management skills with the ability to speak up, downand across the business units and support service divisions
Ability to work in a fast paced environment, both independently and as part of a team, and undertight deadlines
Freely develops networks and canbuild consensus across impacted parties-Strong at identifying key control points within an end-to-endprocess and being able to provide an assessment of the preventative and detective controls
Experience in risk management, implementing an Advanced Measurement Approach ("AMA")framework, and knowledge of relevant SBL regulations (including Reg. B, Reg. T, Reg. U and Reg. W)
Able to manipulate and analyze data
Series7 and 24 is a plus

Operational Risk Manager Resume Examples & Samples

More than 5 years experience in a financial services organisation
Strong knowledge of Capital Markets products, business processes and best practices in operational risk management
Significant experience in operational risk management frameworks and best practice and strong knowledge of regulatory OR requirements
A collaborative and solution-oriented mindset

Operational Risk Manager Resume Examples & Samples

Maintain Policies and Procedures: work with CES Managers to ensure department policies and procedures are created, updated as necessary and maintained in a centralized file
Test CES business controls to enhance the Risk & Control Self-Assessment (RCSA)
Test CES procedures to ensure staff is adhering to roles and responsibilities; work with business owners to close any identified “gaps”; prepare management reports of test results and remediation efforts
Review daily exception reports covering system suppression setting changes
Perform external email review
Review and approve correspondence and communications with the public
Monitor, escalate and track Information Security events
Oversee entitlement provisioning and reviews to ensure proper access to firm and CES systems
RADAR Issue and Action Plan tracking and reporting Produce monthly, quarterly and ad hoc operational risk reports for senior management
RECAP operational risk incident submission and reporting
Provide guidance on Gifts and Non-Cash Compensation; maintain Gift Log
Ensure all individuals are properly registered for their positions, e.g. series 7, 24, 55, etc
Keep staff updated on regulatory issues and Firm requirements that could or will affect the businesses
Ensure proper handling of client and other sensitive information; provide training as necessary
Interact with Compliance and Internal Audit on business issues and risk remediation efforts
Business Continuity Planning: maintain business continuity plans and keep staff informed about changes to the plans
Ability to thoroughly investigate and problem solve
Ability to identify issues and trends in order to recommend comprehensive solutions and remedies
Ability to see an assignment through from conception to completion
Ability to organize and prioritize work and meet deadlines
Ability to produce senior management reports covering key risk issues, remediation efforts, gaps and analysis
Knowledge of SEC, NYSE, FINRA and familiarity with AML, BSA and OFAC programs
Knowledge of equity markets, order handling, regulatory reporting requirements preferred

Operational Risk Manager Resume Examples & Samples

A minimum of five years' experience in Retail Banking (Consumer Banking or Commercial Banking); including Operational Risk Management, Risk Management, Audit, Compliance or Control positions
Demonstrated relationship management skills with ability to deepen relationships and build partnerships across business units and key functional support areas
Demonstrated ability to influence a group of diverse stakeholders and drive accountability and ownership with key Business partners and process owners

Citi Markets Risk & Control Operational Risk Manager Resume Examples & Samples

Manage projects specific to certain sanctions work streams
Handle and complete ad hoc sanctions-related tasks that frequently arise with little or no notice
Gain the trust and confidence of and develop a rapport with the sanctions stakeholders
Understand the various markets and the applicable sanctions regulations that govern them
At least 5 years of securities/banking industry experience. Familiarity with institutional sales/trading preferred
Familiarity and/or experience with sanctions rules and regulations highly desirable, particularly with respect to sanctions programs administered by the U.S. Department of the Treasury’s Office of Foreign Assets Control
Experience in designing control programs and knowledge of operational risk management principles
Business knowledge, preferably in a banking, broker/dealer, technology and/or audit environment
Change Agent - Ability to drive change by working effectively with all levels of management in a high pressure environment; ability to review processes, identify issues, and recommend control enhancements to improve operating effectiveness and efficiency
Organizational Skills - Capable of juggling multiple tasks, recalibrating as priorities change; deadline and quality driven. Attention to detail with strong focus on accuracy of information
Organizational awareness - Knowledge of Citi Markets businesses, banking/financial services industry, risk and control assessment, technology, and/or audit processes highly desirable
General management skills – Self-directed; passion for excellence; able to work under pressure

ERM Operational Risk Manager Resume Examples & Samples

Supporting the ICG ERM North America Program ("the Program") by providing robust reporting and analysis by performing in a lead role to utilize data mining processes results so effective, consistent and value-added views can be provided to the ICG Products with the focus on proactively monitoring significant risks
Focus on building the Program's process to effectively and consistently meet quarterly Rating Validation and Challenge expectations per Citi's MCA Standards & Procedures
Assist with the area's objective to develop a robust Data Analysis process of the available Risk/Control assessment data
Focus on becoming a Subject Matter Expert (SME) and user of the Citi applications as a source to complete a regular analysis of the Risk/Control environment across the Citi Businesses (ICG / Consumer)
Perform a regular analysis of Global Business Issues, Loss events, MCA results, Audit/Exam results to produce robust analysis and work to identify negative trends that will lead to proactive recommendations to enhance the Business' control environment
Work with the MCA Program Management staff to assist with enhanced reporting objectives
Interact with business/function partners (e.g., In-Business Control, Operational Risk, O&T Risk & Control,etc) on operational risk and control matters in order to identify practical solutions to address control weaknesses and process deficiencies that are of concern to the business
Monitor and track the resolution of risk and control matters through the use of Corrective Action Plans ("CAP") and effectively escalating issues in a timely manner in accordance with Citi's Risk Policies and Procedures
Perform periodic analytical assessment of emerging risks/trends using available data
Provide guidance and training to the business in matters relating to testing and monitoring control effectiveness, and continuously optimize and improve the control/testing/MCA/KRI processes
Work closely with the regional/country Compliance and ERM teams on various initiatives, projects, system migration and any ad-hoc requests/deliverables from various sources
Lead and undertake targeted reviews of processes, including event investigation and write up
Remain abreast of legal and regulatory changes in order to ensure monitoring and testing practices are up-to-date with the regulatory environment
3-6 years in Banking and Securities Services with direct experience in a Control/ Audi/ Risk Management role would be preferred
Working understanding of risk framework definition and operations (e.g. Operational Risk management framework, Controls Self-Assessment, SOX 404 and 302, COSO ERM)
Experience in working pro-actively and autonomously while serving multiple internal key business partners and stakeholders
Knowledge and exposure across a range of Financial Markets businesses, products and processes (e.g. Retail Banking, Corporate & Investment Banking, Securities & Fixed Income Sales and Trading, Insurance and Wealth Management)
Clear communicator with stakeholder management experience
Strong verbal and written communication skills)
Analytical skills and attention to detail
Advance level of proficiency in MS office products: Word, PowerPoint,Excel (Pivot tables, use of formulas and functions, macros and reporting), MS Access (Data management, SQL, query and reporting building capability) and Visio (process documentation)
Essential
Bachelor's Degree or other professional qualification
High Desirable
Big 4 trained
Qualified ACA/CPS

TTS Trade Operational Risk Manager Resume Examples & Samples

5 to 8 years of operations risk or operations experience related to Trade
Knowledge of corporate, financial institution and middle market segments
Knowledge of credit, market and operational risk policies
Completion of advanced risk courses or equivalent
In-depth knowledge of key risk policies including credit, country and cross border
Excellent knowledge of Banking products, in particular Trade and Commodities Finance

Operational Risk Manager, WMA Resume Examples & Samples

Fluency in English required
Occasional travel between UBS offices may be required
A candidate with a background in management consultancy / advisory would be strongly preferred

IT Operational Risk Manager Switzerland Resume Examples & Samples

This role will face-off to the CIOs management team to provide updates on identification, assessment and status of department-wide operational risks. The key stakeholders are the CIOs/Heads of Function, COOs and their management teams. The ability to work with and report effectively to senior management is especially important
The successful applicant will need a variety of skills to ensure that the role is a success: excellent IT operational risk management skills, good knowledge of information security, an understanding of technical security requirements, and how to interlink risk and control frameworks. An sound understanding of risk assurance and basic audit principles is required, too
Strong organisation skills; the ability to network well and get on with people; solid experience with handling management information and metrics, demonstrable experience of designing and implementing process improvements, excellent influencing skills. Experience of globally recognized IT standards such as ITIL, COBIT, 6 Sigma would be an advantage
As this role is focused on Information Technology within a global Financial Services environment, candidates who come from this background will be able to add value to the team more swiftly. Globally recognized IT Risk certificates such as CISM, CRISK, CISA (ISACA) would be an advantage. This is not, however, a prerequisite. Training will be provided in the relevant regulatory aspects of IT Operational Risk and the appropriate tools and technologies
Process orientation and ability to spot control weakness
Strong interpersonal, analytical and documentation skills
Understands importance to comply to regulatory requirements, such as SOX, FSA, MAS, Finma, Basel III, etc
Business acumen, ideally in asset management
MS Excel data analysis skills and statistical knowledge of advantage
Verbal communication, writing and presentation skills
Experience of a project environment – able to help specify, test, implement and train individuals in self certification and metrics too

Operational Risk Manager Resume Examples & Samples

Development and ongoing management of the process, reporting, and controls for ensuring CCB complies with KYC obligations including definition of documentation standards for KYC and AML requirements and establishing processes to ensure compliance
Work with the various project teams to ensure effective transition to next generation controls for KYC/AML
Develop, document, and keep current the ongoing process to remedy customers that do not meet KYC standards
Develop and manage the standards for issue escalation, investigation, resolution and accountability
Build and manage all reports, data files, records and MIS/metrics to support the CCB KYC/AML
Implement and manage MIS and exception reporting to enable management oversight consistent with other
Bachelor’s degree required, Master’s degree preferred. (Business related, audit, & finance)
6 – 10 years of related experience
Regulatory, compliance and/or control experience important
Strong process management skills and organizational skills essential
Ability to probe into detail to get to root cause and define process changes to drive sustained resolution of issues
Ability to identify trends and proactively advise on impact
Experience with KYC and AML processes
Knowledge of Consumer and Commercial businesses
Must develop and maintain control processes for KYC and AML compliance, install and track and interpret metrics and results, and define and execute solutions to issues of non-compliance
Strong regulatory, compliance and/or control experience in a banking or operational environment, strong knowledge of regulations that can be interpreted and integrated into the CCB processes, proven management success in people and control management in an environment that is constantly changing, and a strong history of collaboration and team success across functions and business lines
Must have the ability to inspire trust, influence others, promote collaboration and motivate and building and maintaining relationships
Demonstrated ability to work with all levels of internal and external management and strong written and oral communication skills, interpersonal skills and presentation skills
Demonstrated history of successfully driving change and managing for results. Have the ability to deal with ambiguity and maintain course in the midst of significant changes. Ability to identify problems, assess impact/urgency and take appropriate actions

Operational Risk Manager Resume Examples & Samples

8 years experience in operational risk management
Strong analytic, logical reasoning, and problem solving, risk vs. reward skills
Must be able to work independently and set goals/prioritized focus and time management skills
Six Sigma or Strong project management skills
Effective ability to influence, drive change and resolve conflicts
Knowledge of Bank of America's various products and systems

Operational Risk Manager Resume Examples & Samples

Independently oversee, advise, review and challenge the Front, Middle and Back Office in various risk management activities, from both a regional perspective and in conjunction with the Global OR team
Assist, review and challenge, and provide quality assurance of the PBWM Risk & Control Self Assessments (RCSA) in accordance with the RCSA policy established by the Firm
Provide review and challenge of internal incidents reported to OR to determine root cause(s), assess existing control design and operation, identify issues and monitor remedial actions that mitigate the risk of occurrence of future losses, in accordance with the Incident Collation policy established by the firm
In response to material OR incidents, providing independent assessment on whether Loss Investigation Reviews and reviews of selected external incidents have been conducted and concluded adequately
Participate in major OR remediation projects (and cross-divisional projects as required) to address issues in the risk and control environment
Attend regular business partnership meetings to facilitate the identification, assessment, escalation and mitigation of Operational Risks and to continuously evaluate and improve the control issues
Provide training to the front office and ShS areas on the individual components of the OR framework
At least 7+ years experience in an investment banking/broker dealer environment
Familiarity with the US regulatory landscape and applicable rules/regs is desirable
Prior exposure to OR methodologies and/or risk management concepts is preferable but not required
Ability to think independently and present views in an objective and credible manner while maintaining excellent relationships with OR stakeholders
Demonstrated success in managing multiple priorities, delivering to established timelines, and to high quality standards
Outstanding interpersonal and communication skills and willingness to collaborate with others
Sufficient understanding or experience working in Private Banking businesses from a front to back perspective
LI-SL1*

Operational Risk Manager Resume Examples & Samples

ShS functions meeting the requirements of the CS bank-wide Operational Risk Framework
ShS Top Operational Risks transparent and consistently managed across the functions with regular read-across work performed
Provide a challenge and Quality Assurance on the Risk and Control Self Assessments (RCSA)
Understanding of the key specific ShS areas’ risks and delivery of messages to the appropriate stakeholders
Quality assured framework with regular monitoring
Ability to articulate complex operational risk issues in a structured, targeted and impactful manner to senior management. In addition, the ability to enhance senior management's understanding and influence their decision making
Proven ability to build and maintain effective working relationships across diverse functions and at differewnt levels of an organisation
Excellent communication, interpersonal, team working, stakeholder management and organisational skills
Ability to demonstrate a track record of decisiveness and sound judgement
Educated to Degree level
Understanding of conduct risk management and how regulatory, political, reputational and environmental risk issues impact a complex financial services business

Operational Risk Manager Team Lead Resume Examples & Samples

Manage the quality assurance team within Markets to identify issues and recommend corrective actions relating to Dodd-Frank compliance requirements
Provide periodic program/status updates to the Markets Dodd-Frank Control Steering Committee
Ensure a proactive approach to risk identification and mitigation activities and provide timely communication / escalation of results
Ensure compliance with internal policies, procedures and Firm/regulatory requirements
Build strong internal relationships and help strengthen controls and awareness across Global Businesses
Bachelor’s degree in Business Administration, Economics, Finance, Accounting or Computer Science
Knowledge of Dodd-Frank Compliance requirements and audit / control / compliance skills
Strong knowledge of controls, testing and compliance/regulatory principles
Strong knowledge of MS suite of applications, including Excel, PowerPoint
Business knowledge, preferably in Markets or other banking, broker/dealer, operational risk, compliance and/or audit environment
Ability to review business processes, identify deficiencies, enhance quality control and improve efficiencies
Must be articulate, persuasive and possess the ability to interact effectively with senior management and key stakeholders
Strong organizational leadership and influencing skills; Capable of prioritizing and multi-tasking in a dynamic environment
Must be able to work in a team environment and be open to change and different ideas/viewpoints
Strong problem solving and analytical skills

Operational Risk Manager Resume Examples & Samples

Bachelor degree or better
7-10 years of experience related to Operational Risk, in management and execution roles in operations functions and in control functions, eg Internal Audit, Enterprise Risk Management
Experience with Operational Risk Management and related concepts, eg IT security, model risk, vendor management, internal and external fraud
Strong project management discipline and demonstrated success overseeing multiple projects to completion
Well - developed listening skills with a well-tuned ability to summarize, quickly identify key points and provide feedback effectively
Ability to quickly build relationships with all levels of the business, but especially at senior executive levels
Hands-on experience effectively utilizing one of the leading GRC solutions - preferably Archer eGRC
Strong proficiency in Microsoft Office suite

Operational Risk Manager Resume Examples & Samples

Very strong operational risk management experience, specifically operational risk design and internal control experience
Very strong knowledge of FDICIA, Basel and SOX standards and implementing an operational risk framework
Understand both the qualitative and quantitative methodologies of operational risk management and measurement
Experience with developing policies that outline the bank’s approach to identifying, assessing, monitoring, controlling and mitigating operational risk
Proficiency in working with the Citi Risk application, including Events Data Capture System and Management Interface
Strong pro-active team player, ability to work with team members and ability to handle multiple workstreams and ad-hoc tasks simultaneously
Proficient with MS Excel, Word and PowerPoint experience, in order to build and implemente operational risk management reports

VP, Operational Risk Manager Resume Examples & Samples

Independently review, challenge and support risk management activities
Identify operational risks and emerging trends, through analysis of assessment results, key risk indicators and risk event data. Escalate material operational risk issues and incidents to relevant functional management and/or the relevant committees as appropriate. Evaluate the effectiveness of risk mitigation projects and corrective actions
Coordinate, organize and facilitate the risk trends happening across the respective BU
Support reporting and monitoring of metrics and Key Risk Indicators (KRI) at the product line and divisional levels; continuously improve existing body of KRI and related reporting
Participate in topical or ad-hoc risk/control projects, as needed
7-10 years financial services experience in control function such as op risk, compliance, or audit
Excellent writing and verbal communication skills; presentation skills
Bachelor's degree or equivalent in related field

Operational Risk Manager Resume Examples & Samples

Ensure compliance with the Operational Risk Framework (ORF 2.0)
Facilitate the quarterly Internal Control Assessment process (ICAP) for all Group Finance functions
Serve as guardians of Group Finance's control framework
Promote Operational Risk governance within the product control function
LI-AC1

Operational Risk Manager Resume Examples & Samples

Bachelors Degree or equivalent experience
2 to 5 years in direct managerial role in a production or operational environment
Preferred additional risk management experience in retail banking
Strong investigative, analytical and problem-solving skills
Effective planning and organizational skills
Set appropriate performance management metrics for operations staff; hold self and team accountable for delivering of results
Experience in creating and implementing processes across AML/BSA related groups
Collaborate with site and business management in addressing identified opportunities through projects and initiatives

Citi Private Bank Operational Risk Manager Resume Examples & Samples

Maintaining an enterprise-wide assessment of the most significant, current, and emerging operational risks to business activities, and ensuring appropriate actions are in place to mitigate these risks
Identifying, anticipating, measuring, mitigating and reporting Citi’s operational risk exposure, and
Determining operational risk capital requirements and allocations
Take a proactive, forward thinking approach to identifying, mitigating and managing operational risk
Develop and use leading indicators, metrics and data to identify areas of potential and emerging risk
Ability to connect the dots to form a complete op risk profile so as to develop a strategic direction for mitigating op risk in the CPB
When losses do occur, ensure root cause analyses of significant operational loss events are performed to identify control failures or other issues; partner with business on implementing corrective actions
Use root cause analysis to drive solutions to control failures or issues so as to avoid future potential losses
Perform independent, effective challenge and oversight of business execution against Operational Risk Management procedures, including the Manager’s Control Assessment (MCA) and Annual Risk Assessment (ARA)
Drives operational risk agenda for CPB Business Risk and Control Committee meetings (BRCC’s); participates in Product Approval Committee meetings
Provides oversight and guidance for Operational Risk policy and processes in the business, including communication to business and risk partners
Facilitates accurate and timely reporting of operational risks and related metrics as per policy, (e.g., losses, impact on capital) to senior management and as needed, regulators and the Citi Board of Directors
Oversees the business’ implementation of the Advanced Measurement Approach (AMA) Business Environment, Control Factor (BEICF) framework and scenario analysis methodology
Facilitates adherence to specific regulatory requirements in Citi Private Bank, including BASEL
Oversees the Operational Risk Capital process and reports on the impact of Operational Risk events on the business
Works with colleagues across Citi to build anticipatory analyses to identify emerging potential internal and external operational risks leveraging knowledge of the current economic, regulatory and business environment
Leading a small team, works closely with regional ORM staff, in-business risk officers and senior business managers to identify and escalate potential operational risk concerns
Carries highest level of personal and professional ethics and demonstrates exceptional personal commitment to improving the business
Undergraduate degree (majors in Economics, Finance, Statistics or related areas are preferred); MBA or other advanced degree in Economics, Finance or related areas (not required but strongly preferred)
Proficient in developing new ideas to mitigate risk and improve current processes. Prioritizes high impact potential problems effectively
Can clearly articulate how risk technology supports unit’s business, as well as the issues due to gaps between the current technology and known business requirements
Ability to manage issues associated with operational risk capital, in partnership with the business and the Risk organization
Provides well-reasoned, balanced assessments of risk/return trade-offs
Willingness and ability to challenge the status quo and business as usual processes to promote improvements/ enhancements that will mitigate risk
Maintains excellent working relationships with Internal Audit (IA)
Travel as needed, up to 25% of the time, domestically and internationally

Operational Risk Manager Resume Examples & Samples

Independent oversight, review and challenge of IB aligned business activities front to back, in partnership with the relevant shared services functions and front office management
Working closely with regional management to ensure an appropriate operational risk lens is applied and agenda pursued alongside regional initiatives (e.g. Legal Entity etc.)
Extensive experience in an investment banking (securities) environment, ideally in a line role (risk, product control, operations, COO, etc.)
The ideal candidate will have first-hand experience of supporting IB businesses (products, business lines etc.)
Strong communicator, able to interact at senior levels in a credible fashion
Strong interpersonal / team skills, able to illustrate an ability to work collaboratively across global teams in both a formal and virtual capacity (e.g. pulling different groups together outside of function)
Familiarity and prior interaction with regulators in the Asia Pacific region is beneficial

Operational Risk Manager KYC / AML Resume Examples & Samples

Interface with the CPB NAM businesses and provide guidance/training to ensure the effective management of AML/KYC risks and adherence to policies and procedures
Manage oversight and reporting of on-going AML/KYC requirements, including periodic KYC reviews and exceptions. Provide support to Banking teams in resolving outstanding issues
Coordinate annual client reviews, including Senior Public Figures, High Risk Clients and Russian Clients
Participate in OneSource technology developments/changes to ensure adherence to AML/KYC requirements and controls, including system change requests and UAT testing
Assist with the preparation of deliverables requested by ARR and the Regulators
Interface with ARR and CER when necessary
Lead AML/KYC related and other control related projects and initiatives
Good understanding of risks and controls
Strong organizational and analytical skills
Ability to work in a complex environment and meet aggressive deliverables and deadlines
Ability to assimilate complex information and quickly gain a clear understanding
Identify potential control issues and implement appropriate solutions
5 + years operational risk management, Audit, Compliance or other control function

Operational Risk Manager & Singapore RRM Location Head Resume Examples & Samples

Supervisory oversight of the Risk and Regulatory Management team based in Singapore and being the key lead / contact to partner the local and regional Group Operations Management leads in their responsibilities and accountabilities as they relate to risk
Being the key lead / contact to partner the Business Partner Head Wealth Management APAC in his responsibilities and accountabilities as they relate to risk
Being the key lead / face off to Global Risk and Regulatory Management Risk and Governance Team for Risk and Regulatory Management APAC
Facilitation of regular structured reviews of the adequacy of Key Procedural Controls and consistency of their adoption, the Procedural Control environment and implementation of and adherence to the Group Operations Risk Framework as it relates to location Singapore or Service Lines Client and Credit Facilitation, Client and Tax Reporting and Core Banking within Group Operations APAC
Challenge and drive required remediation and decision making, validate the remediation and closure of significant issues (self identified, internal or external audit or regulatory), provide ad-hoc advisory and consultation on all aspects of the control framework and its implementation, identify and lead periodic deep dives to investigate and assess areas of heightened concern and share risk experiences across APAC
Coordinate the Internal Control Assessment Process, write an independent quarterly risk assessment and half yearly assessment summary and provide a framework for the summary commentary on results to facilitate Senior Management reviews
Drive the setting and facilitate the monitoring of appropriate risk tolerance, provide independent monthly risk assessment to highlight areas of focus and engage in sub functional risk meeting to keep appraised and engaged
Pro-active stakeholder management of Operational Risk Control, Group Internal Audit, External Auditors or Regulators by engaging in kick off, scoping, field work consultation, issue ratification and remediation validation
Possess a Bachelors/Masters degree with 15 years of relevant experience, preferably spanning across Wealth Management and Investment Banking
Possess strong analytical ability, interpersonal and communcation skills as well as ability to exercise sound judgement and the tenacity to deal with conflicts
Able to constructively engage a diverse range of stakeholders to achieve the desired outcomes
The right motivation – fierce commitment to excel in the pursuit of unselfish goals
Curiosity – penchant for seeking out new experiences, knowledge and candid feedback and an openness to learning and change
Insight – ability to gather and make sense of information that suggest new possibilities
Engagement – knack for using emotion and logic to communicate a persuasive vision and connect with people
Determination – wherewithal to fight for difficult goals despite challenges and to bounce back from adversity

VP, Citimortgage Operational Risk Manager Resume Examples & Samples

Implements the RCA framework for operational risk management in partnership with CitiMortgage stakeholders
Based on RCA outcomes, provides risk mitigation recommendations and ongoing oversight to CitiMortgage and/or the assigned businesses within the Segment
Maintains documentation on RCA activities and outcomes
Promotes a strong culture of control awareness and risk mitigation in all dealings with the business and additional risk partners (e.g. ERM and IR)
Identify and quantify key operational risk breakdowns within CitiMortgage
Manages projects, analyzes processes & controls, and manages data quality. Determines root cause for operational gaps/breaks and works to interprets results of the root cause analysis process and to assist in remediation planning
Anticipates and responds to client needs and assist operations teams with root cause analysis
Minimum of 6 -10 years of operational process management. Previous track record that demonstrates successful process risk management experiences including working on cross functional, strategic initiatives and root cause analysis
Ability to coordinate and manage across various business segments and technology disciplines

Operational Risk Manager Resume Examples & Samples

3+ years of relevant experience in audit, compliance, SOX/FDICIA, business unit control testing within the Financial Industry
Can manage ambiguity and bring focus with recommendations on solving tactical and strategic projects and deliverables
Strong communication and project management skills wtih the ability to communicate effectively across the business units and support service divisions
Ability to work in a fast paced environment, both independently and as part of a team, under tight deadlines
Freely develops networks and can build consensus across impacted parties
Strong at identifying key control points within an end-to-end process and able to provide an assessment of the preventative and detective controls
Experience in risk management, implementing an Advanced Measurement Approach ("AMA") framework, and knowledge of relevant Information Security controls
Regulation W knowledge a plus

Operational Risk Manager Resume Examples & Samples

In response to material risk events, whether internal or external, conduct independent deep dive reviews and assessments to determine root cause(s), assess control environment, escalate issues and identify/monitor remedial actions to mitigate against the risk of future losses
Consult with internal groups such as Firm Operational Risk, Enterprise Operational Risk Control, Compliance, Legal, and other Operations teams on matters related to risk controls, self-assessments, incidents and infrastructure projects
Perform quality assurance and control reviews off client reporting document creation and delivery
Create and maintain front to back process flow
Validate security master updates for all products as they pertain to client reporting
Conduct vendor site visits, testing document creation, mailing and insertion
Conduct regression testing of all client reporting products associated with system releases
Govern & sign off on all CTB and RTB technical changes impacting prospectus
Certify business readiness periodically
Create, review and monitor reporting volumes to ensure that production delivery is in Good order
Robust understanding of Wealth Management Operations
Ability to manage multiple priorities and deliver to established timeframes
Ability to assert and influence across all organizational levels
Strong, interpersonal and communication skills
Bachelor?s degree or equivalent in related field

Corp Operational Risk Manager Resume Examples & Samples

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

Operational Risk Manager, Mortgage Servicing Resume Examples & Samples

Manages projects, analyzes processes & controls, and manages data quality. Evaluates risk and return measures/reports and interprets results
Possesses strong institutional knowledge. Knowledgeable about different markets, products, strategies, analytical tools, financial and risk databases and associated risks
Assesses the spectrum of risks and how those risks arise from all new product offerings for respective coverage groups
Identifies reputational risk and its operational /financial cause/effects. Manages situations that create risk and legal liabilities for Citi
Knowledgeable about risk systems infrastructure including key processes, coverage and data flows in order to identify risk effectively
Leads and coordinates focused or allocated resources for analyts/specialist groups
Develops goals and executes strategies within a department
Oversees and reviews credit recommendations (consumer, issuer, acquirer and vendor) and proposed by analysts’ recommendations to ensure appropriate risk management
In a manager role, effectively manages and develops others; provides candid and honest feedback on an on-going basis
In an individual contributor role, functions as a lead contributor with significant knowledge of area of specialization and significant exposure to broad department activities
Understands and reviews risk processes to ensure the execution of the documentation needed to protect the bank’s reputation and economic capital
Understands what constitutes events of default
Understands applicable US and local regulations, guidelines and practices
Institutes measures for strong control environment for business/product group
Takes a proactive approach in managing risk as appropriate
Manages control structure through effective use of the Risk Control Self Assessment
Understands the ARR process
Bachelors degree, Masters degree preferred
Minimum of 6 -10 years of operational or credit risk management. Previous track record that demonstrates successful operational or credit risk management experiences including working on cross functional, strategic initiatives
Strong leadership, interpersonal, influence, negotiation, organization & communication skills
Ability to coordinate and manage across various business segments and technology disciplines

Operational Risk Manager, Default Servicing Resume Examples & Samples

Possesses strong business technical knowledge. Knowledgeable about different default servicing disciplines, from Collections through REO
Knowledgeable about risk systems infrastructure including key processes, coverage and data flows in order to identify risk effectively
In an individual contributor role, functions as a lead contributor with significant knowledge of area of specialization and significant exposure to broad department activities
Strong leadership, interpersonal, influence, negotiation, organization & communication skills
Advanced proficiency with Microsoft Project, Excel, Word, PowerPoint, Outlook and Visio
Mortgage banking experience required in areas that align with assigned work stream coverage

Operational Risk Manager Resume Examples & Samples

Act as an alternate OR representative for manager at senior governance forums, including; attendance and OR input to coverage E2E / Business Infrastructure Committees, chairing coverage Incident Governance Forums; involvement in governance change forums
Lead the production and preparation of high quality materials, analysis and MI reporting in support of senior management meetings
Lead global coordination amongst ORM team colleagues to ensure global control and risk rating consistency
Complete review and challenge of incident root cause, KRS and proposed action plan(s) in preparation for weekly QA call
Conduct incident trend analysis and identify potential themes for internal discussion and potential escalation to the monthly KIH meeting
Prepare OR Capital Application documentation (including risk assessment and capital calculation inputs)

Operational Risk Manager Resume Examples & Samples

ACIB, LLB, CA/CPA, or equivalent designation
5+ years of experience in a regulatory compliance role or in external management consulting
Advanced knowledge in internal control, compliance, banking operations, and risk management

Operational Risk Manager Resume Examples & Samples

Implementation of risk management framework in line with Basel II AMA requirements within the group
Support the group in adhering and maintaining compliance with regulatory requirements and in effectively managing risks
Implement and manage the operational risk system on an ongoing basis
Ongoing maintenance of Operational Risk system and data quality
Operational Risk reporting and analytics
Projects and initiatives (Development and implementation of Group wide initiatives
Possess a minimum of 5 years core expertise within Operational Risk gained with a leading bank/ financial services firm
Have previous experience technically in terms of implementing and managing systems
GCC experience is preferred but not essential, and candidates based in the leading financial markets will be considered. A competitive tax free package will be on offer

Operational Risk Manager Resume Examples & Samples

Possess a minimum of 2 years core expertise within Operational Risk gained from a leading Asset Manager or from working in the Asset Management team in a leading bank
Custody / funds management exposure from an Operational Risk perspective
GCC experience is not essential, and candidates based in the leading financial markets will be considered. A competitive tax free package will be on offer

IB Operational Risk Manager Resume Examples & Samples

Independent oversight, review and challenge of all Americas Equity aligned business activities front to back, in partnership with the relevant shared services functions and front office management
Assist, review and challenge and provide quality assurance for the Equities Risk and Control Self-Assessment (RCSA) process in the region partnering with ORM regionally and globally
Partnership with ORM regionally and globally to ensure consistent deployment and implementation of the evolving operational risk framework and input into global initiatives
Responding to regulatory enquiries

Operational Risk Manager Resume Examples & Samples

Exposure to control environment and processes via Operational Risk, Operations or External Audit experience
Broad knowledge and understanding of the financial services industry would be desirable
Ability to manage and prioritise multiple tasks
Ability to make high level judgments and work closely with management
Ability to independently analyse processes/ issues and not accept at face value
Ability to write/ present clear and concise reports
Ability to identify gaps in controls and opportunities to improve risk framework
Ability to prioritise and manage multiple and competing deadlines
Relevant post graduate qualifications desirable
Operations experience desirable

Operational Risk Manager Resume Examples & Samples

Understand risk profile and key business processes particularly in our American funds management businesses and where appropriate act as a catalyst for change
Review and challenge business risk reporting, assessments, incidents, key risk indicators, projects and assurance activities
Review new business initiatives
Ownership of key elements of the group wide ORMF
Be a source of advice and quality control on the implementation of the ORMF, both in the funds management business and across the Group more broadly
Provide training and awareness of key risk management policies
Respond to requests from various stakeholders including regulators, auditors and Macquarie senior management
Ad-hoc projects as required by management

Operational Risk Manager Resume Examples & Samples

Project management leadership for large scale initiatives – a minimum of 5 years preferred
Experience with prior initiatives requiring larger scale staffing deployment
Experience with identification of training / readiness needs and aligning resources to execute planned readiness programs
Experience with offshore initiatives and/or vendor management
Ability to create detailed project plans and executive summary presentations to report out on status
Ability to interact and influence middle to senior management levels

Operational Risk Manager Resume Examples & Samples

Conducting targeted operational risk reviews
Performing control assurance across all critical controls
Conducting periodic operational risk self assessments with key business areas
Provide advice to senior management and project committees on product, process or control changes along with approval requirements
Developing, implementing and updating of policies, procedures and systems; and

Operational Risk Manager Resume Examples & Samples

Working with colleagues in the global Operational Risk team and in other parts of Citigroup, the Operational Risk Manager is also expected to take the lead on
Risk Identification, Assessment and Analysis for Global projects
Communicate and share analyses regularly with ORM colleagues, Risk seniors, business and other control functions
Undergraduate degree (majors in in Economics, Finance or other quantative areas are preferred, but different majors are also of interest if other experience demonstrates analytical skills)
Professional accounting qualification (ACA, CIMA, CPA or equivalent) would be helpful but not necessary
Knowledge of financial markets products and services; extensive work experience
Excellent communication skill, both verbal and written
Ability to collaborate with and lead others to achieve objectives: knows how to lead through influence (rather than command/control), build project teams that optimally leverage other people's skills and expertise, communicate effectively with senior management, build effective business relationships
Good at brainstorming; can conceptualize new approaches quickly
Can communicate complex ideas simply and compellingly
Drive and determination – high energy level, but dispassionate and independent
Ability to deliver practical results

Operational Risk Manager Resume Examples & Samples

Previous Operational Risk experience - ideally within a Global Markets or Middle Office environment - FX, Fixed Income, Rates & Commodities
Strong organisation and communication skills - both written and verbal
The ability to engage stakeholders and build meaningful relationships
The ability to meet tight deadlines, effectively project manage and deliver as per expectation

Operational Risk Manager Resume Examples & Samples

Develop a good relationship with one or more PBWM business areas or locations including major ShS functions, supporting the Director lead
Understand the business strategy, products, risks and controls for the businesses supported, with a clear understanding of the front-to-back processes
Lead/participate in major OpRisk remediation projects to address control issues

Operational Risk Manager Resume Examples & Samples

Develop a good relationship with one or more Private Banking Wealth Management business areas or locations including major ShS functions, supporting the Director lead
Contribute to Operational Risk Management PBWM deliveries to regional / local risk management committees and key projects
Significant involvement in ‘Loss Investigation Reviews’ for relevant Private Banking APAC PB Wealth Management businesses
Challenging role in determining all relevant sources like risk reports, internal audit reports, regulatory reports, losses or key risk indicator data to conclude on residual operational risks and trends

Operational Risk Manager Resume Examples & Samples

Leads annual and quarterly Managers Control Assessment (MCA) self-assessments and completion of all Control related assessments on behalf of the business process owner
Ensures new or modified products are reviewed through the appropriate governance routines and launched with adequate controls which can be monitored and reported
Ensures internal reviews and external examinations are well managed with clearly evidenced controls
Provides imbedded support of assigned business area / 1-Down by attending and participating in business meeting
Routines to provide Control related updates to the team and to learn about any new initiatives that ORM would need to support
Proactively identifies emerging risks and assists the business process owner with resolving control gaps and issues and helps to create quality corrective action plans, including understanding root cause of the issue
Assists with executing key policies – ORM, Records Management, Supplier Risk Management, Business Continuity, ensuring self-identified issues are communicated and resolved timely
Resolves Key Risk and Control Indicator breaches with the process owner
5+ years of direct, relevant experience in financial services, with enhanced knowledge of the business to be
Supported
3+ years Project management and governance experience with demonstrated ability to achieve critical milestones
Ability to foster strong working relationships with people across multiple lines of business and with support organizations

Operational Risk Manager VP Resume Examples & Samples

Enhancing the organisation/governance set-up and control processes
Improving the control frameworks and reporting methodology and processes
Advancing infrastructure and tools relating to internal controls
Implementing a consistent control framework across business divisions and infrastructure functions (also aligned the culture initiatives of the bank)
Supporting the build-out of Group-wide standards for internal control systems across the Bank
Supporting the design and build-out of the Target Control Operating Models and interaction models across the Bank
Supporting the Director on tracking ongoing progress and reporting on the programme modules under their supervision and any function for which they are the Relationship Manager
Preparing and agreeing proposals and key presentation material for stakeholder meetings and workshops
Preparing, facilitating and following up on meetings relevant to the programme
A strong background in risk management (e.g. Operational Risk, Compliance, Audit and/or Governance)
Strong knowledge of the international regulatory environment with particular expertise in designing and implementing risk and controls frameworks
A strong understanding of business processes and procedures in a global investment bank, with experience of working in Finance or an Audit function
Experience in conducting research and data collection, completing analysis, identifying issues, forming hypothesis and presenting findings to senior clients
Experience in the development of strategic solutions with an understanding of their feasibility

Operational Risk Manager Resume Examples & Samples

Working with the Directors and Executive management in further developing the firm's approach to risk management commensurate with the business' scale and complexity, and regulatory expectations
Providing subject matter expertise in respect of key risk framework components, including: Risk Appetite and Key Risk Indicators, Emerging Risk Identification, and Stress and Scenario Testing
Strengthening and operating the firm's governance arrangements in respect of risk and capital data
Developing and coordinating a robust, firm-wide risk oversight programme which provides relevant and timely information on the overall risk position
Ensuring that the firm's risk management approach continues to accord with current and emerging regulatory expectations and planning and delivering any development work necessary to enhance the approach
Preparing regular risk reports, management information and other papers on the firm's risk profile as required for Legal Entity Boards, Board and Management Committees
Providing thought leadership in respect of specific risk management methodologies, tools or techniques
Degree qualified (or equivalent) with extensive finance, risk, controls or audit experience, ideally in financial services environment
Good knowledge of risk management techniques and methodologies
Knowledge and appreciation of the financial services industry including regulatory developments in respect of risk management
Good commercial awareness in respect of the life insurance and asset management industries
Good understanding of Solvency II and other relevant regulatory requirements
Experience in developing or applying a firm wide risk management programme within a large commercial organisation
Strong communication and influencing skills with an ability to build and maintain relationships at senior level
Tenacity and personally resilient
Excellent report writing, presentational and facilitation skills
Effective at working independently as well as in collaboration with others

Operational Risk Manager Resume Examples & Samples

BA degree in related field or equivalent operational experience
10+ years of audit experience or equivalent required. 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
In-depth knowledge and hands-on experience with internal controls, business processes and operational risk management
Highly refined analytical, communication, facilitation skills, strategic thinking, project management, negotiation and leadership abilities
Knowledge of current changes and developments in the industry, regulatory environment and operational risk management.

Operational Risk Manager Resume Examples & Samples

Assist, review, challenge and provide quality assurance for the Prime Services Risk and Control Self-Assessment (RCSA) process at the sub-unit and entity level partnering with Operation Risk Manager regionally and globally
Incident reviews, thematic reviews and business reviews as required throughout the year with clear descriptions, recommendations and read across to lessons learned for all business lines
Facilitate training as required to Prime Services staff, Shared Services etc

IB Operational Risk Manager Resume Examples & Samples

Independent oversight, review and challenge of FID aligned business activities front to back, in partnership with the relevant shared services functions and front office management
Assist, review and challenge and provide quality assurance for the FID Risk and Control Self-Assessment (RCSA) process in the region partnering with ORM regionally and globally
Partnership with ORM regionally and globally to ensure consistent deployment and implementation of the evolving operational risk framework into Asia Pacific and input into global initiatives
Attendance of and active engagement with standing business partnership and control meetings focusing on identification of emerging and existing risks, escalation, mitigation and remediation to ensuring an environment of continuously improving operational risk management and reduction

Operational Risk Manager Resume Examples & Samples

To implement and monitor compliance with the firm's Operational Risk Framework
To coordinate and manage operational risk identification and assessment across the Group Finance function
To manage and facilitate the documentation and on-going maintenance of Finance's key procedural control; to review completeness and adequacy of Key Procedural Controls
To capture and maintain the inventory of Operational Riskissues; to support remediation activities to address operational risk issues, events or audit actions
To provide key stakeholders with timely and accurate reporting of all operational risk related items and events
Partnership with business functions to continually analyse and improve our risk control environment. The development, maintenance and continuous review of the functions' suite of Key Procedural Controls
Assessment of operational risks inherent in the functions key processes; identifying and evaluating the effectiveness of controls designed to address those risks, providing practical and value-added input
The provision of expert guidance on the development of relevant control documentation
Coordination, analysis and challenge with regards to Operational Risk events, collaboration with other risk control functions and competence centres to further develop an effective control environment
Coordination and involvement in ‘deep dive’ reviews; testing of SOX critical key procedural controls, acting, where appropriate, as key liaison with internal and external auditors and assisting with internal policy governance

Operational Risk Manager Resume Examples & Samples

Implementation of Operational Risk Control framework across Group Finance; assessment of the results of SOX critical key procedural controls independent testing; and coordination and/or involvement in 'deep dive' reviews
Actively challenging all Group Finance functions on the identification, completeness, assessment and remediation of risks (including reviewing balance sheet substantiation results). Monitoring of action plans, risk issues and audit points and escalation of any overdue items; acting, where appropriate, as key liaison with internal and external auditors
Design, coordination, maintenance and independent review of all Group Finance internal control assessments (ICAP) as well as the design, coordination and challenge around OR event reporting
Partnering with the sourcing and operational risk teams to ensure that transitions are planned and executed in a manner that effectively manages the risks of such transitions; reviewing balance sheet substantiation results

VP Operational Risk Manager Resume Examples & Samples

Establish and maintain a strong partnership with regional business coverage (and/or global in some cases) to provide subject matter expertise on Operational Risk (both internal framework and external developments) and provide tangible benefits in proactive identification and management of Operational Risk by leveraging a strong knowledge of business activities and drivers
Lead the production and preparation of high quality materials, analysis and MI reporting in support of senior management meeting
Establish a leadership role during key stages of the RCSA process (e.g. inherent risk identification, control identification, residual risk rating process, etc.) and manage completeness of post RCSA tasks
Attend all NPS calls as ORM representative and complete all required NPS documents (including template and checklist)
8+ years of experience in financial services or related field
5+ years of experience in finance, middle office, audit or operations roles
4+ years of experience with Excel, Access and Microsoft Project
5+ years investment banking line or audit experience
Excellent problem-solving, research and analysis, technical, team building, and leadership skills
Very strong front to back product knowledge in Credit, Muni, Securitized Derivatives products
Detailed understanding of regulatory/and market best practice in Operational Risk Management
Ability to adapt style to meet stakeholder needs
Ambition and a strong desire to succeed
Strong financial and risk management skills
Committed to work in a flat team-orientated structure
Ability to manage reporting lines and relationships across multiple business and functions
Exceptional communicator and highly developed relationship management skill
Control issue analysis and evaluation
Ability to liaise and influence senior management in the firm, and establish strong working relationships with third parties, external and internal

Assistant Operational Risk Manager Resume Examples & Samples

The hire will support the maintenance of the Operational Risk Scenario Framework for the Credit Suisse Group as well as the UK / US Legal Entities which includes
Collection of appropriate risk and control information for the scenarios from a wide range of sources e.g. Audit Reports, SOX Controls Matters, Top Operational Risk, Risk and Control Self-Assessments (RCSAs)
Supporting scenario workshops with senior business experts, the output of which is used in the Operational Risk Capital Model
Development of a revised governance structure for the scenario program, in addition to ensuring that any policies, standards and procedures relating to the scenario program are up to date
Preparation of Operational Risk loss data analysis for the Operational Risk Capital Model including outlier analysis, data quality checks and technical investigations
Ongoing development of the links between the scenario program and other components of the Operational Risk Framework particularly with RCSAs.

Operational Risk Manager Resume Examples & Samples

Monthly assurance of adherence to relevant General Ledger polices of the bank by account owners for the purpose of periodic sign off that they perform
Periodic assurance of adherence to relevant SOX polices by control owners/performers
Other periodic / ad-hoc assurance of operations risk frameworks, policies, standards and attestations performed within Global Operations
Execute on the fully independent aspects of the global Assurance plan, having defined repeatable process to request information / test & review / report / provide feedback loop to both management and framework teams
Support and perform more in-depth process reviews as part of the Assurance plan through a combination of documentation review, assessment and validation; sample end-to-end testing and limited [phone] interviews
Performance of all necessary and defined steps that go towards completion of an assurance including but not limited to work paper maintenance, appropriate communications to stakeholders, follow through, etc.
Other responsibilities include
Establish and cultivate good working relationships with Operations Line management and staff and key internal stakeholders to ensure collaboration
Help further develop risk and control framework and standards, leveraging existing expertise and experience
Work with the team and wider partners in OC&R to run initiatives to help drive risk and control understanding more deeply into GO
Value Proposition
Key role within OC&R to provide assurance over activity and support the development of an enhanced risk and control framework.High management visibility and focus across all aspects of role - Define best practice, help drive understanding, provide training, and review activity.

Operational Risk Manager Resume Examples & Samples

One of the key responsibilities will be ensure all "end to end " operational risk control changes are documented and implemented on a timely basis and ensure all branch compliance and operational risk control process and procedure artefacts are maintained in a master shared repository
And another important responsibility will be accountable for the end-to-end operational process performance on risk control
Furthermore, this role will assist in the deployment and training of the end users involved in change management
You will also work with the regional and in country business and project teams to capture existing in country or branch risk control processes and manage branch compliance and operational risk process projects

Operational Risk Manager Resume Examples & Samples

Bachelor's or advance degree in business, or related field preferred
3 or more years of experience in a senior level risk management reporting or analytics required
5 or more years of experience in Quality Assurance Testing required
5-8 years of legal, reputational and operational risk experience preferred
Experience with Sworn Documents/Collections Litigation preferred
Experience implementing Quality Standards and writing Quality Control Procedures preferred
Strong Microsoft Product skills required
Strong problem solving skills required
Experience managing a large case load, as well as multiple projects simultaneously
Strong interpersonal and analytical skills required
Polished verbal and writing skills required
Experience working under time pressure and deadlines
Experience identifying reputational, legal and operational risk concerns

Operational Risk Manager Resume Examples & Samples

Assist in establishing and executing the strategic direction and vision for operational risk tools and metrics in collaboration with partnering organizations
Act as a ORM Subject-Matter-Expert with respect to guiding business requirements and communication of results and/or seeking approval relating to empirical methodologies
Support integration into Business as Usual processes in effort to design and produce insightful analyses to support risk identification and communication of the effectiveness of the Operational Risk Management framework
Support group and department head, as needed, in preparing materials for senior business manager, governance forum, and regulatory briefings
BS or MS in data related discipline (e.g. engineering, economics)
4+ years experience in program development and/or Risk and Finance
Aptitude in problem solving and willingness to recommend approach often in the face of uncertainty
Ability to distill complex relationships in clear, concise and actionable information
Advanced communication skills with strong proficiency in PowerPoint
Self-starter with passion for what they do
Knowledge of regulatory guidelines like Basel or CCAR is preferred, but not mandatory

Operational Risk Manager Resume Examples & Samples

Execute the Enterprise Operations Risk Management ( EORM ), 2nd Line of Defense, programs in order to determine and report an independent point of view of the “Operational Risk Profile” , and escalate issues as required,
Challenging the business of their understanding of their risk and the status and adequacy of their controls,
Reviewing and providing assurance that the Operational Risk management practices in their respective businesses are effective, meet RBC’s enterprise level requirements, and are followed consistently across the business,
Consulting and advising on the design of risk management practices within the Business to effectively identify and mitigate operational risks, and
Acting as the key point of contactfor other stakeholders that act as RBC’s “2nd Line of Defense” in their development of enterprise-wide policies, procedures and standards
Operations Risk Manager is to execute, manage & adapt 1LoD ORM Practice Locally
Contribute to development of new policies and to 1LoD ORM framework maintenance
Maintain task based schedule in order to fulfill 1 LoD ORM practice & program execution for the allocated product lines
Initiate & execute locally the programs & quality required by Enterprise Operational Risk Management (EORM) in alignment with enterprise level requirements (e.g. Operational Risk Events, RCA, Scenario Analysis, KRIs, New Business/ Product/Project Risk Assessments etc) as outlined within objectives
Initiate & execute local I&TS Platform specific practices & programs (eg Audit, Key Risk Dashboard, Interlock Heatmap etc) as outlined within objectives
Support the determination and reporting of an independent opinion on the Operational Risk Profile for the allocated product lines, and ensure timely escalation of issues & that timely actions are taken (eg large events, KRI & appetite breaches or business environment changes etc)
Analyse and report findings to key stakeholders, including documentation and reporting to regulatory requirements
Challenge the allocated business product lines on their understanding of their risk and the status & adequacy of the controls
Manage specific risk mission's scope & timing on adhoc basis
Support rollout of CoG Framework to the business and adequately challenge those risk assessments (eg Vendor, Compliance, Information Security, IT Risk, Finance, LAM etc)
Support Enterprise EORM with Scenario Analysis, External Event Analysis and bridging the gap to AMA certification
Support the Regional Heads of ORM with coverage on other products and risk practices, in line with the global risk governance and oversight model
Support Global Head of Reporting with local, regional and global reporting requirements, including KRI development and roll out
Determine quality standards and oversee the execution/production of related documents: RCA template, EUC template, project Risk assessment, E&O reporting , etc
Apply ORM framework and policies and contribute to its ongoing improvement
Raise and track issues and conflicts, remove barriers, resolve minor issues and escalate to immediate manager where required
Follow up on mitigation actions plans - collect updates from various ORC
Support training and awareness requirements of Operational Risk to the
Local region and across products & geographies where required
Assess ambiguous situations and provide clarity to team and stakeholders as required
Initiate & execute Business Continuity Management (BCM), Logical Access Management (LAM) and ISAE programs in Region where applicable, in line with enterprise requirements. Support migration and handover of these non 1LoD practices to CoG's or Business Units where applicable
TMS & Global Functions Only: Support Director ORM & Global Lead TMS & Functions in managing & executing the risk practices within I&TS globally for all business lines defined specifically within the scope of the designated products and global functions in that mandate
PMO Role: 50/50 Mandate with above 1LoD High Level 1. Manage program delivery of 1 LoD Transition. 2. Manage program delivery of 1 LoD BAU. 3. Ensure excellence in execution is maintained. 4. Develop & maintain a project discipline. 5. Implement & enforce project governance & management. 6. Monitor & track action plan status. 7. Actively seeks the identification of project issues and escalates as required. 8. Ensures timely completion of program and underlying projects on a priority basis 9. Ensures risk assessments are completed, and contingency plans identified. 10. Seeks out new approaches, tools, & methods to provide input to recommendations. 11. Manages project communications (e.g., issue logs, minutes, agenda)
Practice Leader: Act as Practice Expert on allocated risk management practices under the guidance of the Practice Leader. Support contribution to ongoing Enterprise policy & EORM practice improvement
Practice Leader: Assess consistency & maturity of practice execution in each region. Provide support, guidance & training to improve execution in each region across all products

Operational Risk Manager Resume Examples & Samples

You will be involved in establish, implement and maintain procedures and controls to manage operational risks in the Business to ensure that Business understands risk appetite using applicable Key Indicators and approved risk appetite metrics
You also be the monitor that risks are managed in accordance with risk acceptances, approvals & policies from external and regulatory changes
Understand & evaluate the operational risk profile in the Business using current information and adequate data capture to support required risk analysis, reporting, stress testing and strategic decision-making

Operational Risk Manager Resume Examples & Samples

Ensure compliance with the Operational Risk Framework
Coordinate, manage, assess and challenge operational risk identification and assessment across the Group Finance function including an ongoing review of key risk indicators; Serve as guardians of Group Finance's control framework
Facilitate the bi-annual Internal Control Assessment process (ICAP) for all Group Finance functions
Knowledge of a Bank's Front to Back control environment
Strong interpersonal and communication skills, with the ability to effectively manage key relationships with Business Division CFOs and able to challenge senior Finance managers
Ability to identify control gaps with a control minded approach to developing solutions
Strength to lead key OR processes and projects globally
Ability to co-ordinate and consolidate information from a variety of sources; well organized with strong planning and analytical skills

Operational Risk Manager Resume Examples & Samples

Act as primary point of contact for operational risk across the line of business or support functions
Communicate ERM standards for operational risk management to the line of business, including roles and responsibilities of the lines for identifying, monitoring, assessing, reporting and managing operational risks
Provide guidance to line managers in identifying the root causes of specific operational events/losses and internal and external exam issues, and establishing measurements that identify when issues are reoccurring
Assist the line of business by maintaining key risk indicators and advising on associated action items resulting from threshold breaches
Follow up on action plans developed by the line to address control gaps, to ensure that they are adequate and completed on a timely basis
Assist businesses in managing operational risk by providing informed, practical recommendations for reducing operational risk
Assist in collecting operational loss event data for the assigned area, in accordance with documented standards and procedures
Provide ongoing review of the content of operational risk and control self assessments maintained by lines of business to ensure that assessments are consistent with definitions, external risk trends, operational loss experience, key operational risk indicators, and internal and external exam results
Maintain knowledge of the organization, policies, processes and objectives within the assigned area
Participate in meetings with regulators to understand operational risk issues and their potential impact on the business line
Work with the line and Vendor Risk Management to manage the Outside Service Provider program
Assess the adequacy of business line policies and procedures related to operational risk management
Bachelor's Degree in relevant field or equivalent experience
Minimum 7 years of banking experience, preferably in finance, audit, or risk management
Strong leadership, interpersonal, communication, and collaboration skills
Preferred knowledge of bank operations in support functions such as Finance, IT, HR, Marketing, Sourcing, or Cental Operations
Position requires broad knowledge of banking products and operations

Operational Risk Manager Resume Examples & Samples

Highly developed process review skills; Ability to analyse problems from a generic standpoint and then deep dive into specific aspects - gained from a period in internal audit, supervising teams or doing process review projects
Strong personal impact / Excellent communication skills and influencing ability
Ability to ‘find and fix’ issues from planning through to execution – likely achieved through a period working on specific projects
Good understanding of IB processes and framework; General knowledge of investment banking products and business aspects
Pro-active/ self sufficiency; good team player
Multi-tasking and ability to meet tight deadlines
Understanding and appreciation of risks and impacts to a global financial services business
Relevant financial or regulatory qualifications; and degree in business, finance, accounting, legal or equivalent experience
Experienced in dealing cross culturally
Organized, articulate, attention to detail
Broad regulatory background and knowledge – ideally with involvement in regulatory reviews gained from working in a regulator, internal audit or Compliance function; ability to learn quickly in new areas

Operational Risk Manager Resume Examples & Samples

Ensure compliance with the Operational Risk Framework and serve as guardians of Group Finance's control framework
Implementation of Operational Risk Control framework across Group Finance; actively challenging all Group Finance functions on the identification, completeness, assessment and remediation of risks. Work with the ongoing Target Control Framework project to ensure seamless integration of Regulatory Reporting controls into the new framework
Design, coordination, maintenance and independent review of all Group Finance internal control assessments (ICAP) and assessing the results of SOX critical key procedural controls independent testing; Coordination and/or involvement in 'deep dive' reviews
Partnering with the sourcing and operational risk teams to ensure that transitions are planned and executed in a manner that effectively manages the risks of such transitions; Liaise with C& ORC who own the Regulatory Reporting framework to implement the standardised controls
Acting, where appropriate, as key liaison with internal and external auditors
Preferred candidate will be a qualified accountant
Ideally candidates must have Audit/Control experience and knowledge of a Bank's Front to Back control environment
Strong interpersonal and communication skills, with the ability to effectively manage key relationships with Business Division CFOs; able to challenge senior Finance managers
Strength to lead key Operational Risk processes and projects globally

Operational Risk Manager Resume Examples & Samples

Business Unit Information Security Officer (BUISO) – partner with CES Risk Officer on all information security matters, Supplier Management Program, training and reporting
Monitor, escalate and remediate iRespond Information Security events including Vontu and PII breaches
Interact with Legal, Compliance and Tech & Info Risk on information security incidents and risk remediation efforts
Manage EPR entitlement provisioning, enterprise role management and entitlement reviews
Develop, implement and maintain EPR enterprise roles to ensure Segregation of Duties and proper alignment with individual business functions to prevent unnecessary access to firm and client data
Business Continuity Management including plan maintenance and testing
RCSA Control Testing, gap analysis and; work with business owners to close any identified “gaps”; prepare management reports of test results and remediation efforts
Supervisory Control Testing of CES procedures to ensure staff is adhering to roles and responsibilities; work with business owners to close any identified “gaps”; prepare management reports of test results and remediation efforts
RADAR Issues and Action Plan tracking and reporting
RECAP operational risk incident reporting and remediation
Review and approve correspondence and communications with the public under delegation of duty
Internal Audits and Compliance Examinations
Participate in the Firmwide RCSA process to identify issues and controls, risk ratings, and implement remedial action
Review exception reports to monitor GSPS system suppression settings and follow-ups
Assist in the review of department external email
Knowledge of SEC, NYSE, FINRA and familiarity with AML, CIP and OFAC programs
Knowledge of regulatory initiatives and trends involving data and information security

Operational Risk Manager Resume Examples & Samples

Understand business risk profile and key processes and where appropriate act as a catalyst for change
Apply analytics to operational risk data to identify and analyse risks and to improve business risk management
Provide insights and advice to businesses on the best practice for design, measurement, analysis, evaluation and reporting of operational risk
Provide training and awareness of key risk management policies and policy oversight
Drive the implementation of key projects to deliver Macquarie's Operational Risk strategy
Tertiary degree in Finance or a related area. Relevant postgraduate degrees or professional qualifications (CA, CFA, CPA) are desirable
Significant Operational Risk, Internal or External Audit experience gained within a dynamic international financial institution or financial services firm
Working knowledge of the regulatory environment in which Macquarie operates
The commercial experience and analytical mindset to make sound recommendations on operational risk issues
Lateral thinker with problem solving, consulting skills and an ability to grasp abstract concepts and complex situations
Confident communicator, possessing strength of character to discuss risk management issues openly and with conviction
Ability to work independently as well as collaboratively within a global matrixed organisation to deliver results
Tenacious, agile and with proven ability to sustain high levels of performance in a fast-paced, output focused environment

Operational Risk Manager Resume Examples & Samples

Assisting with the integration of Trial Balance Services & Data Control Services functions, formally aligned to Finance, into the Group Operations operational risk framework
Assessment of operational risks inherent in the functions key processes; identifying and evaluating the effectiveness of controls designed to address those risks, providing practical and value-added input including the provision of expert guidance on the development of relevant control documentation
Analysis and challenge with regards to Operational Risk events, collaboration with other risk control functions and competence centres to further develop an effective control environment
Coordination and involvement in ‘deep dive’ reviews; acting, where appropriate, as key liaison with internal and external auditors and assisting with internal policy governance

Operational Risk Manager Resume Examples & Samples

Directs key initiatives within the business through the collection, analysis, review, reporting, documentation and communication of business needs and requirements
Performs analysis of reporting metrics and calculations to determine business needs are being met and if updates/corrections are required
Drives the development of complex MIS reporting using current sources and new sources as needed
Own the production and management of project/work-stream deliverables; scoping documents, project plans, budgets, risks & issue tracker, stakeholder & maps governance structures
Develop alone, or partner with others, to define strategies that lead to project executions aligned with Operations Control objectives
Work to define and articulate requirements from Business/Operations to Development
Influences decision making by providing fact based advice and counsel
Participate with cross-functional teams to create and implement new/updated reporting
Evaluates efficiency of existing reporting and drives improvements
Represents R&A team on business projects, including responsibility for the evaluation of impact to MIS reporting
Create a central repository to monitor, trend and analyze Key Risk MIS within a standard & automated infrastructure. Increase the frequency and review of KRCI production through automation. On-board businesses into the infrastructure to ensure Key Risks are developed independent from risk Owner
Coordinate cross business functions (e.g. Operations, Middle Office, Front Office, Technology, Compliance) and senior management to execute necessary policy, process and technology change
Influence strategic functional decisions through advice, counsel or provided services that have direct impact on the business
Understanding of Process Re-engineering: Ability to understand and coordinate feedback from multiple stakeholders incorporating their ideas into a synthesized process that allows to increase efficiency and/or increased control in a process
Ability to develop workflows in Visio based on performing interview sessions with key stakeholders
Establish and document business cases that detail Return-on-Investment
Ability to translate ambiguous visions from End-Users into meaningful outputs
Ability to document and communicate business requirements to technology; oversee and manage technology lead efforts
Ability to perform analysis of reporting metrics and calculations to determine business needs are being met
Basic understanding of SAS, VBA, SharePoint. Strong proficiency in Excel, Access, Power Point, and other MS products
Project Management Experience
Understanding of Reporting dynamics
Financial Institution experience a must
Share best practices and promote an environment of continuous improvement
Understanding of designing Service Level Agreements with process owners
Strong Influencing Skills
Proactive & Organized
Comfortable independently leading new initiatives, while maintaining BAU efforts
Understanding of Data Modeling a plus

Operational Risk Manager Resume Examples & Samples

Operational Risk Management - conducting risk workshops, in depth risk profiling, controls assurance, KRI's
Conducting business unit analysis and providing ORM support and advice to the Line 1 team
Challenging and educating business units on regulatory change and best practice

Operational Risk Manager Resume Examples & Samples

Manages projects, analyzes processes & controls, and manages data quality. Evaluates risk and return measures/reports and interprets results
Possesses strong institutional knowledge, with particular understanding of CFS Policy, Procedure, and Practice (ie. Daily Simple Interest). Knowledgeable about different markets, products, strategies, analytical tools, financial and risk databases and associated risks
Assesses the spectrum of risks and how those risks arise from all new product offerings for respective coverage groups
Understands businesses processes, risks and can identify control issues
Understands the Internal Audit process
Supports diversity by actively building and cultivating strong connections and partnerships across the business/region."
Ability to influence senior business and technology leaders
Background with CitiFinancial Servicing (CFS) will be preferred

Assistant Operational Risk Manager Resume Examples & Samples

ORM framework, policies & procedures – develop, update
ORM dashboard – update, manage “breaches”, aggregate tolerances, report trends
Loss incidents – maintain the bank’s loss database, analyze huge database of historical losses against set parameters, report observations
Risk and control self-assessment –
Maintain and update risk register and controls inventory for identified operational risks
Assist the assessment, management and, reporting of front-to-back operational risk across bank’s products and services
Validate controls
Prepare committee presentations
Regular BAU processes – e.g. centralize parts of pre trade approval i.e. check any flags for OpRisk attention and then direct appropriately
Reporting –
Metrics – report, monitor and, validate
Projects/ initiatives - assist as required
Understanding of regulatory requirements in ORM domain
Content writing
Understanding of risks in various businesses
Ability to assess the risks
Understanding of controls
Ability to challenge the sufficiency of controls

Assistant Operational Risk Manager Resume Examples & Samples

Set strategy for ORM MI
Drive the development of new ORM MI (all risk info)
Development of dashboards, pre-canned reporting and mgmt reporting
Establish standards around MI alignment (within ORM and ultimately outside too)
Liaison across teams to ensure MI is appropriate / relevant
Manage the development BOW, testing and release cycle
Communicate requirements to BWise Team
Understanding and overseeing the implementation of changes to the OR Framework/approach
Development of analytics to help drive Op Risk Mgmt
Enhancing the existing framework in a controlled fashion to ensure new data capture and MI are complete and accurate
Mgmt of Mumbai ORM Reporting Team
Final Review of BAU reporting
Analysis / explanation of trending of ORM Risks
Explanation of risk trends
Liaison between ORM and RAR
Establishing roles and responsibilities across ORM / RAR

Operational Risk Manager Markets Risk & Control Resume Examples & Samples

Provide support in several initiatives related to key control projects
Oversee daily regulatory reporting processes and compliance with internal or regulatory initiatives including OATS, ACT, Reg SHO and Affirmative Determination, AUTEX and Reg NMS
Review and reconcile various exception reports
Maintain control documentation needed for the various internal, external and regulatory reviews
Coordinate the drafting, completion and distribution of responses to client requests for information
Bachelor degree in Business Administration, Economics, Finance, Accounting or Computer Science
Series 7 and 24 a plus
Knowledge of Qlikview programming a plus
Experience with Microsoft Access databases, including design, developing queries, reports and macros in a dynamic environment
Exposure to database and data warehouse applications a plus
Communication Skills - Excellent oral and written communications skills; Must be articulate and persuasive
Strong documentation skills to ensure proper control/audit evidence
Ability to review a process and recommend ways to identify issues, improve quality, controls, effectiveness and efficiency
Teamwork - Must be able to work in a team environment, listen effectively and be open to change and different ideas/viewpoints
Change Agent - Ability to drive change

Operational Risk Manager Resume Examples & Samples

Perform operational loss analysis: understand how losses were incurred, determine lessons learned, identify root causes and use for risk mitigation activities; and escalate operational risk events as appropriate
Continuously monitor and review relevant data, reports, and trends to support Operational Risk profile assessments
Oversee the development and implementation of Manager’s Control Assessment (MCA) Standards and Procedures and support business managers and their teams by providing training and guidance on implementing MCA Standards, Procedures and Tools and optimizing controls
Perform independent, effective challenge and oversight of the business with respect to MCA. In particular, form an independent assessment of risks and control effectiveness; based on assessment perform independent challenge of processes, risks and controls; and challenge entity ratings as appropriate
Analyze and assess control results and control framework to help identify any emerging risks; advise on control design, oversee implementation of enhancements and ensure that the business remains within the requirements of individual regulators, sectors or businesses
Ensure that country-level Business Risk and Compliance Committees (BRCCs) are coordinated to the highest possible standard, and that discussions of known and emerging risks are included in BRCC agendas
Coordinate with the cluster / region in providing information on control environment and implement control related initiatives initiated at regional and cluster level
Assist the Cluster Head in implementation and ongoing support of the Fraud Management Program
Provide specific country insights as required
Oversee the country’s risk and capital structures in line with the economic capital requirements and regulations
Review new product proposals/product programs as well as the sale or purchase of any business
Work closely with the global/regional Operational Risk Management (ORM) team and perform proactive reviews, as mandated by the ORM team

Business Operational Risk Manager Resume Examples & Samples

Assists in the execution and monitoring of risk management practices, operational issues and control breakdowns in MOD Manila
Assists in the collation, analysis and reporting of a variety risk information on a routine and exception basis for MOD globally
Assists in the review and implement Group-wide and Divisional policies and procedures

Regional Operational Risk Manager Resume Examples & Samples

Assist in the production of various risk reports, ensuring key operational risk exposures are reported and escalated to management, divisional risk management and that mitigating actions are identified and taken as appropriate
Ensure adequate reporting infrastructure and efficient processes are in place for risk reporting processes across Asia
Prepare customized training materials as new program components are roll out
Provide assistance in ORM facilitated Risk and Control Assessment (RCA) across Asia
Provide assistance in training Business Unit resources to implement the operational risk management program within their Business Unit, including conducting Risk Control Self Assessments, collecting Loss Data, tracking Key Risk Indicators, and preparing Risk Dashboards/Reports
Assist the Head of Operational Risk in sharing of key information, including risk exposures, loss data and risk management/control best practices across the Division (including with other divisional risk/compliance/control officers) and liase with other Divisions to incorporate any learnings
Transition from program implementation to risk oversight focus as program is implemented
Risk management, audit, operations, compliance or technology background with 5+ years of experience in matters of increasing complexity
Sound business acumen and thoughtful approach to solve complex problems
Good understanding of operational procedures at financial institution (preferably insurance)
Solid experience in implementing and validating the effectiveness of operational controls
Effective communication skills, including ability to translate complex technical issues into fundamental concepts
Power user in Microsoft Powerpoint and experience working with other risk & governance software (e.g. Archer)

Operational Risk Manager Resume Examples & Samples

Hands-on experience of effective Operational Risk Management
Good knowledge of both investment banking products and front-to-back processes
Insights into the regulator's expectations for Operational Risk Management
Experience of Regulatory Risk and working closely / partnering with Compliance
Strong academics and relevant professional qualifications / accreditations

CRO, UK IB Operational Risk Manager, VP Resume Examples & Samples

Support financial monitoring and forecasting including budget preparation and headcount reporting
Support co-ordinating and developing location strategies for the team
Ensure an effective communication cascade across the function,
Centrally drive project and change management activities
Extensive experience in an Investment Bank and/ or Asset Management and/ or Consultancy background, with a strong understanding of project and change management within the Financial Services arena
Project/ programme delivery across a wide set of products and/or functions is strongly preferred
Prior risk management experience an advantage
Proven organizational, leadership, communication and management skills
Self-starter and able to work without day-to-day direction
Excellent report production ability; advanced skills in Microsoft Word, PowerPoint and Excel
Delivery focused and process oriented
Strong facilitation skills
Effective relationship management skills
Tact, discretion and diplomacy

Operational Risk Manager Resume Examples & Samples

Key to success will be your ability to analyse a large portfolio of technology projects, with a view to identifying those that are in scope of RMG oversight and approval. You will be involved in the review and approval process that is managed by RMG. You should have strong verbal and written communication skills and the ability to manage and maintain strong relationships within RMG and COG Technology at all levels
An understanding of Risk Management and Compliance principles, including regulatory requirements, preferably in a role aligned to Technology in a Financial Services environment is required; this experience will assist in achieving efficient and effective management of the role
Project Management experience will be an advantage, specific to large scale enterprise-wide technology projects, in addition to experience of detailed data analysis. You will be aware of project governance principles and be able to provide feedback on the efficiency and effectiveness of how projects are being managed

Operational Risk Manager Resume Examples & Samples

Post graduate (CA, MBA)
The ideal candidate will have in-depth, detailed knowledge of the processes associated with the Markets businesses
Able to eliminate chaos and confusion; prioritizes high impact potential problems effectively
Innovative; well-versed in developing new ideas and improving current processes
Has led and/or successfully influenced cross-functional and/or geographically diverse initiatives
Considers broad implications of decisions on different functions and units
Can clearly articulate the processes supporting a business unit’s function, controls, business priorities, impact on financial reporting, issues and risks associated with the IT infrastructure; understands limitations, can identify gaps and proactively help develop solutions
Experience in Operational Risk with knowledge of credit risks/or market risk a plus

Operational Risk Manager Resume Examples & Samples

Serve as the senior escalation point for TPU risk analysis activities
Oversee and take a leading role in performance measurements of teams
Provide expert guidance and support on the development of key controls, standard processes, operating procedures and promulgation of best practices
Interface with Third Party Officers (TPOs), Business Activity Owners (BAOs), Sector and Regional Risk teams and other Citi business stakeholders on a regular basis
Build and maintain relationships with TPU Risk Analyst Senior Team Leads in other TPU sites in an effort to constantly refine, improve and share working best practices globally
Support the coordination of TPU Monthly Operating Review process and Third Party Management governance committees
Review results of third party risk monitoring activities providing robust quality checks of such activities
Perform a lead role in the design, development and execution of key TPU initiatives
Provide and present periodic updates to TPU Site Heads globally
Embed a culture of coaching to teams while actively monitoring and assessing staff development needs, required training and development opportunities
Champion TPU VOE efforts in Costa Rica and support TPU VOE activities globally
Preferred 10+ years of direct, relevant experience in third party risk identification and management, operational risk management, compliance and/or audit
Prior management experience as a Supervisor and / or Team Lead of 10+ member teams
Demonstrated capacity to lead teams and drive performance results
Excellent relationship management skills with ability to build partnerships across various lines of business
Strong control, process and project management skills with the proven ability to influence and drive results from a diverse team of functional stakeholders
Detail oriented, pragmatic problem solver and forward thinker with the ability to exercise independent decision making
Ability to assess level of exposure based on existing risk characteristics
Proven ability to interact effectively with diverse cultures and backgrounds

Operational Risk Manager Resume Examples & Samples

Support bank-wide coordination of the Risk & Control Self Assessment (RCSA) process in close collaboration with the Operational Risk Management contacts to ensure consistent implementation of the global policy and procedures
Support the administration of the Operational Risk Register (ORR), centrally maintain all changes and ensure appropriate mapping and approvals are in place
Support maintenance and management of the RCSA scoping, planning, documentation and finalization phases with continuous tracking and reporting of progress
Support all stakeholders, including delivery of guidelines, training and training material, documentation material, platforms for information exchange and support; and acting as the central expert function of the RCSA methodology and procedures
Perform independent reviews of the RCSA implementation processes and results across the divisions on consistency and adherence to bank-wide minimum standards
Monitor, report status of RCSA actions and submit relevant RCSA documents to stakeholders, management and regulators, including regular reporting and escalation to ICS CARMC
Support process documentation for key processes within the Operational Risk Governance Team, mapping of risks, controls and systems to processes
Contribute to the implementation of the operational risk documentation tool on the RCSA, ORR and Internal Controls topic

Operational Risk Manager Resume Examples & Samples

Facilitation and oversight of the implementation of the Operational Risk Management framework, including providing insight to the Board on the ORMF
Understanding the business risk profile and key processes and where appropriate act as a catalyst for change
A tertiary degree in Finance or a related area. Relevant postgraduate degrees or professional qualifications (CA, CFA, CPA) are desirable
A high level of technological awareness and a familiarity with GRC systems

Operational Risk Manager Resume Examples & Samples

Participates in complex projects, analyzes processes and controls, and makes recommendations for change and challenges project participants to ensure operational risk management awareness
Leads and coordinates focused or allocated resources for analyst and/or other control groups
In a team leadership role, effectively manages and develops others; provides candid and honest feedback on an on-going basis
Understands what constitutes events of default
Understands the internal audit, external exam, and compliance testing/monitoring processes
Minimum of 6 -10 years of operational risk management, compliance or operations. Previous track record that demonstrates successful operational or credit risk management experiences including working on cross functional, strategic initiatives

Operational Risk Manager Resume Examples & Samples

Implementing issues data quality and reporting standards in accordance with the Business Operational Risk
5+ years of direct, relevant experience in financial service operations, control, compliance, audit, or regulatory
Deep functional knowledge of the Credit Cards and/or Retail Banking industries and applicable rules, regulations, and

Operational Risk Manager Resume Examples & Samples

5+ years of direct, relevant experience in financial service operations, control, compliance, audit, or regulatory management
Bachelor's degree required; advanced degree a plus
Project management and governance experience with the proven ability to develop project plans and drive a diverse group of stakeholders to identify and achieve milestones within deadlines
Superior organizational skills, with proven ability to successfully manage multiple, concurrent priorities
Self-motivated with a passion for establishing and maintaining a culture of control within the business
Demonstrated relationship management skills with ability to deepen relationships and build partnerships across the business and key functional support areas like Internal Audit, Legal, Compliance, Business Operational Risk Management, Government and Regulatory Affairs
Demonstrated ability to influence a group of diverse stakeholders and drive accountability and ownership with key business partners and process owners
Detail oriented, with proven ability to question and identify opportunities within existing processes and business practices by leveraging previous experiences and knowledge of the business
Deep functional knowledge of the Credit Cards and/or Retail Banking industries and applicable rules, regulations, and processes
Pragmatic problem-solver, forward thinker with independence of thought

Operational Risk Manager Resume Examples & Samples

Assist with coordinating with the Operational Risk Team to receive internal and external loss data for use in stress testing
Assist with efforts for documentation of operational risk loss forecasting methodologies and results, including detailed model development documentation and narratives for inclusion in the Capital Plan
Work closely with the Model Development organization to develop or enhance loss forecasting modeling capabilities
Monitor ongoing appropriateness/relevance of activities in light of evolving regulatory requirements for operation Risk for stress or other Capital reserves
Prepare and update process documentation including process maps, risk-control matrices and procedures
3+ years’ experience in the financial services industry
Experience interacting with regulators
Demonstrated ability to lead teams and drive change

Operational Risk Manager Loss Forecasting Resume Examples & Samples

Assist with coordinating with the Operational Risk and Enterprise Risk Management teams to receive internal and external loss data and operational risk event information for use in stress testing
Assist with efforts for documentation of operational risk loss forecasting methodologies and results, including narratives for inclusion in the Capital Plan
Work closely with the business functions to develop or enhance idiosyncratic loss forecasting capabilities
Assist with the development of Op Risk Loss forecasting processes based on available data
Support Enterprise Risk Management and Operational Risk teams to integrate Operational Risk stress test forecasts across other SYF processes
Monitor ongoing appropriateness/relevance of activities in light of evolving regulatory requirements for Operational Risk for Stress or other Capital reserves
Assist Capital Planning team with justification of Capital reserves and buffers
Bachelor’s degree and 5+ years’ experience in Risk, Finance or Economics
Experience with regulatory requirements including Basel I, Basel III, CCAR, DFAST, etc
Demonstrated ability to develop tools, templates and metrics used to manage and monitor large scale projects
Strong interpersonal skills with excellent written and oral communication

Operational Risk Manager Resume Examples & Samples

Managing the risk framework
Executing and monitoring of risk management practices, operational issues and control breakdowns
Reporting and escalation of risk information on a recurring and exception basis
Reviewing and implementing Group-wide and Divisional policies and procedures
Key elements of the framework to support
Managing of the Operational Risk Self Assessments (ORSA)
Control assurance of the critical controls including planning, execution and reporting
Business resilience including monitoring of compliance with policy and investigation/assistance when non-compliance reported

LOB Operational Risk Manager Resume Examples & Samples

Understand the organizational structure, key management personnel, and primary objectives of
Minimum - 5 years of banking experience, preferred
Position requires an in-depth knowledge of the business, policies and procedures, and the

Shared Services Operational Risk Management Operational Risk Manager Resume Examples & Samples

Reporting into the ShS ORM APAC Lead, the individual will be responsible for
Supporting the ShS ORM APAC Lead in developing strong relationships with the other ORM teams and to ensure effective partnerships across Shared Services
Support the ShS ORM APAC Lead to independently oversee, advise, review and challenge Shared Services in various risk management activities, from both a regional perspective and as part of the global ORM Shared Services management team
Support the global scenario analysis process as the operational risk management expert for the aligned functions
Review KRIs, loss data and risk appetite metrics at various levels of [entity] granularity
In response to material operational Risk incidents, provide independent assessment on operational risk incident reviews as well as reviews of selected external incidents which have been conducted by ShS and ensure that these have been concluded adequately
Attend regular partnership meetings with Shared Services stakeholders to help support the identification, assessment, escalation and mitigation of Operational Risks and to continuously evaluate and improve the control issues
Provide training to the Shared Services areas on the individual components of the Operational Risk Framework to ensure compliance with the relevant regulations and Bank policies

Operational Risk Manager Resume Examples & Samples

Proven track record of successfully managing multiple deliverables to completion under tight deadlines
Mortgage and/or Retail Banking Experience Preferred
Advanced proficiency with Microsoft Project, Excel, Word, PowerPoint, Outlook, Visio, Sharepoint Designer, WULF, COGNOS

Operational Risk Manager Resume Examples & Samples

Under the direction of Markets’ Global Coordinator for AML and Sanctions Programs, work collaboratively with key stakeholders to identify and manage sanctions risks, manage execution of various sanctions initiatives, assess controls over sanctions screening, and identify opportunities to enhance sanctions controls and processes
Establish policies and procedures over sanctions screening processes, assess impact to Markets businesses of proposed changes to Citi policies, procedures, and standards, and work with key stakeholders to ensure appropriate implementation
Facilitate the establishment of sanctions BAU processes, as needed
Using PowerPoint and other software, assist in preparing presentations to update senior management on progress made on sanctions initiatives
Assist in setting the agenda and otherwise preparing for periodic sanctions program meetings
Facilitate the development of further sanctions controls, including metrics regarding volumes and trends, both domestic and global, for Markets
Demonstrate that his/her efforts contributed to the completion of short-term deliverables and to the further progression of longer term deliverables
Develop a broad and detailed understanding of the organization’s landscape, culture, and technology
Bachelor degree in business administration, economics, finance, accounting, or computer science (other fields to be considered as well)
Advanced degree (Masters/JD) a plus
Strong desktop/PC skills, including strong knowledge of MS suite of applications, particularly PowerPoint and Excel

Operational Risk Manager Resume Examples & Samples

Increase consistency of Operational Risk framework implementation across Consumer Businesses (Cards, Mortgage, and Retail Banking) by creating set of uniform and relevant monitoring metrics. Ability to influence without specific authority and collaborate effectively with senior management in various regions will be a critical success factor
Work closely with ORM peers, and independent risk partners with some interaction with 1LOD risk and control managers to mitigate operational risk losses by identifying common causes of operational risk events and designing effective preventive measures. Profound understanding of linkages between O&T processes and front operations such as marketing and new product development is a must
Identify and mitigate emerging risks by relying on mining trends in relevant metrics, ops loss frequency and external environment. Candidate must have solid understanding of Consumer legal and regulatory environment
Engage in mining of customer complaint data, litigation pipeline, and other leading indicators of OR exposure to enhance OR loss anticipation and mitigation
Develop presentations appropriate for senior level audience
Maintain effective use of four main elements of Advanced Measurement Approach within Consumer segment. Develop and present cohesive picture linking Operational Losses, control environment and cost of capital
Support Scenario Analysis efforts
Develop and monitor product/business level operational risk profile based on comprehensive assessment of control environment, business strategy and regulatory landscape
Master's degree and 5+ years of work experience
Ability to function effectively in a matrixes organization
Ability to build consensus and influence without authority

Business Operational Risk Manager Resume Examples & Samples

To assist the businesses to implement and adhere to the Bankwide Risk Management Framework including application of Bankwide Policies, implementation of Operational Risk Self Assessments and input and analysis of operational incidents
To assist the businesses in obtaining approval for and implementing new activities and businesses in a controlled manner, including but not limited to the review of governance structures, product management and processes
To document and lodge incident reports, self assessment results, KRI dashboard reporting and other ORM reports
To work with support areas such as compliance, finance, settlements, risk, IT in ensuring businesses are operating in a controlled manner
To periodically assess the effectiveness of operational risk management across our Asian businesses (ie. may require some periodic travel) and branches where our businesses are represented
To increase awareness of operational risk across business staff
To map / document processes
To provide assurance testing of the design and effectiveness of controls
To conduct ad hoc investigations
To liaise with Internal Audit during Internal Audit reviews and follow-ups
End-to-end Financial Markets (in particular, equities) experience with some exposure to operational risk management
An inquisitive mind with a desire to learn about trading businesses in depth
Solid communication and interpersonal skills with an ability to deal with / question staff at all levels
Proactive in identifying and following up on anomalies / areas of concern
Ability to deliver results within a deadline
Pragmatic approach to operational control with an ability to balance risk and returns
Tertiary qualifications in Accounting/Finance/Commerce
Chartered Accounting qualification, past auditing or operations experience and IT knowledge preferred but not essential
Strong relationship building and maintenance skills; gain buy-in, trust and understanding, able to influence and negotiate, be highly visible and able to provide transparency of process to clients and team
Able to initiate and lead conversations with business leaders and risk management colleagues regarding anticipated and emerging issues
Ability to control yet enable business activities and initiatives
High degree of commercial acumen
Proactive and solution focus
Delivering in a fast-paced, output focused environment
Confident presenter

Operational Risk Manager Resume Examples & Samples

Developing and implementing effective ORM policies, procedures and training material
Previous Operational Risk experience - ideally within a Retail Banking environment
Ability to engage stakeholders and build meaningful relationships
Ability to meet tight deadlines, effectively project manage and deliver as per expectation
Knowledge of NCCP, Privacy Act, Corps Act - ideal

Operational Risk Manager Resume Examples & Samples

Strong proficiency in Qlikview, Excel, Access, Power Point
Understanding of SAS, VBA, SharePoint
Approximately 5 year’s experience in supporting, developing and/or leading Business Intelligence Tools
Approximately 5 year’s experience building and supporting reporting & analytics environments
Qlikview Certification preferred or related experience
Understand and coordinate feedback from multiple stakeholders incorporating their ideas into a synthesized process that allows to increase efficiency and/or increased control in a process
Develop workflows in Visio based on performing interview sessions with key stakeholders – Document current vs. future process flows
Document and communicate business requirements to technology; oversee and manage technology lead efforts
Perform analysis of reporting metrics and calculations to determine business needs are being met

Operational Risk Manager Resume Examples & Samples

Partners with business units to ensure sound controls are implemented as part of new projects and business as usual enhancements. Reviews, analyzes, and makes banking recommendations to Bank’s Operational Risk team about the design and implementation of the enterprise operational risk management framework/measurement methodologies
Provides leadership in the planning, development and implementation of operational risk frameworks/measurement methodologies, policies, standards and procedures specific to the needs of the business which are aligned with the Bank's Operational Risk Program
Analyzes and documents various processes and products, existing or new, by working with business units to identify key processes as prescribed by the Operational Risk Framework (process documentation, risk assessment, controls documentation, and testing implementation). May review with the business units operational risk capital calculation results
Monitors major and critical operating risk issues for business units. Supervises and/or performs periodic testing to determine effectiveness of business' adherence to the Bank's defined requirements, internal policies and best practices
Oversees the operational risk activities of the business units’ compliance officers, policy managers, and business continuity recovery program coordinators
Collaborates with other business areas to study and investigate operational risk issues and identify and implement solutions. Participates in the review of new BOTW banking products and services, or products that impact banking sales and operations
Manages the business units processes for elevating operational risks to more senior levels of management and to Bank’s Operational Risk team
Participates in the development of the business units operational risk policies, procedures, risk limits, and approval authorities. Works with management and staff in areas of the organization affective by alterations in business practices to ensure understanding and implementation of new operational risk policies and procedures

Operational Risk Manager Resume Examples & Samples

Oversight and management of quality reviews
Management of the operational risk and control matrix
Service Provider oversight including SOC1 reviews, Onsite Visit Coordination, and Scorecards
Independent Cayman Board of Directors Meeting coordination
Liquidating Fund coordination
Regulatory Reporting and expense allocation and repayment assistance
Train, manage and mentor junior team members
Active communication with various internal teams including accounting, compliance, middle office, treasury, financial reporting, management reporting and regulatory reporting teams
Analyze and communicate operational matters to senior management
Strong leader with solid business judgment
Strong technical and analytical skills
Ability to summarize issues, develop recommendations and make decisions
Ability to be proactive and take initiative
Self motivated and a self starter
Energetic and enthusiastic
Highly proficient in Excel
Hedge Fund experience preferred but not required
MBA, C.P.A. or C.F.A. preferred but not required

Operational Risk Manager for Shared Services ORM Switzerland Resume Examples & Samples

Review KRIs, loss data and risk appetite metrics at various levels of granularity
Contribute to major Operational Risk remediation projects (and cross-divisional projects as required) to address issues in the risk and control environment
Provide training and guidance to the Shared Services areas on the individual components of the Operational Risk Framework to ensure compliance with the relevant regulations and Bank policies

100

Operational Risk Manager, ORM Pbwm Resume Examples & Samples

Oversee and support the implementation of the bank’s operational risk framework in PBWM APAC
Regular exchange with senior PBWM and Shared Services functions to discuss, monitor, identify and mitigate operational risks
Oversee that operational incidents are timely reported, escalated and investigated
Participate in governance committees to ensure relevant operational risk issues are timely escalated and appropriately mitigated
Support PBWM business in conducting Risk & Control Self-Assessment (RCSA); independently review and challenge the assessment results
Lead/participate in major operational risk remediation projects
Assist in reviewing new business initiatives
Regularly review operational risk metrics/key risk indicators and oversee that appropriate corrective measures are being taken to address any limit breaches
Perform ad hoc targeted deep dive reviews and facilitate PB&WM APAC management in formulating appropriate corrective action plans to address any control gaps

101

Operational Risk Manager, ORM Pbwm Resume Examples & Samples

Continuously support the relevant Director lead to exchange views with senior PBWM and Shared Services (ShS) Management in the region
Contribute to ORM PBWM deliveries to regional / local risk management committees and key projects
Significant involvement in ‘Loss Investigation Reviews’ for relevant PB APAC PBWM businesses
Understand metrics for the businesses and for PBWM as a whole
Challenging role in analyzing all relevant sources like risk reports, internal audit reports, regulatory reports, losses or key risk indicator data to conclude on residual operational risks and trends
Co-ordinate with equivalent counterparties in other regions

102

Operational Risk Manager Resume Examples & Samples

Establishing and overseeing the application of operational risk policies, technology and tools, and governance processes
Monitoring and assessing the effectiveness of risk mitigation tools including internal controls
Coordination of the Quarterly MCA Completeness to ensure all business lines are covered through MCA entities or exceptions are properly documented
Source, Analysis and summarize Operational Risk data that is being presented to Senior Risk and Controls Committees
Support the coordination, monitoring and analysis of the Quarterly Back testing for Significant Operational Events
Determine and prepare macro analysis of MCA key data points, Operational Losses, Emerging and Significant Operational Risks. Summarize key exposure for Senior Management
Data analysis of operational risk exposure metrics for Targeted reviews, Regulatory Reviews and ad hoc requests
Coordinate MCA entity maintenance, oversight and updates
Play a key role in the completion of MCA Quarterly and Annual Assessment Completeness
Support the production of key deliverables to support the effective interaction of the MCA COEs and the Segments/Functions/Regions
Coordination and execution of League Tables and Heat Maps to determine operational risk hot spots, key exposure, themes and emerging risks
A solid understanding of financial products and processes across all of Citi’s businesses or understanding a bank as a whole organization, its main purposes, dependencies and environment
Relevant experience in risk identification, assessment, monitoring, and remediation will be additional strength
Knowledge of financial reporting constructs (DSMT) is an advantage
Strong knowledge of Excel & Access
Able to produce outputs/analysis at a Global Level
Outstanding analytical skills; both quantitative and qualitative
Proactive attitude to tackling a variety of issues and topics on a daily basis
Ability to analyze problems and formulate conclusions and recommendations
Spanish is a plus

103

Operational Risk Manager Resume Examples & Samples

Implement and further develop the Internal Control guidance and standards, guidelines and definitions for control inventory management, identification of key controls and key control documentation
Implement standards for evaluation and Q&A which provide the platform for the 2nd line to review and challenge the output of 1st line control activities
Participate in governance over control initiatives across the bank
Ensure control design, operating effectiveness assessment and testing activities across relevant frameworks (ORF elements, SOX framework, ICS)
Build up a process framework, including process documentation for key bank processes, mapping of risks, controls and systems to processes
Act as an expert and liaise with key stakeholders from business, Shared Services and ORM; lead regular Internal Controls Working Group to promote improvement in the use of controls for both Investment Bank and Private Banking & Wealth Management areas
Develop Key Control Indicators (KCIs) and thresholds
Monitor and report control effectiveness assessment/testing, KCIs
Further define technical concept for Controls documentation in GRACE (GRC tool)
Further develop and maintain a global control repository and the ShS control catalogue to be used for the front to back risks in the RCSAs across the bank

104

Operational Risk Manager Resume Examples & Samples

Ensuring businesses meet all Macquarie operational risk requirements
Assisting in the development of operational risk frameworks, a strong risk management culture and to be recognized for providing expert operational risk advice
Assessing significant new product or business opportunities via the Macquarie approval process
Providing risk guidance on various business projects and ensure appropriate frameworks are in place to manage project and business risks
Partnering with all areas of the business to ensure they clearly understand their role in relation to effective operational risk management
Participating in appropriate Macquarie risk related committees
Leading the implementation and maintenance of effective risk management and control frameworks through completion of targeted reviews of critical controls and self-assessments
Managing the assurance function, including the design and implementation of an assurance plan to accommodate changes in the business
Maintain strong relationships with internal clients and other internal risk teams
Regularly meet with senior leadership to ensure their satisfaction with the business's risk oversight management

105

Operational Risk Manager Resume Examples & Samples

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
Ensures new or modified products and processes are reviewed through the appropriate governance routines and launched with adequate controls which can be monitored and reported
Provides imbedded support of assigned business area / 1-Down by attending and participating in business meeting routines to provide Control related updates to the team and to learn about any new initiatives that BORM would need to support
Assists with executing key policies – BORM, Records Management, Supplier Risk Management, and Business Continuity, ensuring self-identified issues are communicated and resolved timely
Provides support to the Business 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
Five (5) plus years’ experience in Consumer Operations, Controls and Risk Management
Knowledgeable in regulations, compliance and controls that affect the Consumer Bank and specifically Fraud
Proactive change agent
Adept at delivering and maintaining productive cross-functional working relationships
Prior matrix management and influencing responsibilities
Strong control management skills
Strong customer centric ethics
Strong process improvement skills
Excellent interpersonal, communication and leadership skills
Highly motivated, strong performer
Strong organizational and follow-up skills and the ability to multi-task effectively in a fast-paced environment
Strong problem-solving skills and the ability to work in an environment where priorities are frequently changing
Team oriented with a collegial approach to addressing challenges
Adept diversity skills, working in a team of diverse skill sets/cultures
Ability to react in a dynamic environment
Strong self-management skills and use of own initiative
Ability to effectively influence remote/virtual teams

106

Operational Risk Manager Resume Examples & Samples

Contribution to the design of operational Risk programs as well as implementation and oversight of these programs
Administration of strategic and operational input with business perspective to risk analysis
Partnership with various business partners in order to integrate multiple risk management strategies into their daily operations
Participate in the collection and analysis of data as well as the production of reports on such data
Involvement in testing, reviewing and analysis of an existing internal controls

107

Operational Risk Manager Resume Examples & Samples

Support approval and escalation processes for CCAR through creation of Senior Management briefing packages plus review of, and authoring sections as required for, consolidated CCAR methodology, process, and gap analysis documentation in support of regulatory filings
Review of analytical documentation including developer and Model Validation reports for CCAR and AMA plus other Operational Risk tools in support of required Risk Manager approval processes
Assist in evolutionary development of Citi's Operational Risk Appetite framework and other risk ranking tools
Collaborate with partnering organizations to identify and design methods to leverage tools (e.g. those developed for CCAR and Risk Appetite) for local legal entity or country application
Provide analytical support, as required, for scenario analysis efforts
5+ years of experience in a regulated industry
Prior working experience in Risk Management, Finance or Management Consulting preferred
Knowledge of Banking / regulatory rules a plus
Strong knowledge of Microsoft office products
Excellent communication skills, both verbal and written, inclusive of ability to distill complex relationships into clear, concise and actionable information
Analytical inquisitiveness and problem solving ability, e.g. ability to ask insightful questions, break challenges into workable components, and draw meaningful conclusions
Ability to collaborate with others to achieve team objectives
Self-starter with attention to detail, e.g. project management skills
Good at brainstorming, e.g. can conceptualize new approaches quickly

108

Operational Risk Manager Resume Examples & Samples

Manage an independent Quality Control function within the Asia editorial region
Daily operations of the MAQ function at the ASIA regional level
Operational Risk Management
Talent development and management
Provide support for compliance reviews and audits
Operational Risk background from within a Bank with at least 3 to 6 years of experience
Broad understanding of and ideally exposure to the Commodities sector
Strong numeracy skills, including and understanding of statistics. Solid understanding of risk management principles
Excellent at implementing processes that continually promote productivity and quality improvements
Excellent critical thinking skills and expert at problem/conflict resolution
Strong technical competency and computer skills coupled with a good knowledge and utilization of Microsoft Excel; Microsoft Office suite (Word, Powerpoint, Outlook…); an ability to adopt new technologies and champion those changes internally

109

Jun Operational Risk Manager Resume Examples & Samples

Hold meeting and discussions with stakeholders to understand and document the metrics requirements
Liaising with data providers to agree on data sourcing agreements with regards to the timeliness, completeness and accuracy of data for the new legal entity
Creating/updating metric feed and report specifications
Developing test cases and performing user acceptance testing of metrics and reports for rollout
Co-ordinate in the preparation of loss data for new branch
Adhere to the project timeline and ensure timely completion of deliverables
4+ years of work experience in a financial institution, preferably in a risk and control related role (E.g. Operational Risk/ internal audit/ external audit)
Exerience in MI Reporting, report preparation and/or production of performance/risk metrics
Experience in a Business Analayst or System Change role, with successful record of implementing projects or setting up processes
Expert knowledge of MS Word/ Excel/ PowerPoint
Experience with VBA/ SQL/XML

110

Operational Risk Manager Resume Examples & Samples

Develop and implement methodologies, as well as quantitative and qualitative effectiveness measures, to assess the effectiveness of Consumer ORM oversight execution
Lead and coordinate Consumer ORM input to ORM policy, procedures and standards
Drive appropriate development and update of Consumer ORM procedures
Assist in the oversight of a robust quarterly loss back testing process and support the aggregation of all risk monitoring indicators including Key Risk Indicators at a Global Consumer level
Assist in preparation of regular updates to regulators and senior governance forums including GCB Global BRCC, GCCF, CRO Regulatory updates etc
Represent Consumer team in all ORM infrastructure development efforts (e.g. ORI module, back-testing automation) and support UAT activities as needed
Coordinate deliverables for IA/Regulatory exams involving Independent ORM
Participate in, and support, ORM responsibilities related to the US and Global Consumer New Product Approval Committee (CPAC) as required
Assist in training as required to keep the Global Consumer ORM team regularly updated on policy and procedure changes
Deep knowledge of entire spectrum of Consumer Retail products across geographies
Knowledge of regulatory and operating environment of Consumer Retail businesses across multiple jurisdictions
Prior experience in Risk and/or Control functions
Superior communication especially with senior leaders in the organization
Ability to function effectively in a matrixed organization
Superior writing skills especially in development of clear and effective procedures
Strong interpersonal skills and ability to foster team work across multiple units within Consumer ORM and across the bigger ORM organization
Advanced project management abilities
Proficient in MS Office products for usage in execution of main responsibilities

111

Operational Risk Manager, Consumer, VP / SVP Resume Examples & Samples

Strong analytical skills applicable across Consumer businesses, products and customer classes
Able to eliminate chaos and confusion. Prioritizes high impact potential problems effectively
Innovative. Well versed in developing new ideas and improving current processes
Familiarity with a wide range of businesses; understands capital markets and retail products
Focuses and guides the priorities of others. Makes well-reasoned decisions under pressure

112

Operational Risk Manager Resume Examples & Samples

Participate in design/development of new initiatives e.g. new Group Standard (where requested by Group)
Ensure OPR (Operational Risk) score is maintained at an appropriately high level
Develop appropriate framework reports to meet internal and external governance requirements
Report to Board Risk Committee (as part of Risk Management Report and regarding specific projects as required)
Develop Management Information for various fora
Develop and embed revised approach to Risk Self Assessments
Expand reporting capability, exception management and ongoing monitoring of identified control environment
Bring the end to end process to life to support Risk Management in the 1st line
Review Operational Risk events for recurring issues and lead remediation exercises where appropriate
Develop an Assurance Testing framework and governance model

113

Operational Risk Manager Resume Examples & Samples

Provides imbedded support of assigned business area / 1-Down by attending and participating in business meeting routines to provide Control related updates to the team and to learn about any new initiatives that ORM would need to support
Assists with executing Collection policies, and other policies within the control framework (ORM, Records Management, Supplier Risk Management, Business Continuity, ensuring self-identified issues are communicated and resolved timely
Provides support to the Collections 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 as needed
Bachelor's Degree/equivalent experience
5+ years of years of direct, relevant experience in financial services, with enhanced knowledge of the business to be supported in regulatory compliance environment
Control/Compliance experience within Collections and/or Risk Policy preferred with experience developing control monitoring or compliance testing routines
Strong judgment and critical thinking skills, demonstrated analytical skills, and performs advanced analytical reporting
Integrates subject matter and industry expertise within a defined area. Requires in-depth understanding of how areas collectively integrate within the sub-function
Strong communication and diplomacy skills and presentation skills are required

114

Operational Risk Manager Resume Examples & Samples

Provide ORM coverage to Business in India, Sri Lanka and Bangladesh as a Technology Risk SME
Work in tandem with key stakeholders in these Businesses to proactively identify, analyze and mitigate technology related risks
Implement and assess controls
Prevent losses and assist recoveries
Improve effectiveness of MCA and support the first line in managing operational risk situations as they arise
Independent assessment of risks challenging both our historical and proposed practices and working as independent partners
Maintaining an ORM assessment of the most significant, current and emerging operational risks to business activities and ensuring appropriate actions are in place to mitigate these risks
Ensure that all operational risk considerations have been adequately addressed by business in new product being launched
Creating risk awareness across all employees in the business and driving importance of proactively managing operational risks and timely escalation within senior management
Effective and optimal application of operational risk policies, technology and tools and governance processes
Ensure adequacy of root cause analysis and corrective action post an operational risk event
Provide an effective challenge to the Business risk assessment procedures and validate their self assessment ratings
Engage with business and functional heads proactively across Risk value chain: viz risk assessment, measurement, monitoring and mitigation
Support implementation of MCA procedures through challenge and validation
As part of the country ORM team, help drive strategic projects (Regional/global) and MWB's
Provide guidance and support to 1st line of defense on operational risk policies, procedures, tools, systems etc. as the subject matter expert
Work with business on challenging the response to significant operational risk events and provide guidance to ensure lasting solutions for addressing root cause
Review NPAC memos and provide in country NPAC clearance
Act as a catalyst to continually improve processes that offer operational and productivity efficiencies and proactively engage with businesses to assess their risk and control environments
Analyze process flows and determine best practices based on previous risk experience/knowledge and efficiencies and internal audit/compliance requirements
Perform detailed analysis of processes through thematic deep dives and process walk through to help Business identify emerging risks
Monitor industry trends on operational risk and engage with businesses to assess applicability and highlight emerging risks
Work closely with Business and function heads to reduce operational losses and frequency of events
7+ years
The ideal candidate will have in-depth, detailed knowledge of the processes associated with managing technology development, support and infrastructure
Well versed in developing new ideas and improving current processes
Can clearly articulate the processes supporting a business unit’s function, controls, business priorities, impact on financial reporting, issues and risks associated with the IT infrastructure
Understands limitations
Can identify gaps and proactively help develop solutions
Provides leadership in optimization and efficiencies in control practices for the business as well as the resolution of cross business issues
Experienced negotiator – able to identify and influence key decision makers across various levels and functions within the organization
Diffuse conflict and work toward agreement
Experiences in using active listening techniques on a consistent basis
Prior experience in previous roles may include but is not limited to Technology, Operations and Audit

115

Experienced Operational Risk Manager Resume Examples & Samples

Manages relationships with senior stakeholders within Operational Risk management (ORM) and respective businesses and functional areas, including the first line of defense risk and control functions
Partners with the divisional and Bank-wide ORFG Risk teams to ensure the regional execution of operational risk framework and governance best practices in the business
Provides training to the Front Office and Corporate Function areas on the individual components of the operational risk framework to ensure compliance with FED Enhanced Prudential Standards
Assists in the customization of the Global Operational Risk Framework and implementation of changes as required to satisfy the Intermediate Holding Company (IHC) and enhanced scrutiny of US regulators
Monitors and validates the risk management process periodically
Implements or supports the implementation of audit and regulatory issues relevant to area of responsibility within agreed upon time frames, escalates and resolves issues to assist compliance with critical deadlines
Communicates and collaborates effectively and timely with the other Operational Risk functions, other Chief Risk Officer (CRO) departments and other Corporate Functions

116

Operational Risk Manager Supporting Default Resume Examples & Samples

1) Business Change Risk Assessments (BCRA)
2) Issues Management
3) Key Risk Indicators (KRI) Analysis
4) Walkthrough Testing and Assessment (WTA)
5) Policy & Procedure Management Reviews (PPM)
6) And other duties as assigned

117

Operational Risk Manager Resume Examples & Samples

NOTE** The information listed within this description summary is intended to indicate the general nature and level
Leads annual and quarterly Managers Control Assessment (MCA) self-assessments and completion of all Control related assessments on behalf of the business process owner. Provides support for ongoing changes to the MCA program as required, not just at specific points in time
Assists with executing key policies – CBORC, Records Management, Supplier Risk Management, and Business
Continuity, ensuring self-identified issues are communicated and resolved timely
Provides support to the CBORC Operational Risk Senior 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

118

Rohq-esc-operational Risk Manager Resume Examples & Samples

Provide subject matter expertise and act as single point of contact for all areas of delegated responsibility within APAC ESC R&C
Ensure a clear understanding of all Citi policies and procedures that directly impact ESC (CEMP, TPM etc.)
Implement clear and concise policies and procedures to all Regional and Country ESC staff
The role is responsible for driving the adoption and adherence to these processes and procedures to minimise risk
Required to advise Senior ESC Management on general risk and control matters and advise on the controls to be put in place to address these. Additionally, advise Senior ESC Management where processes and policies are not being followed and advise on corrective actions to be taken
Provide regional input to the Global Risk and Control programme and strategy
Work closely with Global Risk peers to ensure a clear understanding of regional and country requirements
Work to create a Globally consistent risk and control framework that minimizes wherever possible regional and country variations
Communicate effectively within the APAC ESC community, ensuring that all communications are appropriate, impactful and effective
Act as an APAC ESC R&C training facilitator, ensuring knowledge transfer, increased awareness and compliance with key R&C policies and procedures
Assist in the identification, profiling and mitigation of risk across APAC ESC
Knowledge of some elements of supply chain management preferred
Some experience with risk management, compliance and/or controls environments
Solid project management, process reengineering and reporting experience
International work experience within multi-national companies
Experience of working within matrix organization structures and with multiple virtual relationships
Ability to collect, extract and analyze data from a variety of sources
Ability to act as a training facilitator
Excellent stakeholder relationship management (SRM)
Excellent ability to multi-task and prioritize
MS Office and Excel, PowerPoint

119

Operational Risk Manager Resume Examples & Samples

Face off to the business or infrastructure functions, strengthening their risk frameworks
Build strong relationships with managers in the different functions
Manage and lead junior members of the operational risk team
Be responsible for designing certain parts of the Bank's Operational Risk Framework
Providing stakeholders with expert Operational Risk support
Face off to regulators when required
Develop Operational Risk as the 2nd line of defence, and manage relationships with control and Audit
At least 3 years experience of Operational Risk or Control within Financial Services
Knowledge of Capital Markets
Have an understanding of key business priorities and commercial aspects of business
Business level English and Japanese skills
Experience managing an Operational Risk team
Experience within another Risk function

120

Operational Risk Manager Resume Examples & Samples

Ensure proper management of Operational Risk in Venezuela and Aruba
Work in coordination/unison with the ORM LatAm community to deliver the consolidated plan of initiatives & projects for the region
Provide oversight, supervision and monitoring of the MCA program. Perform independent and effective challenges to the businesses
Analyze operational risk data (typically losses, metrics or assessment results) to identify areas of excessive risk and also to ensure past mitigation efforts are having the desired effect
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
Ability to “connect the dots” to take seemingly disparate or unconnected information and put it all together to form a complete picture of operational risk

121

Operational Risk Manager Resume Examples & Samples

Have a successful history of tailoring Risk and Compliance solutions to a Markets business
Have the ability to think at both the strategic and operational levels
Be able to demonstrate sound business acumen and the ability to multi task
Ideally have strong commercial banking products and services knowledge
Have the ability to work under pressure and meet key deadlines
Possess exceptional rapport building skills with regulators and stakeholders

122

Operational Risk Manager Resume Examples & Samples

Responsible for supporting the EMEA markets operational risk team on the operation of the key following key elements of the framework for the Fixed Income, Currencies and Commodities (FICC) EMEA business
Participate in or lead operational risk reviews / assessments of specific areas
Support review and development of operational risk KRIs
Support in the identification of assessment of merging risks
Assist in the implementation of the operational risk framework and embed risk culture
Liaison with internal audit to confirm alignment of objectives
Evaluate risk and their adherence to policies for major change initiatives, new products and significant systems enhancements
Track record of practical experience in Operational Risk / Audit
Evident experience in having the responsibility for designing, processing, and implementing risk controls
A deep understanding of financial products and regulatory requirements
A strong knowledge of Vanilla, derivative and structured products

123

Operational Risk Manager Resume Examples & Samples

Be responsible for the maintenance of the operational risk management policies and ensure that it complies with the required regulations
Review incidents reports and liaise with relevant parties for followup and action plans
Liaise with all departments to develop business continuity plans and conduct regular BCP drill exercises, and update the Group master BCP manual
Perform risk analysis and suggest control measures in ad hoc projects like new business or product development, system enhancement or termination
Review the internal control self-assessment reports from business units and provide recommendations on control enhancement
Answer internal and external enquiries related to operational risk matters
Compile risk reports to management on a regular basis
Have at least 3-5 years' operational risk management experience or relevant experience in internal control, auditing, procedural review
Keen interest in financial industry and sound knowledge in various securities brokerage and investment banking businesses
Solid knowledge of modern risk management theory, common practice and overall risk management system including market risk management, credit risk management as well as operational risk management
Good command of spoken and written English and Chinese including Mandarin is a must

124

Operational Risk Manager Resume Examples & Samples

Support roll-out Target Operating Model for Transaction Processing Risk Management
Provide training and guidance to 1st Lines of Defense with regards to application of the Transaction Processing Risk Taxonomy and Control Standards
Assist and guide 1st Lines of Defense to develop meaningful and risk sensitive Key Risk Indicators for Transaction Processing Risks
Develop and implement high level control policies outlining minimum requirements and principles for control, and minimum assurance requirements
Perform “deep dives” on material trends, issues and emerging Transaction Processing Risks
Review and challenge 1st line control standards via a sample/risk based testing approach
Identify risks requiring mitigation where exposures are in excess of relevant OR thresholds / Risk Appetite
Monitor, manage and escalate of significant risk issues
Perform independent oversight, monitoring and assessment activities on a risk-basis through analysis of internal loss data, external loss data, key risk indicators and Risk & Control Assessment across business and infrastructure divisions globally for Transaction Processing Risk
Monitor the Transaction Processing Risk Profile of the bank and individual business divisions e.g. Review risk assessments, key risk indicators and other material operational risk information

125

Operational Risk Manager Resume Examples & Samples

Identify risk and control issues at business and framework level
Manage aspects of operational risk and the implementation of controls
Encourage and ensure the performance of KRIs and RCSAs
Analyse operational risk issues and improve the quality of controls and operational risk management
Operational risk experience in an asset management firm
Excellent working knowledge of operational risk implementation in compliance with regulations
Excellent stakeholder management across all levels of business

126

Operational Risk Manager Resume Examples & Samples

Bachelors Degree in Finance or Accounting or a related discipline
Have a minimum of 7 plus years experience in the mortgage business
Operational risk management experience a plus
Broad knowledge of the regulatory environment relating to mortgage activities
Excellent project management skills and strong communication skills
Excellent analytical, organizational skills and problem solving abilities

127

VP, Operational Risk Manager Resume Examples & Samples

Preparation of deliverables, samples and other data requested for exams and audits of Risk Management
Coordination of efforts to address questions and other requests during exams and audits
Management of remediation actions coming out of exams, audits or that are self-identified by the business
Regular reporting on progress against open issues being resolved by the business
Interactions with the business and other groups to address an ongoing stream of questions and requests made by regulators, audit teams and other examination entities
Problem solving to help establish viable and sustainable solutions to business issues that arise
Regular attendance at a variety of meetings that focus on resolving and remediation of problems that the business encounters
Serve as a liaison between reviewing entities and the business, solving for most / all of the questions being asked before having to engage the Risk or other business teams
Perform analysis and data manipulation using the Data Warehouse and other platforms where information can be assembled to address exam, audit, Regulatory and a variety of other business questions
Significant participation in Citi’s AML (Anti Money Laundering) efforts on behalf of the Cards business will be likely over the next 2 years
Bachelors Degree required in Business management or similar discipline
The ideal candidate must have excellent communication skills and be able to effectively influence others in order to accomplish immediate tasks as well as the broader goals of the group
Presentation skills are critical given requirement to frequently communicate with broad and diverse groups that typically include senior management within and across the organization
Project management, organization and follow-up diligence are key components to success in this role. Knowledge of MS Project is a plus
Candidate must have strong analytical skills and be well versed in the use of SAS and SQL to extract and manipulate data from data warehouse environments and mainframe type systems
Knowledge of the Credit Cards Business and Risk Management within the Cards Business is a large plus
Background / understanding of Compliance concerns as they relate to the Credit Cards industry is a plus

128

VP, Operational Risk Manager Resume Examples & Samples

Preparation of deliverables, samples and other data requested for exams or audits of Risk Management
Follow-up and coordination of efforts to address questions and other requests during exams or audits
Management of remediation actions coming out of exams, audits or having been self-identified by the business

129

Operational Risk Manager Resume Examples & Samples

Conducting risk reviews of significant operational events to determine the fact pattern, control gaps and working with relevant businesses and functions implement remediation to avoid a repeat event. Lessons should be shared to mitigate similar risks elsewhere
Developing strong relationships with regional businesses and country leads by providing value added advisory and independent oversight
Analysing operational risk data (typically losses, metrics or assessment results) to identify areas of excessive risk and also to ensure past mitigation efforts are having the desired effect
Investigating what is causing metrics to deviate from trend and escalating situations that pose excessive risk
Applying their expertise in the development and analysis of operational risk focused scenario workshops
Educating businesses /functions on the ORM framework
Undergraduate degree level preferred
Good knowledge of financial markets and products; extensive work experience
Ability to collaborate and good at brainstorming; can conceptualise new approaches quickly

130

Operational Risk Manager Resume Examples & Samples

Provide end to end Operational Risk Management support - advisory, in depth risk profiling, controls assurance, KRI's, & project management
Facilitate the implementation of a fit-for-purpose Operational Risk & Compliance Framework
Conducting business unit analysis and providing ORM support, training and advice to 1st Line and business stakeholders
Challenge and educate the business on regulatory change, best practice and process/strategic improvement

131

Operational Risk Manager Resume Examples & Samples

Build and lead teams effectively, ensuring service levels and standards are maintained
Contribute to the development of the Risk Advisory practice within the Irish market
Maintain and develop existing client relationships, and contribute to the development of new business opportunities
Service a portfolio of key clients and successfully develop service offerings to meet demands

132

Operational Risk Manager Resume Examples & Samples

Identify operational risks within the function and ensuring that these are appropriately evaluated and documented
Ensure that appropriate remediation actions are taken and lead the analysis where appropriate
Effectuate coordination across GRC functions with appropriate escalation and reporting to senior management and governance forums
Facilitate the functional processes relating to formal operational risk certifications including SOX 302 and SOX 404
Contribute to specific risk analysis and reviews of targeted areas within Group Risk Control functions and discover and collate information from across UBS to support ongoing assessment of risks impacting Group Risk Control
Drive the preparation of Risk COO dashboards for the Group Risk Control Operational Risk Oversight Committee
Experienced professional with significant work experience in Operational Risk, ideally from Market and / or Credit Risk function in financial services organizations
Possess strong analytical skills with the ability to identify problems and develop solutions; manage details while maintaining a strategic view and work effectively with ambiguity and change
Self-starter with strong initiative and sense of ownership including the ability to work under own direction and be accountable for deliverables
Excellent teamwork skills with the ability to build relationships and to work effectively with all levels of seniority across the firm

133

Operational Risk Manager Resume Examples & Samples

Implementation of the Operational Risk Framework to the Americas Branches, including setting and development of risk appetite, monitoring & responding to metrics and incidents, and ensuring appropriate MI is provided to governance meetings
Independently oversee, advise, review and challenge the Front, Middle and Back Office in various risk management activities, from both a regional perspective and in conjunction with the Global ORM team
Assist, review and challenge, and provide quality assurance of the business' Risk & Control Self Assessments (RCSA) in accordance with the RCSA policy established by the Firm
Lead/participate in change initiatives, remediation projects and issue resolution throughout the region in an operational risk capacity. Ensure timely and comprehensive delivery of project milestones and regulatory requirements
Participate in the senior risk management committees for the branches or the region
Ensure Business Conduct Behavior embeddedness in HR and business day-to-day processes
Foster strong collaboration with ORM peers in charge of the other regions / divisions

134

Operational Risk Manager Resume Examples & Samples

Act as a principal point of contact on the operational risk framework and operational risk matters for Branch partners, Branch clients, and other key Northern interested parties
Provide timely and clear interpretation/guidance on new/existing corporate operational risk related policies and business unit procedures; ensure Branch is compliant with relevant operational risk standards and policies, including vendor management, outsourcing, model risk, end user computing programs
Local support and coordination point for global (SOC 1) and local (GS 007) internal control report production and broader external audit program
Lead or key participant in the Melbourne Operational Risk Oversight Council; track action items through to completion, including the proactive follow up and escalation of pending triggered or annual reviews
Timely production of risk related reporting for the Melbourne Risk Management Committee and the Melbourne Operational Risk Oversight Council
Logging, analysis, guidance, negotiation, and approval of loss events
Working with client services and relevant operational process owners to maintain a robust incident management process; ensure appropriate levels of risk oversight of incident reports including analysis and reporting of trends and proposed actions/mitigants
Lead targeted operational control risk assessments on key business processes, including fraud risk assessments
Oversight and validation of Risk and Control Self Assessments, including review in light of business changes, operational events, and account servicing losses
RAR’s – engage with business unit managers to analyse and challenge monthly Risk Assessment Reporting; ensure timely communication of reporting through to Operational Risk partners for regional consolidation and distribution
Serve on internal governance bodies and/or work streams related to client take-on and implementation activities, new operating models, and business process migrations to identify, analyse, mitigate, report and escalate operational risks, as required
Participate in internal risk assessment forums associated with business opportunities and the associated operational requirements
Serve as Branch operational risk subject matter expert in dealings with Australia or US regulators
Participate in and/or lead internal initiatives/projects as required

135

Operational Risk Manager Resume Examples & Samples

Manage the delivery of Risk & Compliance frameworks, including implementation of improvement programs, risk profiling, risk and control assessments and driving risk culture
Support the review and implementation of risk management framework, including quality improvement processes, training and controls testing
Lead legislative change projects by undertaking specialist risk and compliance activities surrounding controls framework, policies, reporting and training
Provide detailed operational risk advisory regarding change and strategic business practices and initiatives, changing regulatory requirements and rising trends
Advising on and driving the development of risk culture and risk awareness
Assisting the overall Risk function in delivering support and advice to the business

136

Operational Risk Manager Resume Examples & Samples

Contributing to the prioritisation of independent oversight, monitoring and assessment activities on a risk-basis through completing a quarterly risk priority and coverage plan for the Infrastructure Functions of the Bank
Performing ORM activities for the Infrastructure Functions
Monitoring the operational risk profile, by for example reviewing the end to end process risk assessments and material operational risk information
Measuring the quality and timeliness of execution against the risk priority plan
Providing effective and demonstrable challenges to the risk owners
Providing clear, demonstrable and risk-based challenges

137

Operational Risk Manager Resume Examples & Samples

Leadership, management and supervision of a 6 member Operational Risk team, striving to achieve goals and objectives of the Risk management organization
Independent oversight of the compliance and implementation of the Group Operational Risk Management Framework and its effectiveness in assessing material operational risks, challenging remediation and operational decisions, change initiatives and trends/emerging risks
Global independent oversight for Operational Risk as it relates to delivery of key regulatory change initiatives including Comprehensive Capital Analysis and Review (CCAR) for the BHC, compliance with FBO Enhanced Prudential Standards and the implementation of the Intermediate Holding Company (IHC). This includes, but is not limited to, the development of robust Risk & Control Assessments, Risk Identification and scenario creation
Additional Operational Risk Management Framework principles requiring focus
Monitor the Operational Risk Profile e.g. Review E2E process risk assessments and material operational risk information
Assess key risks and controls e.g. Review lesson learned and approve risk acceptances
Measure quality and timeliness of execution against Risk Priority Plan
Assess material change initiatives and monitor risk remediation
Engage in key risk and control forums and report to key stakeholders
Provide effective and demonstrable challenge to the risk owners, where required
Provide clear, demonstrable and risk-based challenge
Measure evidence of effective challenge and resolution
Fifteen or more years of experience in a risk management function or business function focused on risk and control
Robust understanding of Operational Risk Management practices, Advanced Measurement Approach, and US Regulation, including but not limited to, Enhanced Prudential Standards, Comprehensive Capital Analysis Review (CCAR), Basel III, Volcker
Excellent influencing and negotiation skills and interpersonal skills in interacting with senior management within Financial Services
Assertive, confident and articulate

138

Regional Operational Risk Manager Resume Examples & Samples

Support line management with raising operational risk awareness, maintaining the operational risk monitoring dashboard, action tracking and follow-up of outstanding risk mitigation actions
Provide support to maintain the operational risk framework according to Group's ORM requirements
Assist in capturing operational loss and risk data for corporate governance
Follow-up actions taken by business to address / resolve operational risk issue
Provide support in the implementation of Operational Risk policy and procedures
Development of ORM processes on Risk Control Self Assessment (RCSA), Key Risk Indicators (KRI) Reporting and Incident Response
Assist in trainings and other initiatives on ORM
Ensure the ORM monitoring and reporting framework of each business unit are in line with the Group Requirement

139

Operational Risk Manager Resume Examples & Samples

Independently assess significant operational risk events in two assigned organizations within Global Functions
Challenge and drive business action to effectively manage the significant operational risk events
Lead two Global Function ORM risk initiatives
Coordinate with Regional Operational Risk Management assessments, initiatives, and issue management for the two assigned organizations in Global Functions
Strong analytical and project management skills, good communication skills, knowledge of controls
Experience in Operational Risk with knowledge of Citi’s Manager’s Control Assessment (MCA)
Owning an issue, and or leading initiative with the ability to execute and close out an issue in a timely manner
Self-starter and inquisitive
Develops approach to gather and analyze data from different sources and integrate results to draw conclusions and recommendations

140

Operational Risk Manager Resume Examples & Samples

Bachelor’s degree in quantitative discipline
Master’s degree is a plus
5+ years of experience in financial services
Experience in working with large databases and quantitative analysis. Experience with statistical software packages is a plus. Excellent general computer skills
Experience in Risk Management, Finance, and/or Operations and Technology is a plus
Substantial, broad knowledge of the major financial products and services in either Consumer or Institutional lines of business is required
Excellent oral and written communications skills; Must be articulate and persuasive
Self-starter with a high level of demonstrated initiatives
Demonstrated ability to excel within a complex matrix organization
Must demonstrate ability to successfully engage in multiple projects
Fluency in Spanish and/or Portuguese a plus

141

Operational Risk Manager Resume Examples & Samples

Develop and implement an Operational Risk testing plan across the suite of High Net Worth (HNW) and Securities Based Lending (SBL) products offered to Wealth Management clients
Facilitate a sustainable RCSA testing program across Wealth Management First and Second Lines of Defense
Provide risk management support and guidance to the HNW and SBL Product Heads, Product Specialists, and First Line Business Unit partners
Identify HNW and SBL control deficiencies and proactively manage, where appropriate, the remediation of deficiencies across all First Line Units impacted
Manage the Operational Risk Incident capture, monitoring, and reporting framework as part of the First Line Business Unit for High Net Worth Lending and Securities Based Lending products
Manage the Issues and Actions Tracking program as part of the First Line Business Unit for HNW and SBL products
Perform risk monitoring and reporting of Internal Audits, Regulatory Exams, and Compliance Assessments
Provide support of the MSPBNA and PBG Risk Assessment program in support of the Risk Governance Framework, across all three lines of defense
Develop in-depth knowledge of HNW and SBL products within the Private Banking Group
5+ years of related experience in the banking industry
An undergraduate degree in business, finance or related fields
Experience with operational risk disciplines: strong at identifying key control points within a process, and then provide assessment of the preventative and detective controls
Strong Data analysis (Microsoft Office suite) and reporting skills
Strong sense of ownership, accountability, is fungible and has an entrepreneurial spirit
Strong communication and project management skills
Can manage ambiguity, and bring focus with recommendations on solving tactical and strategic challenges
Ability to communicate upwards and downwards, act assertively and with tact on complex and sensitive issues
Interpersonal skills, freely develops networks, builds consensus, prioritizes effectively, and develops alliances across organizations

142

Regional Operational Risk Manager Asia Markets Resume Examples & Samples

Strong analytical skills applicable across Markets businesses, products and customer classes
Well versed in breaking down complex matters into core issues and root causes that can be more readily addressed
Innovative; well versed in developing new ideas and improving current processes
Provides leadership in optimization and efficiencies in control practices for the business as well as the resolution of cross business issues. Engages business and functional managers to mitigate risks
Focuses and guides the priorities of others; makes well-reasoned decisions under pressure
Experienced negotiator - able to identify and influence key decision makers across various levels and functions within the organization; diffuse conflict and work toward agreement

143

Operational Risk Manager, Markets Coverage Resume Examples & Samples

Effectively planning Operational Risk Management (ORM) activities, that focus on material operational risks, operational decisions, change initiatives and concerning trends/emerging risks
Performing independent oversight, for implementation of the Group's operational risk management framework within the Business Divisions and Infrastructure Functions
Independently monitoring the operational risk profile of Business Divisions and Infrastructure Functions
Independently assessing material risks and/or key controls, providing challenge, approval or veto as appropriate
Contributing to the prioritisation of independent oversight, monitoring and assessment activities on a risk-basis through completing a quarterly risk priority and coverage plan for Corporate Banking & Securities
Overseeing the implementation of the Operational Risk Management Framework (ORMF), by Business Division and Infrastructure Functions
Monitoring the operational risk profile, for example by reviewing the end to end process risk assessments and material operational risk information
Assessing key risks and controls for example reviewing lesson learned and approving risk acceptances
Providing effective and demonstrable risk based challenges to the risk owners

144

Operational Risk Manager Resume Examples & Samples

Work across the Institution to document process flows, highlighting the risks within the process flows, identifying controls which are needed to mitigate the risks
Work with 1st Line to embed controls in BAU and assist with preparation of Audits and RCSA's
Work alongside the compliance team to highlight controls common across both teams
Assist with the development of KRI and KCI's to assist with the dashboard reporting
Develop and manage relationships with 2nd line risk and compliance, as well as other wider business teams
Experience within Operational Risk from a consulting or audit background with FS experience
Or experience in Operational Risk Advisory in a similar area within another FS organisation
Experience of converting the complex into the simple
Risk or related industry qualifications

145

Rohq-fro-operational Risk Manager Resume Examples & Samples

BS Business Administration, Finance or Accounting or equivalent experience
Minimum 10 years work experience in Compliance, Audit, or Risk Management
Effective time management, documentation and organizational skills
Proficient in the use of workstation applications (MS Word, MS Excel, MS Powerpoint, etc)
Able to handle high volume of work & adapt to change
Able to plan and manage own time

146

Rmg-operational Risk Manager Resume Examples & Samples

Understanding the business risk profile and key processes and where appropriate complete targeted risk assessments in conjunction with the business
Applying analytics to operational risk data to identify risks and trends to improve business risk management
Provision of insights and advice to businesses on the best practice for design, measurement, analysis, evaluation and reporting of operational risk
Evaluation of risks, using scenario analysis where appropriate, to define Operational Risk Capital requirements for locally regulated entities
Preparing Operational Risk reporting on the ORMF to various governance forums
A tertiary degree in Finance or a related area. Relevant postgraduate degrees or professional qualifications are desirable
Operational Risk, Internal or External Audit experience gained within a dynamic international financial institution or professional services firm
A high level of technological awareness and a familiarity with risk management systems

147

VP, Operational Risk Manager Citimortgage Resume Examples & Samples

Possesses strong institutional knowledge. Knowledgeable about different markets, products, strategies, analytical tools, financial and risk databases and associated risks
Anticipates and responds to client needs
Uses tools and techniques to effectively identify and assess trends and risks
In a manager role, effectively leads and develops others; provides candid and honest feedback on an on-going basis
Takes a proactive approach in managing risk as appropriate
Supports diversity by actively building and cultivating strong connections and partnerships across the business/region
Minimum of 6 -10 years of operational or credit risk management. Previous track record that demonstrates successful operational or credit risk management experiences including working on cross functional, strategic initiatives
Mortgage banking experience preferred

148

Operational Risk Manager Resume Examples & Samples

Work with HRSS Product Teams and Regions to ensure adherence to all data privacy related requirements, and to manage and expedite required approval and clearance for HRSS initiatives
Partner with HRSS Product Teams, HRSS Regions, HR Control & Compliance, and internal partners and stakeholders to establish ongoing project tracking, management reporting, and compliance monitoring activities
Work closely members of Citi Data Privacy Operations, Legal, and Compliance teams to analyze data privacy obligations for HRSS initiatives and provide recommended solutions
Develop a solid understanding of HRSS Risk & Control programs, HRSS Products, and related functions, systems, and applications
Provide development guidance and assist in the identification, implementation, and maintenance of HRSS HR/workforce information privacy guidelines, practices, and procedures
Provide leadership, subject matter expertise, and awareness to internal clients (HRSS Product Teams, HRSS Regions, application support functions, etc.) on global data privacy laws with implications for the collection, use, and transfer of HR/workforce data
Partner with HR in the development, management, and utilization of proprietary applications and/or databases for purposes of tracking the data elements and requirements associated with the cross-border transfer of all existing and new HR/workforce data that is utilized enterprise-wide

149

Operational Risk Manager Resume Examples & Samples

Facilitate implementation of a fit for purpose Operational risk and compliance framework
Providing end to end risk management support across all functions of the business
Conducting business unit analysis and providing ORM support, training and advice
Driving and encouraging an effective Risk & Compliance culture across the business

150

Operational Risk Manager, ORM PB Asia Pacific Resume Examples & Samples

Continuously support the relevant Director lead to exchange views with senior PB and Corporate Functions (CF) Management in the region
Proactively collaborate with other control functions of both the 1st and 2nd line of defense
Develop a good relationship with one or more PB business areas or locations including major CF functions, supporting the Director lead
Contribute to ORM PB deliveries to regional / local risk management committees and key projects
Significant involvement in ‘Loss Investigation Reviews’ for relevant PB APAC PB businesses
Participate in the Risk & Control Self-Assessment (RCSA) process including regular review/updates of the OpRisk Register
Understand metrics for the businesses and for PB as a whole

151

PW & Cc-wealth Management Operational Risk Manager Resume Examples & Samples

Involves investigating and responding to clients on client complaints
Coordinating the Operational losses related processes
Designing and review of relevant Policies
Process and Controls designing, reviews and providing guidance to the business on such aspects including Conduct , Conflict Risks etc
Review of business Key Risk Indicators (KRIs) and related processes
NPA related engagements from a ORM perspective
MAS and Regulatory related reviews and coordination including remediation programs from a Risk & Control perspective
Risk related approvals to the business
Coordination of 1st LOD related activities ( WSP reviews etc )

152

Operational Risk Manager Resume Examples & Samples

Risk Identification, Analysis, Management and reporting
Consumer Operations Incident escalation and reporting
Coordination of corrective action plans and reporting
Assisting with process reviews to ensure business unit compliance to policies and procedures
Assist coordination of Internal Audits, Reviews and Regulatory Examination Management
Effective communication with business partners
Production of central risk reporting and governance frameworks across Consumer Operations
Compile reports and coordinate risk review meetings with process managers
Provide risk and control subject matter expertise to the Consumer Operations business in managing risks
Partner with the business in root cause analysis of risk events and control breaks, and establish an effective feedback loop to management
Creation of Risk Management Committee decks for Senior Leadership team review
You may also be required to assist with end to end deep dive reviews of processes, systems, controls and compliance obligations to identify weaknesses and process improvement opportunities
You will help drive a culture of controls and assist with co-ordination of all audits: regulations, internal audit, external audit, and compliance testing and regional reviews. You will help drive strong audit outcomes including management awareness ratings
Partnering with line 2 risk and compliance functions to enhance the business control framework and reporting
Strong understanding of operational risk, process and controls concepts, including risk identification, monitoring frameworks and methodologies
Adaptable to change and constantly seek opportunities to improve process and controls
Strong stakeholder management
Ability to work autonomously
Sound background in retail banking, experience in dealing with auditors or regulators and display an understanding of regulatory obligations surrounding consumer banking products
At least 5 years of internal audit/compliance/risk background gained in consumer banking
Preferably be professionally qualified or have relevant tertiary education

153

SVP, Operational Risk Manager Resume Examples & Samples

Bachelor’s Degree, or equivalent
Minimum 10 years of experience in Financial Services industry
Minimum of 5 years of experience in Risk Management, with specific experience in ORM
Proven leadership qualities partnering with both FirstLine-of-Defense (LOD) units and Second LOD functions
Proven track record of building strong relationships across business functions
Maturity level and skill/judgment to be able to deal effectively with senior managers within CitiMortgage

154

VP, Operational Risk Manager Resume Examples & Samples

Leads and coordinates focused or allocated resources for analyst/specialist groups to complete root cause analysis
Uses tools and techniques to effectively identify and assess root cause, trends, and risks
In a manager role, effectively manages and develops others; provides candid and honest feedback on an on-going basis
Understands and reviews risk processes to ensure the execution of the documentation of root cause analysis needed to protect the bank’s reputation and economic capital
Understands applicable US and local regulations, guidelines and practices
Institutes measures for strong root cause analysis and control environment for business/product group
Takes a proactive approach in managing root cause analysis and minimizing risk as appropriate
Understands the ARR process
Bachelors degree,
Minimum of 6 -10 years of operational or credit risk management. Previous track record that demonstrates successful operational or credit risk management experiences including working on cross functional, strategic initiatives and root cause analysis
Six Sigma Certification or experience/proficiency leveraging Root Cause Analysis Tools

155

Business Operational Risk Manager Macquarie Securities Group Resume Examples & Samples

Understanding business key processes and controls to assess MSG's operational risk profile and compliance with related policies via assessments, incident investigation and control assurance both regionally and globally,
Engaging with business stakeholders to influence and implement improvements to our operational risk framework and independently challenge the status quo to achieve commercial and practical outcomes for the business
Liaising with Compliance, Finance, Operations, IT and other business aligned Op Risk teams as MSGs representative in ANZ
Presenting operational risk reporting and thematic analysis to regional and global governance forums, and respond to periodic requests from business management, auditors, central aligned risk management teams
Tertiary qualifications in Finance or a related discipline, and/or hold a relevant post graduate degree
An understanding of equities, derivatives and delta one businesses from previous experience in an Operational Risk, Internal Audit or direct business role
Strong problem solving skills with the ability to think laterally and grasp abstract concepts and complex situations
Excellent communication skills, with the ability to lead conversations, influence, negotiate and build strong relationships with business leaders and risk management colleagues
The ability to work independently as well as collaboratively within a global matrixed business to deliver results

156

Mortgage Operational Risk Manager Resume Examples & Samples

Have a minimum of 7 plus years experience in the mortgage business
Operational risk management experience a plus
Broad knowledge of the regulatory environment relating to mortgage activities
Excellent project management skills and strong communication skills
Excellent analytical, organizational skills and problem solving abilities

157

Operational Risk Manager Resume Examples & Samples

Management of the risk framework within Human Resources and Business Services divisions
Collation, analysis and reporting of a variety risk information on a routine and exception basis
Review and implement Group-wide and Divisional policies and procedures
Training and risk mindset initiatives
Collaboration with central Risk Management group (eg. Compliance) to enable good Risk Management

158

Operational Risk Manager Resume Examples & Samples

Support the associated business units and stakeholders in complying with the group's operational risk and compliance frameworks
Educate line 1 and others across the business to increase their understanding and knowledge of operational risk and compliance whilst ensuring that it is up to date with the latest regulation
Communicate and simplify the complicated to relevant stakeholders, both verbally and written
Ensure compliance across the group within the operational risk and compliance frameworks whilst maximising the benefit to the business
Other ad hoc activities to support group compliance

159

VP, Mortgage Operational Risk Manager Resume Examples & Samples

Lead projects, analyzes processes & controls and manages data quality
Evaluates risk and return measures/reports and interprets results
Possesses strong institutional knowledge, with particular understanding of CitiMortgage Policy, Procedure, and Practice. Knowledgeable of different markets, products, strategies, analytical tools, financial and risk databases and associated risks
Identifies key risk indicators and works with the business to develop actionable metrics
Challenges existing operational and risk measures utilized by the business to ensure adequate oversight and transparency is provided to senior management
Knowledgeable about risk system infrastructure including key processes, coverage and data flows in order to identify risks effectively
Anticipates and responds to client needs
Leads and coordinates focused or allocated resources for analysts/specialist groups
Uses tools and techniques to effectively identify and assess trends and risks
Makes decisions in a timely manner, balancing a need for action with a need for analysis
Identifies issues and outlines scope. Probes beyond symptoms to determine the underlying causes of problems
Oversees and reviews recommendations (consumer, issuer, acquirer and vendor) and proposed by analysts’ recommendations to ensure appropriate risk management
In a manager role, effectively leads and develops others; provides candid and honest feedback on an on-going basis
Understands US and local regulations, guidelines and practices applicable to CitiMortgage
Manages control structure through effective use of the Managers Control Assessment
Understands the Internal Audit, Compliance Monitoring and Compliance Testing processes and how to leverage their skillsets
Supports diversity by actively building and cultivating strong connections and partnerships across the business/region
Strong leadership, interpersonal, influencing, negotiation, organization & communication skills
Ability to influence senior business and technology leaders
Ability to build strong relationships across multiple control groups and lines of business
Experience wearing multiple hats as both a partner and a challenger to the business
Advanced proficiency with Microsoft Project, Excel, Word, PowerPoint, Outlook and Visio
CitiMortgage Operations experience preferred

160

Operational Risk Manager Resume Examples & Samples

Bachelor's degree in Business or related field
Minimum 5-7 years of ERM related experience
Proficient in Microsoft Outlook and Microsoft Office Suite
Strong understanding of multi-jurisdictional regulatory environment and trends with experience in roles requiring product and process management, implementation of governance and controls and operational risk management oversight
Knowledge and understanding of the Basel Accord and the theories and concepts of methodology and process development, change management and implementation
Knowledge and understanding of regulatory expectations for model risk including SR11-7. Advanced knowledge of current and pending operational risk regulatory requirements, including external authoritative criteria for operational risk with advanced experience in structuring, organizing and managing complex projects/programs. Ability to identify and affect appropriate risk governance and control mechanisms
Identifies market trends and dynamics and acts on them; anticipates emerging Compliance needs and opportunities; assesses risks and rewards of new business opportunities
Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes
Takes active role in building firm’s business, both internally and externally; is a good role model and mentor internally and seeks out opportunities to build and enhance firm’s brand and reputation externally
Strong mathematical skills with experience as a quantitative analyst a plus

161

Operational Risk Manager Resume Examples & Samples

Manage, review, and makes recommendations to the design and implementation of the operational risk management framework/measurement methodologies, in coordination with BNP Paribas’ Group Risk Management – Operational Risk, as adapted to the U.S. retail banking environment
Implements and supports operational risk framework/measurement methodologies as they may apply to the calculation of operational risk capital under the Basel II Capital Accord and related U.S. implementation rulemaking. Specific activities are
CPA, CIA, CBA, CFSA, CTA, CFE, CRP, or CRCM
Ten or more years of risk management and/or auditing operations in a financial or banking institution
5 or more years of experience managing a risk management team
Control and disclosure systems
Bank products, including deposits, loans, capital markets
Financial and regulatory reporting
Asset and liability management
Bank policies and procedures
Information technology
Bank laws, regulations, accounting pronouncements, and SEC regulations
Basel II Capital Accord and related U.S. implementation rulemaking
Accounting/auditing
Trust and fiduciary activities
Treasury and investments
Work independently with minimal supervision
Problem solving
Negotiation
Analytical and conceptual
Interpersonal

162

Operational Risk Manager Resume Examples & Samples

Conducting assessments and testing focused on the identification of operational risk and control framework adequacy
Collaborating with the businesses and control functions to understand and assess risks associated with current and target state business processes
Providing stewardship for adherence to the risk appetite and framework
Developing, monitoring and testing risk metrics and indicators; investigating and escalating out of threshold conditions
Communicating risk positions crisply and candidly with leaders across the organization
Overseeing and driving remediation of issues
3+ years experience in operational risk management
5+ years of CFO Group experience including Corporate Treasury, Capital Management, Corporate Investments, Capital Markets, Finance or comparable experience
Strong analytic, logical reasoning, and problem solving skills
Ability to quickly identify and balance risks/rewards associated with initiatives
Ability to effectively communicate issues/concerns and recommend corrective course of action
Strong organizational skills. Desired Skills
Microsoft Excel, Powerpoint Skills

163

Operational Risk Manager Colombia Resume Examples & Samples

Undergraduate degree (majors in in economics, Finance, statistics or related areas are preferred, but different majors are also of interest if other experience demonstrates quantitative and analytical skills)
MBA or other advanced degree in economics, finance or related areas (not required bur strongly preferred)
Analytical inquisitiveness and problem solving ability; an ability to ask insightful questions, break analytical challenges into workable components and -draw meaningful conclusions
Good knowledge of the ICG businesses is highly desirable as well as previous experience in Risk Management
Ability to “connect the dots:” to take seemingly disparate or unconnected information and put it all together to form a complete picture or operational risk
Willingness and ability to challenge the status quo and BAU to promote improvements/ enhancements that will mitigate risk
Ability to collaborate with and lead others to achieve objectives: knows how to lead trough influence (rather than command/control), build project teams that optimally leverage other people’s skills and expertise, communicate effectively with senior management, build effective business relationships
Good at brainstorming: can conceptualise new approaches quickly

164

Operational Risk Manager Resume Examples & Samples

Responsible for directing the strategy and execution of robust operational risk framework for supported businesses in the Budapest CSC and all EMEA CSS countries
Ensure all operational and business risks are identified, and that effective controls are in place to mitigate identified risks
Develop and maintain an effective framework to ensure compliance with all relevant corporate policies and regulatory requirements
Ensure timely and effective delivery of Global O&T programs for supported businesses, including
Comprehensive knowledge of Risk & Controls environment in a multinational organization. Special focus on information security and cyber related controls. Previous experience of Audit is an advantage
Understanding of complex work environment
Knowledge of process risks & controls essential
Experience in working in a global/regional work environment important
Experience in building and managing relationships across geographies
Good analytical and reporting knowledge
Experience in role requiring influencing skills and people management essential
Preferred Candidate has 5 + years of Risk & Control Experience
Demonstrates knowledge of CSS activities and processes and detailed familiarity of product areas
Knowledge of corporate policies and procedures
Leadership experience across the region
Excellent technical skills
Analytic thinking; ability to come up with creative solutions to complex problems
Good communication and relationship management skills
Good English skills
Build client relationships
Deliver client solutions
Leverages Functional and Business Knowledge
Builds partnerships and values diversity
Ability to organize and prioritize multiple deliverables while working with minimal supervision in a regional environment

165

Operational Risk Manager Resume Examples & Samples

LI-W
Extensive experience in Banking with direct experience in a Control and/or Audit /Risk management role
Knowledge and experience in Investment Banking and Financial Services, including end to end product transaction flow, including associated risks and controls
Working understanding of risk framework definition and operation (e.g. Operational Risk Management Framework, Controls Self- Assessment, COSO ERM
Working knowledge of accounting principles
Experience in working pro-actively and autonomously whilst serving multiple internal key business partners and stakeholders
Exposure across a range of Financial Markets businesses, products and processes (e.g. Retail Banking, Corporate and Investment Banking, Securities and Fixed Income Sales and Trading, Insurance and Wealth Management)

166

Operational Risk Manager Resume Examples & Samples

Taking a creative approach in promoting opportunities to increase the risk culture and awareness within the organisation
Under the guidance of the groups' risk framework, provide risk advice and implement risk strategies across the business
Continuously work to improve the risk and controls environment within the group
Effectively use the IBM Tool Open pages to provide risk reporting and analysis to help the business make risk-informed commercial decisions
Experience in an Operational Risk role or a similar position from a banking/insurance/consulting background
Experience in using technology, with a history/understanding of delivering complex solutions and change within an organisation
The ability to work well with various stakeholders across an organisation with the ability to influence decisions
Able to work to deadlines whilst keeping a focus to put the client first
A background in performing in a busy and competitive environment
An analytical mindset and be a keen problem solver

167

Operational Risk Manager Resume Examples & Samples

Working with the business to deliver the Key Risk Assessments and review of the Risk Appetite
Owning the end to end process for incident management, including the relevant systems and reporting
Beng responsible for the operational risk frameworks within the local business, ensuring further development and maintained
Producing reports to the key internal stakeholders for operational risk information
Promoting the business's risk culture throughout the organisation by building strong relationships
Experience in operational risk or other relevant discipline
Experience in Business Continuity and Diaster Recovery Planning
Able to multi-task and work on various pieces of work
A fast learner, able to pick up new concepts
Ability to develop strong relationships within an organisation

168

Operational Risk Manager, VP Resume Examples & Samples

Capture and analyze operational loss data, and as needed, advise the Business Area in developing effective mitigation steps and controls
Project based involvement on risk management initiatives*LI-SC1
Candidate should have a minimum 10 years of relevant working experience, with the most recent work experience in the Wealth Management business
Self Starter. There is little routine work defined in this role, and the role requires constant learning. Requires versatility to adopt as the global operational risk framework evolves
Teamwork. Relationship building and leveraging expert partners across the Firm, especially within Firm Risk Management
Communication. Strong communication skills in English necessary, oral and written

169

Operational Risk Manager Resume Examples & Samples

Define and maintain ORM TPM tools and procedural documents
Establish and implement metrics that measure the health of the Third Party processes
Maintain ORM metrics including Third Party loss and near miss data
Enhance and refresh Significant and Riskiest Third Party lists maintained by ORM
Work with Global ORM Third Party Working Group to continuously provide breakage information about Significant and Riskiest Third Parties
Evaluate Third Party data, identify anomalies, and work towards rationalizing TPM metrics for CTPMO (Chief Third Party Management Office) and ORM
Deep dive Third Party data to identify potential risks associated with Third Party concentration and geopolitical
Compile and analyze critical process TPM foundational and Citi-wide controls, and other key data quarterly; and develop presentations for senior management and senior members of the ORM team
Identify, evaluate, analyze and develop recommendations for systemic critical process TPM issues
Maintain ORM Third Party critical process management documentation
Coordinate with various Operational Risk units to complete critical process TPM reporting packages for the Senior Management team
10+ years of related industry experience
Strong understanding of controls and Third Party Management
Expert user of Microsoft Access, Excel and PowerPoint

170

Risk OPC Operational Risk Manager Resume Examples & Samples

Responsible for the supervision of operational risk management framework, which includes independently evaluating and challenging the first line adherence of operational risk methodologies and effectiveness of controls
Initiate and develop deep dive thematic reviews approach on key risks identified or prioritized mainly in Wealth Management business
Organize, execute and provide key deliverables for operational risk review and projects
Assess and monitor control effectiveness with ability to identify deficiencies towards a transversal view across business and functions to form an end to end view
Establish cohesive platform within the regional operational risk team to work closely on common review and tasks
Be a business partner to build collaborative working relationship and provide necessary advisory support to business and function stakeholders in managing operational risk
Prepare relevant internal or regulatory reporting and in committees preparation as required
Contribute to the definition and promotion of Operational Risk standards, procedures and tools
Support and contribute to regional initiatives on operational risk and internal control reviews and other ad hoc projects
Autonomy to take initiatives and be a self-starter to develop supervision review approach to independently verify and challenge the work from first line
Good understanding of risk management and sound operational risk practices
Strong organization skills to set priorities, plan and monitor actions required
Strong analytical skills with ability to reference against standards, highlight anomalies and assess key risk drivers
Ability to learn and adapt to different circumstances/requirements
Strong sense of ownership and ability to work independently 
University graduates with at least 7 years of experience in risk management or control function
Previous experience in leading/conducting independent risk reviews and/or good knowledge on the risk profile of the Wealth Management business

171

Operational Risk Manager Resume Examples & Samples

Team lead to oversee the operational risk framework of assigned business stream
In charge of oversight diligences “deep dive” on key identified risks
Assess and monitor control effectiveness with ability to identify deficiencies towards a transversal view
Ensure the compliance with applicable standards of the Permanent Control framework and Operational Risk
Contribute to the definition and promotion of Permanent Control and Operational Risk standards,
Preferred candidates should possess robust knowledge of banking products in the area of Private Wealth

172

Operational Risk Manager Resume Examples & Samples

Oversee policy framework compliance for operational risk policies including the implementation of a procedure oversight framework and execution of a policy exception process for ORM
Create and direct Concentration Risk Management reporting and analysis for ORM
Ensure Operational Risk data collection, documentation and reporting processes are in compliance with Bank’s Data Governance Policy and programs
Develop insightful and compelling reporting where information from a number of sources is summarized and organized for senior management, including but not limited to, the Operational Risk Quarterly Management Letter (QML)
Support ad hoc reporting requests from ORM, Senior Management, internal auditors, and regulatory examiners ensuring they are composed in a manner that is appropriate for each audience
Service as a regulatory liaison for ORM, overseeing information gathering in response to requests and exam coordination
Perform quality checks of Operational Risk reporting that is provided to senior management prior to distribution
Engage with risk category owners and business line risk organizations; develop rapport and credibility in order to drive improvements
Keep abreast of industry best practices, regulatory guidance, and external risk environment and apply to the oversight of risk management activities
Excellent written and verbal communication skills, including the proven ability to understand, synthesize, and translate complex concepts into straight forward messages
Ability to manage multiple competing demands and prioritize effectively in a dynamic environment
A well-rounded risk management background including a strong understanding of operational risk management
Proficient in Microsoft Excel, PowerPoint, and Word; Archer experience a plus
Strong process facilitation, project management, and analytical skills
Advanced degree / professional certification

173

Operational Risk Manager Resume Examples & Samples

University graduate in Finance, Accounting, or Business/Engineer school
7+ years previous work experience or knowledge in Operations, Risk management or Audit
Proficient in Excel with knowledge in VBA an advantage
Good in statistical analysis and synthesis of data
Good communication skills and ability to convey messages to Management
Highly motivated and ability to work with a team
Good writing skill
Multi-tasking
Be highly autonomous in the execution of his/her assigned duties
Grasp of control and risk management concepts and understanding of operational risk principles
Minimum University graduate in Finance or Business/Engineer school
Previous work experience or knowledge in Operations, Risk management or audit

174

Outsourced Services Operational Risk Manager Resume Examples & Samples

Defining the OES perimeter in line with Group definition and taken into account local regulation
Keeping the list up to date
Define and implement the governance across Emea
Ensure a correct onboarding process notably via NPCs
Ensure BCM and IT security items are correctly taken into account
Define and implement the monitoring per type of criticality
Coordinate and challenge annual assessment
Liaise and coordinate with BL and functions to share the OES risk profile and contribute to the front to back risk analysis
Ensure the closing of the upcoming regulatory recommendations
Ensure the follow up of incident’s action plans
Contribute to the definition of the targeted tools for monitoring purpose
Define and animate the OES operational Risk committee within EMEA
Communication skills to express your opinion as an Operational Risk manager
Understand the risk linked to the business
Understand the mission statement of SAFE
Operational background
Good understanding or capacity to understand the SG Group organisation
Capacity highlight key risk issues and to propose manageable actions plan
Capacity to bring a good level of challenge to your business partner
Innovation capacity
Leadership spirit
Synthetic
Capacity to think out of the box
Experience in Audit would be an advantage

175

Operational Risk Manager Resume Examples & Samples

Supporting the team on the development and maintenance of the risk and compliance tool/ and risk frameworks
Creating new ways to utilise the tool, allowing stakeholders to make better more risk informed decisions whilst increasing the overall team productivity
Identifying key risk trends and methodologies within the industry to ensure best practise within the business
Leading various risk workshops with key business stakeholders
As required perform deep dives into the key risk controls and run specific risk scenario analysis
Previous Operational Risk and/or Compliance experience within Financial Services (Banking, Insurance, Funds Management, Wealth, Big 4 Consultancy etc)
Knowledge of regulatory frameworks within the financial services
Excellent stakeholder management experience
The ability to work well within a team and on an individual basis

176

Unit Operational Risk Manager Resume Examples & Samples

Enhance risk governance by driving GPC risk control forum
Review and validate risk events for factual accuracy, identify cause, effect and proper action plans established for recurrence
Drive collation, review, analyses and monitoring of Key Risk Indicator (KRI)
Oversight of User Developed and/or Managed Application (UDMA)
Act as central GPC liaison party for internal, external audits and regulatory inspections
Track and monitor issue/action plan arising from Risk & Control Self Assessment, risk events, KRI, regulatory inspections, audits or other risk issues
Develop and conduct Quality Assurance Review (QAR)
Drive the Business Continuity Planning (BCP), exercises and Annual Group BCM attestation
Share operational risk best practices within GPC
Support GPC MD in T&M Quarterly Attestation and documentation
Act as secretariat of cross-functional T&M End-to-End Forum

177

Operational Risk Manager Resume Examples & Samples

Provides effective challenge of business processes along with related risks and controls
Provides technical guidance to team members and business groups
Oversees the implementation of operational risk management policies and frameworks
Identifies and monitors risks that are emerging for the business
May manage technical/business support staff
Adapts departmental plans and priorities to address resource and operational challenges

178

Operational Risk Manager Resume Examples & Samples

Developing an informed view of operational risk, through data analysis and consultation with business leaders and operational teams
Develop a program to evaluate the design and operation of controls across the Financial Services business
Promoting a culture of quality through driving initiatives that raise awareness on controls and quality
Working with clients, business leaders and operational teams to enhance controls
Reporting to the Board Committee(s) and business leaders on quality related matters
Leading investigations into incidents and errors
Overseeing the Financial Advice monitoring program and communicating results and recommendations to Financial Advice management
Overseeing the facilitation of internal and external audits, including business briefings, planning, fieldwork, reporting and resolution of findings

179

Corp Operational Risk Manager Resume Examples & Samples

Manages a portfolio of large cross-LOB projects, processes and utilities with significant business impact
Manages and directs overall activities and monitor’s progress
Partners with multiple business units to implement and sustain governance framework and resources
Communicates with senior management and resolves conflict through broad decision making
Works closely with the Executive Leadership to develop and execute objectives and solutions
Provides leadership and direction for the delivery of program objectives
Ensure initiatives are completed according to time and budget, and that objectives conform to established standards and policy
Build Charters, business requirements, task lists and test plans to support execution of assigned projects
Develops and delivers executive presentations
Provides thought leadership
Develops and maintains processes that enables identification of root cause and continuous improvement to meet objectives
Works with the various partners (Technology, Operations, Legal, Compliance, Controls, HR) to develop new processes and continued enhancements to existing processes and technologies
Identifies, escalates and mitigates risks to program objectives
Drive problem resolution
Minimum 10 years Risk Management, Policy, Management, Quality Testing and/or Process Improvement experience
Minimum 5 years Collections Litigation, Bankruptcy or Mortgage Default experience
Minimum 3 years with Key and/or high profile Regulatory Matters
Understanding of regulatory/legal landscape related to Collections Litigation and Sworn Documents; Knowledge of legal processes related to collections litigation required
Prior experience managing teams required; Ability to coach and provide meaningful feedback to employees
Prior Collections experience required
Strong interpersonal skills; motivate program team members and interact effectively with all levels and to foster an open working environment
Excellent verbal, written, and presentation skills with the ability to effectively interact with all levels of management
Solid problem solving issues management and resolution skills
Strong analytical, process and detail oriented skills
Strong team player able to work collaboratively across the internal team and other LOBs; Ability to collaborate with and influence various stakeholders
Proven track record of delivering results on fast paced projects
Ability to foster positive and proactive approach to process assessment and improvement and to identify trends and improve processes for both the customer and the business
Ability to work with Audit, Compliance and regulatory constituencies to manage work in accordance with established procedures and relevant regulations and laws
Demonstrated accountability for work processes and the associated risks and controls
Demonstrated ability to raise issues to relevant stakeholders or management with respect to the control environment
Excellent Microsoft office skills, including Power Point, Excel, Visio, Microsoft Project
20% travel availability
BA/BS required; or graduate or juris doctorate degree preferred

180

Operational Risk Manager Resume Examples & Samples

Provide objective and independent Operational Risk advice and counsel to Management teams
Support the 1st line business process for identifying and assessing the operational risk inherent in all material new products and processes. Facilitate enterprise change management processes (IAAP, RCA, loss reporting, etc.)
Obtain sufficient information from impacted group(s) when potential significant deficiencies or material weaknesses are identified, to ensure appropriate investigative groups are engaged (e.g., CSAs); ensure remedial activities are appropriately documented to satisfy external review
Analyze, produce and distribute timely key risk reporting for a variety of stakeholders within the designated LOB and/or at the enterprise level which are used to make strategic decisions on meeting business objectives and to provide governance on the overall risk framework
Provide timely analysis of information and reports within assigned area(s) of expertise overseeing maintenance of risk within acceptable levels
Liaise with internal and external groups as they audit and assess business unit compliance with regulatory and policy standards
Provide training and education as SME in program area(s)
Contribute to knowledge repositories (e.g., libraries, documentation and support materials) ensuring completeness, accuracy, timeliness and security/integrity of information to support the advancement of risk management capability and proficiency
Identify and recommend business improvement opportunities related to area(s) of expertise
Provide oversight on resolutions for operating/ technical problems within area(s) of expertise; overseeing the resolution of problems outside direct authority
Monitor changes in corporate programs/ policies and regulatory changes; advise and provide guidance to appropriate business units, as required
Lead and/or represent ORM, as SME, on key risk projects, deep dives and game plans to drive continuous improvement in operational risk management. This involves analyzing problems and generating creative solutions by collaborating with the team, providing leadership, as well as managing projects, when assigned
Participate in change management practices and provide operational risk counsel to key projects: Implementing AMA across designated LOB, effective communication of new requirements and embedding new processes, systems and tools to support AMA compliance
Business Performance Management
Support the delivery of exceptional customer service that builds trust through responsive, accurate, consistent, knowledgeable and available services and support
7 to 10 years experience in operational risk management, financial planning & strategy processes within the financial services industry
Knowledge and understanding of BMO Initiative Assessment and Approval Process (IAAP).Solid knowledge of standard desktop applications used by the business unit
Advanced understanding of risk management practices and methodologies
Advanced PC skills
Program delivery and planning ability
Strong logic and data integration skills Advanced analytical and problem-solving skills, with advanced ability to analyze a risk exposures
Advanced change management skills
Advanced prioritization skills
Advanced conflict management/ resolution skills

181

Operational Risk Manager Resume Examples & Samples

Evaluates alternative means of reducing the firm's exposure to catastrophic loss
Measures risk and sets operational risk management policies (i.e., value at risk model for day-to-day exposure)
Informs traders and other specialists on local and global risk exposure
Assist with the development of key risk indicators on cyber and digital risk
Develop and deliver cyber security and digital risk presentations and education sessions (brown bags, formal) to various Risk Management groups and teams and other stakeholders around relevant and timely information security and digital risk topics of interest
Maintain an awareness of bank policies and government regulations pertaining to information security, online and mobile banking
May manage other IT Risk specialists if additional resources are warranted
Bachelor’s degree. An MBA would be a plus
Require a mix of business acumen and sufficient technical knowledge to assess risk in an integrated digital enterprise, and make recommendations for addressing the risk in ways that won’t impede the digital business model
Detailed understanding of technologies and digital business processes and controls covering
Online, mobile, cloud, big data
Identity and Access Management (IAM)
Account Opening, Account Access, Account Maintenance, Money Movement, Cross Channel
Digital Wallet
Emerging payment applications
Good knowledge of general business processes, regulatory issues and risk assessments including
Privacy
Legal and regulatory requirements
Risk assessments that spans digital business models end-to end
Digital marketing and customer experience
Supply chain security concerns
8 or more years of experience in either IT Audit, IT Security or IT Compliance with direct experience in Online and Mobile channels with focus on customer security and fraud
Financial Institution and/ or Public Accounting experience is essential
Excellent communication skills, strong business knowledge and the ability to translate very technical issues into business-related decision points
Experience developing and providing effective and professional presentations to all levels (including Senior Leadership)
Excellent customer service skills and problem resolution
Experience in managing and prioritizing multiple tasks in an effective manner
Ability to work independently without daily direction

182

Operational Risk Manager Resume Examples & Samples

Embed the IBAL operational risk framework across the retail business
Embed risk-based decisioning into the retail business
Reporting and provision of insights
Tertiary qualifications in commerce, finance or business
Sound understanding of prudential compliance requirements of an ADI including APS 114, 115, 231, 232 and SOX
Ability to identify and pursue solutions to manage operational risks
Awareness of current industry threats, trends and issues that potentially affect the Bank's business
Sound knowledge of retail products and distribution channels
Sound knowledge of retail banking systems and business processes

183

CBG Operational Risk Manager Resume Examples & Samples

Ensure ORM policies/tools are applied consistently and timely across CBG units. Where relevant, develop unit specific requirements to operationalize group policies/standards
Analysis results of ORM tools, and ensure timely and accurate reporting of key information- exceptions/trends, issues and action plans
Maintain updated database for tracking of progress of issues/action plans
Ensure smooth co-ordination of initiatives to promote risk and control awareness
Ensure smooth co-ordination of self-inspection task to meet internal and external requirement
Ensure ORM policies/tools are applied consistently and timely across CBG units, including control guidelines and procedures that are in line with RMG’s operational risk governance framework and corporate policies/standards
Facilitate timely completion of CBG Risk Control Self-Assessment (RCSA) for identifying and assessing risk
Develop, collate, analyse, track and report CBG Unit-specific Key Risk Indicators (KRIs) that supplement the firm-wide KRIs, ensuring action plans are established to address issues
Review risk event reporting and management, co-ordinating regulatory self-inspections within CBG
Analyse and report CBG’s operational risk profile to unit management periodically, with proposed action plans to address issues
Track progress of issue/action plans arising from RCSA, risk events, KRI, regulatory inspections or other inspections/sources and alert management of potential/actual past due issues
Enhance awareness of operational risk and control including briefings and sharing of best practices

184

Operational Risk Manager, Korea Resume Examples & Samples

The local Head of ORM covers Operational Risk Management for the Global Market and Corporate Functions across CS
The Local Head of ORM will join the ORM Regional senior management team to ensure full local and divisional operational risk coverage for Korea branch
Delivery of the new Operational Risk Framework Korea branch
Provide input on risk management techniques and principles. Translate concepts into effective implementable solutions and drive strategic change
Attending or chairing the appropriate local Operational Risk or controls committees. Participate in all key legal entity and country governance meetings
Managing relationships with senior management stakeholders in Korea
Provision of robust and effective challenge across all business lines, including applying appropriate read across / lessons learnt from outside the region and externally
Provision of metrics, analytics and an appropriate qualitative overlay to senior management and other key stakeholders to ensure they have the appropriate understanding of Operational Risk
Understand the key risks (F2B) relating to specific business lines, local nuances and operational risk themes – including emerging risks from the industry, regulators and internal read across
Partnering with Global Market and Corporate Functions management to ensure a robust F2B approach to operational risk management is in place, supported by appropriate local governance and oversight
Contributing to, implementing and monitoring the effectiveness of relevant Group policies (e.g. business conduct etc.) in Korea
Maintain adequate risk governance processes in the Korean LEs with effective link into and alignment to CS Group and CS AG Parent (in terms of Sydney Branch) risk governance
Monitor risk exposures on a regular basis for the Korean legal entities working with Senior Management to ensure that risks stay within the appetite statement established
Work with CS Group Internal Audit to ensure that material risks are communicated to them and form part of their risk assessment of relevant businesses
Work with CS Group Internal Audit and External audit to ensure the risk management framework is reviewed periodically in line with regulatory expectations

185

Operational Risk Manager Resume Examples & Samples

Manage 3-5 direct reports and 10-15 matrix reports
Responsible for handling team management aspect for entire CRDA Mumbai team
Act as a point of contact for Mumbai team to coordinate with senior leaders, HR and other administrative activities in India
Work on developing the Mumbai team and providing guidance in charting career development plan for the team
Lead one of the functional committees at the Mumbai center
Working with our CBORC QA partners to understand the business requirements that will help us develop the controls
Work efficiently in a matrix environment balancing between both business and functional interactions and priorities
Manage day to day activities of the functional committee at the Mumbai center
Utilize experience with UNIX and SAS/SQL to create exception reporting and targeting sampling based upon regulatory, global policy, local policy, and procedural policies to ensure compliance
7+ years of experience in Banking or similar field
Previous experience in team management
SAS, SQL, Teradata and UNIX
Technical expertise in data extraction, manipulation, and reporting
Good programming skills in advanced SAS and SQL in, UNIX and PC environments

186

Operational Risk, Manager Resume Examples & Samples

Designs and develop testing strategies and methodologies to assess the effectiveness of the bank’s practices used to validate the control environment across all lines of business and corporate staff groups
Performs testing and manages other individuals
Develops and execute monitoring activities associated with the Level 1 Control function. Ensures activities are performed accurately, thoroughly, and in accordance with operational risk requirements, and/or industry best practices
Define Independent Testing Framework around testing strategies for 1st and 2nd line
Meet regularly with 1st Line of Defense testing teams and senior management to assess review activities, known gaps, remediation status, and influence decisions and action when appropriate
Analyze business and /or system changes to determine impact and identifies and assesses operational risk issues and assigns risk rating consistent with established policy standards
Reviews new and pending policies; tests impacted areas of change to ensure that appropriate changes are implemented
Develops and manages testing programs for Information Security, Technology Management, Third Party Providers and other operational risk domains. This includes design, plan, and execution testing procedures to assess compliance with policies
Provides training and oversight of other testers
Ability to work in a dynamic work environment, manage multiple tasks concurrently, possess strong verbal and written communication skills and build strong working relationships
Assists the Bank’s Operational Risk team in maintaining effective and professional relationships with senior management, internal and external auditors, Federal and State regulators, and others dealt with in a professional capacity
Stays current in global operational risk management techniques, industry best practices, and regulatory requirements. Makes recommendations when necessary to safeguard the position of the Bank
Creates an annual testing schedule
Bachelor’s Degree in Business Admin required
4 to 7 years of directly related experience

187

Operational Risk Manager Resume Examples & Samples

Degree holder or above with major in Business, Finance or related disciplines
At least 3 years of experience in operational risk experience from securities firms or relevant experience in internal control and BCP implementation from Big 4
Good knowledge in various brokerage and investment banking businesses
Strong communication skills in English and Chinese languages - strong written Chinese is a must

188

Operational Risk Manager Resume Examples & Samples

Promote operational risk management culture and awareness
Ensure operational risks are appropriately identified, measured, reported and managed in alignment with the organization’s and relevant business’ tolerances for risk
Act as a subject matter expert (SME) in operational risk management, performing independent governance, oversight, and effective challenge in the execution of the ORMF on an end-to-end basis (i.e., from product origination through fulfillment)
Provide risk management expertise as a main integration point for assigned areas of accountability
KEY ACCOUNTABILITIES
Support the implementation of the Operational Risk Management Framework (ORMF) including the strategy and standards, processes and tools to facilitate the identification, measurement, management, monitoring and reporting of operational risks
Participate, review and challenge the execution of the ORMF processes and tools by the business including
5-7 years post-academic experience, with 2 to 3 years in a financial institution in Operational Risk Management or 1st line business in Wealth Managment

189

Operational Risk Manager Resume Examples & Samples

Strong working knowledge of Operational Risk program elements and principles including but not limited to Internal & External Operational Losses, Risk Control Self Assessments (RCSA), Key Risk Indicators, Scenario Analysis, Quality Assurance, Risk Assessments
Prior experience in successfully implementing an operational risk management program within banking institution front line unit (line of business)
The ability to integrate thoughts, people, and ideas towards a vision
The requisite intelligence, drive and initiative to work both independently and in a team environment to overcome obstacles and achieve objectives
The ability to interact and influence at multiple levels within and across an organization
Persuasive, passionate about achieving excellence
Must be a voracious learner that is intellectually curious and can quickly grasp complex concepts
Strong proficiency in Microsoft Office Suite (PowerPoint, Excel , etc.)
Ability to understand technology and related concepts
Knowledge of Fee management, Collections & Recovery, and Corporate Accounts payable processes
Knowledge of Basel Advanced Measurement Approach (AMA) methodology

190

Rohq-fro-operational Risk Manager Resume Examples & Samples

Records Management – Oversees Records Management Policy and implementing rules. Uphold strong partnership between Global Functions, Citi Businesses and Operations and Technology including a well defined governance structure to establish a systematic and consistent approach to the classification, retention, protection, retrieval and disposal of records
Audit Management - Primary responsible to CSS management in implementing consistent process for reporting, tracking and remediation of control weaknesses (audit issues) identified by IA
BS Business Administration, Finance or Accounting, or equivalent experience
With at least 9 years related work experience in similar field
Minimum 2 years work experience in Compliance, Audit, or Risk Management
Proficient in the use of workstation applications (MS Word, MS Excel, MS PowerPoint, etc)
Able to handle high volume of work and adapt to change
Action-orientated and organized
Logical, analytical and rationale
Client-focused for exemplary customer service
Strong team player, willing to learn and share experience with other team members

191

Business Operational Risk Manager Resume Examples & Samples

Ensuring operational risk is appropriately addressed and managed within Market Operations in line with Macquarie's Operational Risk Management framework and associated policies
Facilitate the continued improvement in operational risk awareness and culture within Market Operations
Execution and monitoring of risk management practices, operational issues and control breakdowns in the EMEA region

192

Operational Risk Manager Resume Examples & Samples

Minimum 5 years of relevant work experience – with some or all of that in the Finance, Compliance, Control, Risk or Global Project Management organizations
Undergraduate degree in a business discipline; Finance, Economics or quantitative background a plus
Creative and process-oriented; strong software, organizational and analytical skills
Naturally curious self-starter, pro-active with the ability to identify issues at both strategic and operational levels
Experience working on large scale projects and facilitating large change initiatives, including experience in project tracking and issue management
Knowledge of Citi businesses and products and/or international business issues is a plus
Ability to quickly gain an understanding of corporate and business policies and procedures related to U.S. and key international regulatory requirements
Strong team player with ability to collaborate with peers and seniors in other areas
Ability to work effectively within a large, matrixed organization and a diverse team comprised of many backgrounds, perspectives and skill-sets

193

Operational Risk Manager VP / Director Resume Examples & Samples

Professional qualifications FRM will be a plus
At least 8 years of experience in operational risk experience from banks or relevant experience in internal control
Good knowledge in Corporate Banking business and products
Strong analytical skills, detail-focused with the ability to interpret large amounts of information
Strong communication skills in English and Chinese languages

194

Operational Risk Manager Resume Examples & Samples

Knowledgeable in regulations, compliance and controls that affect the Consumer Bank
Strong knowledge of the Consumer business and applicable rules, regulations and processes
Supports annual and quarterly Managers Control Assessment (MCA) self-assessments and completion of all Control related assessments on behalf of the business process owner. Provides support for ongoing changes to the MCA program as required, not just at specific points in time
Provides imbedded support of assigned business area / 2-Down by attending and participating in business meeting routines to provide Control related updates to the team and to learn about any new initiatives that CBORC would need to support

195

Operational Risk Manager Resume Examples & Samples

Gain the trust and confidence of and develop a rapport with the AML stakeholders
Understand the various markets and the applicable AML regulations that govern them
Familiarity and/or experience with AML rules and regulations highly desired
Strong desktop/PC skills, including strong knowledge of MS suite of applications, particularly PowerPoint, Excel, and Project

196

Operational Risk Manager Resume Examples & Samples

5+ years of experience in risk management in one or more of the following risk disciplines: technology risk, business continuity, operational risk, supplier risk, or audit and controls. Broad knowledge of complex tools and reporting systems, with strong understanding of Supplier or External Third Party risk impact in a financial services company preferred
Excellent English-language business writing skills. Proficiency in additional languages preferred
Proactive approach to problem-solving and decision-making with limited supervision
Effective analytical skills
Capability to define, build, and manage strong partnerships across technology and business organizations in a constantly evolving environment
Customer orientation, resourcefulness and enthusiasm
Capacity to perform well under pressure
Experience in global, matrix and dynamic organization preferred
Demonstrated success in contributing within a team environment
Proficiency in MS Office applications: Word, Excel, Access, PowerPoint (Advanced MS PowerPoint and Excel skills preferred)

197

Operational Risk Manager Resume Examples & Samples

Working within the Institutional Banking Operational Risk Team you will be supporting the Markets and Equities business
You will work to identify risks and perform deep dives into target areas which are raising concerns or that require transparency
You will provide risk oversight for the Markets and Equities business in its end to end processes
Take responsibility for reviewing and approving new business and products
Review and challenge the effectiveness of existing controls
Keep up to date on the industry trends and ensure that new emerging Operational Risk issues are being appropriately mitigated
Provide training and support to the first line team and other associated stakeholders using the bank's Risk data
Experience in Operational Risk and preferably with Global Markets experience highly desirable
A solid understanding of Global Market Products (Rates, Fixed Income, FX and Commodities)
Demonstrate the ability build effective relationships and influence where required
Able to work cohesively in a team
The capacity to work in a fast paced environment
Has an analytical mindset and the aptitude to prioritise in a fast paced environment

198

Operational Risk Manager, ORM PB Asia Pacific Resume Examples & Samples

Continuously supporting the relevant Director lead to exchange views with senior PB and Corporate Functions (CF) Management in the region
Actively collaborate with other control functions of both the 1st and 2nd line of defense
Form valuable relationships with our Private Banking business areas and form partnerships with your colleagues in locations including major CF functions, supporting the Director lead
Understand the business strategy, products, risks and controls for the businesses supported, with a deep understanding of the front-to-back processes
Contribute to ORM Private Banking deliveries to regional / local risk management committees and key projects
BE actively involved in ‘Loss Investigation Reviews’ for relevant PB APAC PB businesses
Participate in the Risk & Control Self-Assessment (RCSA) process including regular review/updates of the Operational Risk Register
Lead/participate in major Operational Risk remediation projects to address control issues
You will be given the opportunity to assist in reviewing new business initiatives
Understand metrics that are used in the operational risk businesses and across the Private Bank
This role provides the challenge to analyze all relevant sources like risk reports, internal audit reports, regulatory reports, losses or key risk indicator data to conclude on residual operational risks and trends

199

Operational Risk Manager Resume Examples & Samples

Strong control mindset with an aptitude to identify & assess operational risk issues
Excellent Stakeholder Management skills and be able to face Senior Management personnel with confidence and determination
Should be able to work independently as an Individual Contributor
Should be a self-starter and carry a proactive & positive approach
Solution driven approach
Be able to induce positive partnership
Ability to multi-task and capable of delivering on multiple priorities
Able to grasp/learn new concepts, policies and procedures quickly
Reasonably good Excel and Power-point skills
Ability to work under pressure and make accurate decisions in stressful situations

200

Operational Risk Manager Resume Examples & Samples

Coordination of Process Reviews and ‘Deep Dives&#8217
Assist in Audits, Reviews and Regulatory Examination Management
Implementation of corrective action plans
Review and approve Policy and Procedure documents
Produce monthly risk reports for senior management
Escalate incidents to senior management
Liaise with Internal Auditors on behalf of Core Operations and coordinate/review audit deliverables and findings
Perform root cause analysis and establish an effective feedback loop to management
Influence Business Unit Managers to adopt control and process improvement recommendations to enhance the control environment
Ensure successful completion of assigned process reviews, from start to finish, inclusive of wrap up activities
Develop a thorough understanding of the process, apply risk and control concepts to scenarios encountered and identify any potential issues
Ensure any potential concerns are addressed in a timely and effective manner
Develop testing programs and procedures relevant to risk and test objectives
Validate Corrective Action Plans have successfully mitigated risks raised
· Be highly motivated and results driven with the capacity to work in a fast paced environment and manage multiple priorities
· Be highly adaptable to change and enjoy working in a challenging environment
· Display strong understanding of operational risk, process and controls concepts, including risk identification, monitoring frameworks and methodologies
· Be adaptable to change and constantly seek opportunities to improve process and controls
· Have sound risk reporting skills
· Preferably have a sound background in retail banking, experience in dealing with internal auditors and display an understanding of regulatory obligations surrounding consumer banking products
· Have at least 5 years experience in a similar role, or in an internal audit/first line risk background gained in consumer banking
· Have experience managing a small team
· Ability to breakdown and communicate technical/complex concepts to a broader audience
· Undergraduate qualified

201

Operational Risk Manager Resume Examples & Samples

The position requires extensive business knowledge of multiple business segments, which includes Retail Bank, Mortgage and CitiFinancial Services. The risk profiles in all three business segments are different and require expertise in how the business segments are performing internally and reporting through global MCA and Quality Assurance Frameworks (QAF)
Requires extensive technology expertise in managing company data to identify target testing populations and development of key reporting of KRI's, KOR's and executive dashboard
Requires knowledge and the development of underlying architecture to build platform across business lines to report to executive level management performance reports and dashboards
Required to stay up to date with regulatory changes and advisements that are issued to ensure we are appropriately identifying key risk indicators to where changes need to be made or require the new change to be to be evaluated based on current reporting requirements
Ability to collaborate with and lead others to achieve objectives: Can lead through influence and build effective business relationships
Bachelor degree preferred in MIS/Computer Science/Business Administration. Strong experience may be accepted in lieu of degree
6-10 years of experience, with the ability to analyze several data sets and be able to correspond into what it means from operational risk perspective for the company and ultimately correlate if the predictive indicators will result in downstream impact to operational losses and capital
Strong experience in Senior Level experience in software development, database administration and MIS support utilizing Cognos/WULF Application, CitiRisk, Qlikview, SAS, TeraData, All Microsoft products, including Microsoft Project, Sharepoint Designer and Work Space, HP Software Development Life-cycle, Techtia, SQL Developer, SQL Servicer, WebEx

202

Operational Risk Manager Resume Examples & Samples

The candidate will play a key role enhancing the Operational Risk capital and helping FNM to manage significant emerging risks related economic capital and its risk appetite
As part of the operational Risk Analytics team, the candidate will help develop and implement Operational Risk measurement components of the framework and the development, production, and maintenance of Operational Risk reporting
The candidate will help design, build and implement methodologies, metrics, models, reporting dashboards for the analysis, measurement and ongoing monitoring of Operational Risk capital and risk appetite
The candidate will also strongly contribute to the methodology, system, process design and implementation enhancement of various elements of Operational Risk
Key activities around operational risk measurement/metrics, benchmark, future capital allocation, reporting framework, data sets, key risk scenarios
The candidate will also take significant responsibility for managing the relationships with key stakeholders, engaging with and educating stakeholders within the Business and liaising with the regulator
Monitor the regulatory environment and industry events to inform management of any changes and impact to the organization’s operational risk profile
The candidate will help define information risk scenarios based on industry intelligence and the enterprise internal environment
He/she will work with the first and other second line units to develop playbooks to address key information risk scenarios
He/she will participate in table top exercises and playbook rehearsals to assess enterprise readiness to deal with key risk scenarios
The candidate will work closely with the Enterprise Risk Analytic team to collect, aggregate, analyze, and determine critical risk themes and escalates to senior management to drive risk management activities
6+ years of related experience
Demonstrated experience in a quantitative discipline with a strong focus on probability modelling such Bayesian, Expected Value, Conditional Probability, Copula, Kalman Filtering and Maximum Likelihood
Masters qualification in a quantitative discipline such as Statistics, Mathematics, Finance, Physics, Econometrics or Engineering
Programming skills using either R, Matlab, SAS, VBA
Tableau or other business intelligence tools
Excellent communication skills – Ability to interpret complex models in a simplified manner and present to various stakeholders

203

Business Operational Risk Manager Resume Examples & Samples

Provides embedded support of assigned business area / 1-Down by attending and participating in business meeting routines to provide Control related updates to the team and to learn about any new initiatives that ORM would need to support
Works with the business and Quality Control team to ensure controls are monitored and/or tested and the results are reported to senior management on a monthly basis
Provides support to the Branded Cards 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
5+ years of direct, relevant experience in financial services, with enhanced knowledge of the business to be supported
Prior experience in compliance or a control organization, with experience developing control monitoring or compliance testing routines
Ability to provide effective challenge on new initiatives and changing strategies to senior management
Strong judgment and critical thinking skills
Strong knowledge of the Consumer Credit Card business and applicable rules, regulations and processes

204

Operational Risk Manager Resume Examples & Samples

Draft, update and review Reg W Office and business/support area procedures
Monitor Reg W transactions and limits on a daily basis
Prepare quarterly reporting
Conduct monitoring of applicable activity
Assist in internal audits and compliance tests
Assist in testing of applicable Reg W controls
Assist in identifying manual/semi-manual controls and implementing enhancements
Assist with the NPA process, including setting meeting schedules and agendas of the Bank’s New Product Approval Committee (NPAC) and working with the business to ensure necessary materials are presented to the NPAC
Assist with NPA Quality Assurance reviews and remediation efforts
Bachelors Degree in Business, Finance or Accounting
3-4 years’ experience in the financial services industry in operational risk or compliance
1-2 years’ experience with Regulation W
Proven ability to interact and communicate effectively with senior management across various divisions
Private Banking experience a plus
Ability to multi-task and work in a fast paced, ever changing environment

205

Operational Risk Manager Resume Examples & Samples

Work directly with external consultants and key AML stakeholders to execute projects in support of the OCC Consent Order related to evaluation of AML risk in the new product approval process (AML NPA). This includes implementation of control enhancements developed in response to the Consent Order, issuing global Markets procedures, training of product teams and key stakeholders in new Markets’ requirements
Develop and manage processes to embed newly established procedures into business activities, including metrics, testing, management reporting, and escalations, as applicable
Collaborate with product sponsors to complete AML NPA assessments submitted to AML NPA Committee for review and assist in tracking satisfaction of any required conditions related to product launch
Fulfill In-business Risk responsibilities related to AML/KYC policy governance (includes sanctions and Anti-bribery and Corruption (AB&C) policies and standards) by reviewing policy documents, soliciting feedback on draft policies and standards from key stakeholders, and working with key stakeholders in impacted units to oversee implementation of such policy requirements
Communication Skills - Excellent oral and written communications skills. Must be articulate and persuasive
Teamwork - Must be able to work in a team environment; listens and works well with others; client-focused and open to different ideas/viewpoints

206

ERM Operational Risk Manager Resume Examples & Samples

Facilitate interface with EU, Audit and Compliance and other BSC entities on risk assessments, including aspects of strategic, operational, financial, regulatory, and reputational risk
Coordinate annual policy framework improvement. Maintain consistent risk and control vocabulary
Administer and support maintenance of the ERM software application
Facilitate quarterly board reporting process, including risk assessment of company risks and emerging risk update
Help develop and monitor ERM business plan initiatives
Incorporate enterprise risk management into annual business and audit planning processes
Help develop business unit specific standards, practices, and risk metrics
Support the drive for continuous improvement of ERM processes and throughout enterprise

207

Junior Operational Risk Manager Resume Examples & Samples

Assure proper and timely monitoring
Draft the periodical review of deals and propose the appropriate internal rating
Assure management of exposure to risk events in terms of breach of covenants, waivers or amendment requests
Regular monitoring and update of any transaction under supervision (doubtful loans or potential doubtful loans)
Assure the compliance with all Anti Money Laundering procedure in force, both at local or at Group level

208

Operational Risk Manager, VP Resume Examples & Samples

Directs key initiatives within Consumer Banking through the collection, analysis, review, reporting, documentation and communication of business needs and requirements
Coordinates cross multiple business Control functions to ensure strategies and reporting approaches are consistent globally
Provides analysis with interpretive thinking to define problems, develop innovative solutions, and make recommendation that influence decisions of key business partners
The person in this role will be responsible for creating and managing project plans that
Financial Institution experience NOT required
Ability to document, communicate and lead the execution of business needs; oversee and manage technology lead efforts
Strong Understanding of Agile Project Management
Understanding in developing a business cases that details Return-on-Investment (ROI)
Global Project Management Experience
Experience in Analytics functions
Commitment to quality, attention to detail, and continuous improvement
Advanced user in Access, Excel, PowerPoint, and Word
Experience in Mobile Application Delivery a plus
Experience in Business Intelligence Platform Scripting (Qlikview) a plus
Experience in Digital Control Testing Software / Scripting a plus
Experience in Statistical Software / SAS, R, Hadoop, a plus
Education: Minimum Bachelor’s Degree and/or Commensurate Experience

209

Operational Risk Manager Resume Examples & Samples

Execution of a risk-based validation and challenge work program to monitor the payments and bank (including branches) operations areas' fulfillment of its first line of defense operational risk management responsibilities (including third party risk management, and other sub-operational risk program elements to be incorporated over time) specific to its activities
Strong interpersonal skills to manage relationships with Business Unit Risk and Control Managers and other Operational Risk Subject Matter Experts
Strong oral / written communication skills
Able to build relationships with people at all levels. Able to influence and galvanize support of others. Builds rapport and trust among stakeholders
Experience in working with regulators and auditors
Expertise in control testing techniques and documentation
Strong understanding of operational risk management programs and practices, including third party risk
Strong knowledge of regulatory requirements impacting payment systems (including, but not limited to Federal Reserve Bank requirements for annual Payment Systems Risk Assessments)
8+ years’ experience in operational risk management, internal audit or related field
At least 6+ years payment system or bank operations experience directly or within a related risk management or audit field is required
Experience in control testing techniques and documentation
Strong knowledge of operational and third party risk regulatory requirements and industry practices
Demonstrated ability to manage workloads and prioritize deliverables

210

Operational Risk Manager Resume Examples & Samples

Execution of a risk-based validation and challenge work program to monitor the commercial lending, trade services and capital markets operations areas fulfillment of its first line of defense operational risk management responsibilities (including third party risk management, and other sub-operational risk program elements to be incorporated over time) specific to its activities
Strong interpersonal skills to manage relationships with Business Unit Risk and Control Managers and other Operational Risk SMEs
Strong knowledge of regulatory requirements
At least 6+ years commercial lending, trade services and/or capital markets operations experience directly or within a related risk management or audit field is required

211

Operational Risk, Manager Resume Examples & Samples

Leads development of operational risk testing processes, tools, and controls with input from/consideration of Group team leaders requirements and needs. Conducts quality assurance reviews to evaluate group compliance with controls
Remediation status, and influence decisions and action when appropriate
Requires broad management experience to lead project teams. Typically has mastery level knowledge and skills within a specific technical or professional discipline with broad understanding of other areas within the job function
Requires 10 to 12 years of directly related experience in risk management and/or auditing operations in a financial, banking institution, or regulatory agency
Strong organizational and supervisory skills
Strong interpersonal skills for collaboration/coordination/liaison functions
Strong oral and written skills for composing and editing of reports and presentations
Strong knowledge of Banking Operational Risk Policies
Analytical, forward, and critical thinker; ability to prioritize, create order, multi-task and work in a fast-paced environment

212

Operational Risk Manager Resume Examples & Samples

In this role, the OSM needs to challenge the First Line of Defense (1 LOD) in the identification and management of its operational risks, defining and implementing the right remediation plan and challenge if required the risk acceptance taken by the business line (through the governance such as ORC or normal day to day interaction on incidents…)
The OSM should also make sure that the first level of control framework (on operational risk) is adapted and efficient. This is supported by spot checks and by leading controls deployment initiatives when relevant
The OSM needs to ensure that the processes and governance around operational risk (Incident Collection/Reporting, RCSA, Permanent Supervision, Spot Checks, Anti-Fraud, etc…) respect the group policies and standards
In the context of the Leadership model, the OSM will invest its time and skills towards team work, act ethically and with courage, propose new ideas and contribute to change management, and finally lead as an example and by its support to colleagues or other teams. All these actions and values will contribute to the development of client positive impact (client being internal or external)
Conduct investigations/post mortems
Follow-up on red flags and corrective action items
Support the team members in meeting their career goals and aspirations
Ability to articulate complex concepts in a clear manner
Strong analytical skills with high attention to detail and accuracy
Demonstrated ability to lead change through influencing skills, be a positive change agent, broker compromises and meet deadlines
Experience in developing and documenting governance processes supporting operational risk frameworks
Demonstrated ability to build and lead high-performing teams
Desired
EDUCATION
Bachelors degree from a top tier College/University

213

Operational Risk Manager Resume Examples & Samples

Ensuring that WC in the US has robust, day to day risk management routines in adherence with the Corporate Operational Risk program element standards (e.g. RCSA, losses, KRIs, issues)
Providing advice and counsel to the LOB regarding risk mitigation strategies, approval of new products, and escalating risk concerns in governance forums and executive leadership as necessary
Conducting assessments focused on the identification of operational risk and control gaps
Evaluating the effectiveness of governance processes, metric triggers, mitigation actions and policies and procedures
Communicating risk positions crisply and candidly with senior leadership across the organization
Close coordination of coverage activities with the Wholesale Credit Op Risk Global Lead
7+ years of Wholesale Credit Product business experience (underwriting / monitoring / deep understanding of credit processes) andworking knowledge of Operational Risk/Audit/Credit Review
Strong partnering skills
Ability to effectively and diplomatically manage conflict
Excellent written, verbal and presentation skills & Strong Communicator

214

Operational Risk Manager Resume Examples & Samples

Partner with business functions to continually analyze and improve our risk control environment
Assess operational risks inherent in processes; evaluate effectiveness of controls designed to address associated risks
Provide coordination, analysis and challenge with regards to operational risk events
Advise vendor operational risk management teams and assess whether vendors' operational risk framework meets required standard
Program manage SSAE16 Type 2 assessment of vendors' supervisory controls
Act as liaison with internal and external auditors and assist with internal policy governance

215

Operational Risk Manager Resume Examples & Samples

At least 8-10 years experience in banking industry
Understanding of operational risk management through previous experience in Audit, Operations, Accounting or Risk Management
Knowledge in corporate and investment banking business
Good communication and Project management skills
Tertiary education in banking, accounting or business administration
External; and/or internal banking and auditing or financial consulting or operational risk experience

216

Operational Risk Manager Resume Examples & Samples

Management of the risk acceptance process across Segments, implemented in our GRC tool (ERMS)
Assisting with collection of data, analysis of information and drafting of operational risk primary risk assessment
Identifying current and emerging risk trends and escalating as appropriate
Participation and/or leading working groups/committees to address and resolve issues
Identifying and recommending solutions for negative trends
Gaining an in-depth knowledge of the Archer - Enterprise Risk Management System (ERMS) related to risk analysis and reporting for operational risk
Assisting with the implementation of operational risk strategies/initiatives
Monitor change in the regulatory landscape related to operational risk
Provide assistance in training to the business units on ORM requirements
Develop and maintain ORM policies and procedures, and update ORM manuals as required
Participates in corporate risk projects as needed
Provides partial support of Policy and Governance as needed
Bachelor's Degree preferably in a business related field
3 -- 5 years' experience in an operational risk, risk management, audit, or compliance role in the financial services industry that required independent analysis, assessment and resolution of complex issues
Experience with reporting for Basel II and/or AMA a plus

217

Operational Risk, Manager Resume Examples & Samples

Within assignment has a broad range of independence and ensures the Operational Risk Program is working effectively to report on the Wealth Management Groups risk posture and effectively manage applicable risks
Undertakes transversal & vertical assessments (such as RCSAs or RCAs) of exposures, identifying risks, evaluating their potential impact and reviewing the strengths and weaknesses of existing controls. Tracks resolution of issues. Advises line management on opportunities for improvements
For assigned Control Programs, such as 3rd Party, Information Security, Business Continuity, Records, Fraud, etc. acts to maximize benefit of program components
Once the controls are in place, continues to monitor control compliance and the prevalent risk environment recommending incremental recommendations for improvement to ensure that exposures are kept at acceptable levels
Oversees the execution of the operational risk management standards and procedures; developing operational risk management analysis reports; developing approval procedures and guidelines on operational risk limits by type of product and/or transaction (where appropriate); and in establishing management and administrative procedures to ensure adherence to policies
Bachelor’s Degree in Business Administration – required
Master’s/Advanced Degree in Business, Finance or Risk Management preferred
Requires practical knowledge in leading and managing the execution of processes, projects and tactics within one area
Typically has advanced knowledge and skills within a specific technical or professional discipline with understanding of the impact of work on other areas of the organization
10 or more year’s directly related or combined Operational Risk Management and Internal Audit experience within the financial services industry
7+ years’ experience working in Wealth Management, Private Banking, or Broker Dealer Operational Risk Management

218

Operational Risk Manager Resume Examples & Samples

Control Governance & MCA
Management of Operational Risk Events/Loss reviews
Ensure that identified Risks are being proactively documented and dimensioned via formal Issues/CAPs
Act as a shared owner of audits; issues are managed in a timely and appropriate manner. Ensure factual accuracy of issues and responses
Advise Ops team on all aspects of MCA governance. Continually review content of MCA to ensure key risks are included and tested
Recommend and establish Key Risk Indicators (KRI), continuously monitor against established thresholds
Drive metric reporting and own / contribute to the fulfillment of reporting, disclosure, and attestations requirements
Create Policy interpretation documentation
Excellent problem-solving abilities; strong analytical skills; both quantitative and qualitative
Self starter; ability to work independently and complete tasks within communicated target dates
Results oriented and tenacious; ability to challenge the status quo
Thorough understanding of Risk and Control requirements
Sound business experience of Custody & Issuer products and processes

219

Operational Risk Manager Resume Examples & Samples

Experience in communicating effectively, orally and in writing, with small and large working groups
Knowledge of financial services industry products (5+ years of industry experience), with knowledge of the Citi organization and global products a significant plus
Experience in risk management with knowledge of operational risk is a plus
Experience working collaboratively on team projects
Experience with risk related analysis and reporting
Ability to work on project teams in a collaborative fashion
Ability to set priorities and manage a high workload and tight, firm deadlines in a dynamic work environment
Excellent oral and outstanding written communication skills
Ability to excel in a fast paced environment, with large workloads
Commitment to team work

220

Operational Risk Manager Resume Examples & Samples

Independently assessing risk, challenging both historical and proposed practices and working as independent partners with colleagues to improve our processes
Understand operational risk capital calculation and allocation dynamics
Risk Identification, Analysis and Assessment across IT operations and functions within CEP
Identify trends, themes, tendencies that indicate emerging operational risks specific to Information Technology
Ensure CEP is compliant with applicable internal and external Standards and Procedures
Work on continuous improvement on Operational Risk framework in- and outside of MCA
Oversee the activities from Technology, Information Security and 3rd party related Operational Risks against program expectations (MCA Annual Risk Assessments, Quarterly Assessment)
Challenge both historical and proposed practices through a variety of means e.g., operational risk reviews and deep dives: new product reviews, etc
Perform independent, effective challenge and oversight of the business with respect to MCA (Managers Control Assessment). In particular, form an independent assessment of risks and control effectiveness; based on assessment perform independent challenge of processes, risks and controls; and challenge entity ratings as appropriate
Engage and coordinate with specialists from other second line of defence functions in effective challenge of businesses
Challenge First line Risk Reviews Identify and measure both inherent and residual risk to technology service delivery capability
Challenge the design of process flows to help technology managers understand the impact of control weaknesses to their technology service delivery capability
Challenge the extent to which technology managers can demonstrate they are in compliance with internal and external technology control standards, as well as regulatory and audit requirements
Advise on continuous monitoring and control test methods, and recommend technology metrics in support of decisions concerning technology control objectives
Validate alignment of business strategy to technology strategy and existence of appropriate controls and measures to demonstrate strong governance
Experience in Audit, Information Security or IT Risk Management discipline
Experience performing IT Business Analysis, Project Management or similar work
Extensive years of Bank experience within business, O and T, internal control, Compliance with a focus in Technology, Information Security and 3rd party risks
Excellent knowledge of banking practices and global functions, as well as solid knowledge of related local legal and regulatory requirements
Strong Technical experience with enterprise technology architecture as a holistic structure that includes people, process, and technology components like Cyber Security, Systems Infrastructure, Systems Development etc
Hands-on technical experience in IT management, controls and/or information security within globally complex, dispersed and diverse organizations
In-depth, detailed knowledge of Technology Management, Operations and Information Security practices, both poor and best. Prior experiences in previous roles may include but are not limited to companies with global technology infrastructure such as Internet service providers, global manufacturing firms, or global financial services firms
Practical experience as a team member in a project or program wherein technology control metrics were devised, delivered, and/or analyzed
Experience with enterprise technology architecture as a holistic structure that includes people, process, and technology components combined to achieve business goals for automation
Knowledge of full system, software, and security development lifecycle, including abuse and misuse cases development and testing
Extensive years of work experience in the financial services industry, with exposure to operational risk and/or internal control concepts
College/university education preferred, although exceptional candidates who do not meet this criteria may be considered for the role provided they have the necessary skills and experience and an outstanding professional track record
Relevant IT Qualification – ie ISACA, CISM

221

Operational Risk Manager Resume Examples & Samples

Actively monitor and utilize Placements Plus to ensure accurate vendor account placements as well as daily/monthly reporting
Completion of all monthly control log activities and reporting including but not limited to complaint log maintenance, FDCPA training, OCA Placements etc
Monitor Outsourced Suppliers' performance to identify and correct performance problems
Active participation in monthly OCA vendor performance calls
Adherence to all controls and compliance requirements
Creation and management of monthly control log of vendor access to PDP and Columbus
Perform testing and validation activities
Customer complaint solutions
Recommend and execute on ideas to increase teams overall efficiency/ effectiveness
Assist with annual audits as needed
HS diploma or equivalent required
3 + years experience in financial services or similar industry. Associate's degree or Bachelor's degree in business or related may be used as a proxy for the experience
Expert knowledge of general/standard office and administrative procedures and methods
Expert data entry and word processing skills; Intermediate or advanced Microsoft Excel skills required
Extensive knowledge of directly applicable departmental policy or procedure is required
Advanced oral and written communication skills sufficient to provide information, answer inquiries, and refer calls
Knowledge of Ally systems (CARS, Shaw, etc.) preferred
Computer skills sufficient to operate on-line system and complex software or develop formulas for moderately sophisticated spreadsheets
Ability to exercise judgment to research and solve operational problems where the answer is not apparent
Ability to decide when approval of an unusual transaction exceeds assigned authority or would have broad ramifications, and to bring such incidents to the attention of the supervisor. Perform qualitative review of individual situations, identify trends, and make recommendations

222

Operational Risk Manager Resume Examples & Samples

Prepare and organize material and reports for the Office of Risk and the Risk and Control Committee. Ensure accurate and timely reporting of risk-related items. Note and progress action items from OOR and RCC and provide support to shape and influence completion of items within an appropriate timeline
Support and help facilitate the rollout and execution of risk processes such as Risk and Control Assessment (RCSA), Control Evaluations, Action Planning and Monitoring for High Risks and Emerging Risks, and other risk processes to enable appropriate oversight and reporting to leadership and meet enterprise program requirements
Drive risk analytics and manage Key Risk Indicator and dashboard reporting, highlighting key trends or areas of concern
Develop internal partnerships that facilitate sharing of operational risk information. Provide support and training to ORM Liaisons and Support Partners on ORM requirements and the use of a common tool/system
Coordinate other ad hoc projects and responses to requests such as efforts to provide global oversight and learnings on internal and external risk events, vendor risks and RFPs
3 to 5 years relevant experience
Experience in risk management, auditing or oversight of operational processes
Effective at prioritization of workload with competing priorities and producing high quality work
Strong organizational skills with ability to maintain high level of detail
Advanced skills in Office and web applications (Outlook, Excel, Word and PowerPoint) for analytics and reporting to executives
CFA, PRMIA Risk Certification
Experience working in the Asset/Investment Management industry
Equally comfortable working independently or collaboratively on a project

223

Operational Risk Manager Resume Examples & Samples

Bachelor's degree, Master's degree preferred
Minimum of 5 years of operational or credit risk management. Previous track record that demonstrates successful operational or credit risk management experiences including working on cross functional, strategic initiatives
Proficiency with Microsoft Project, Excel, Word, PowerPoint, Outlook and Visio

224

Operational Risk Manager Resume Examples & Samples

Leads engagements to identify and measure risks, assess the design and effectiveness of processes and/or controls, and report on findings, recommendations, and overall opinion of the quality of the operating and control environment
Ensures engagements are properly scoped based on a well-informed understanding of risks and leadership risk tolerance, and that procedures are crafted to appropriately support engagement objectives
Develops and documents engagement plans, testing workpapers, findings and issues, engagement reports, and other work products with quality and within deadlines
Provides regular reporting on engagement planning and status, engagement outcomes, tracking of open issues, themes, etc
Drafts high quality reports and ensures findings and actions are well documented in accordance with department standards
Demonstrates excellent verbal and written communication and exhibits strong partnering skills and ability to interact with various levels of management and external stakeholders
Consults through ad-hoc advisory engagements while working hand-in-hand with process owners to share risk considerations and control best practices as they undergo strategic projects
Serves as a subject matter expert in risk assessment, technical research, substantive and control testing, control design best practices, professional/technical writing, etc
CPA, CIA, or CISA designation a plus
Advanced knowledge of operational risk and risk assessment methodologies, including complex control design
Prior experience conducting meetings with and preparing and delivering presentations to line, middle and senior management
Advanced problem solving skills and ability to independently research solutions to complex and ambiguous problems
Advanced ability to leverage learned technical skills in support of team objectives

225

Operational Risk Manager Resume Examples & Samples

Provide independent risk management support, challenge, training and advice to the business operation
Develop and embed the policies, processes and systems that comprise the Capita Asset Services risk framework; in particular the identification, assessment, control, monitoring and reporting of risks undertaken within the business
Train, support and facilitate the use of the organisations risk systems and technology maintaining an open and pro-active approach to risk identification and supporting the collaborative “all eyes” approach to risk management
Exert influence, support and challenge individuals with direct responsibility for managing specific risks, delivering risk mitigating actions
Help to promote awareness of risk management across the organisation, ensuring that the business sees risk as an “opportunity” as well as a “threat”

226

Operational Risk Manager Resume Examples & Samples

Supporting the ongoing implementation of AIG’s ORM Framework, ensuring it operates effectively and efficiently, and providing strategic thought to enhance processes to support robust risk management
Liaise with Finance functional management and internal and external risk partners (e.g. PwC, Internal Audit, SOX, Compliance) on all areas related to Operational Risk, with a primary focus on Global Finance Processes. Build and develop strong relationships with senior Global Finance leaders and serve as a trusted advisor in partnering to identify and remediate key risks across Global Finance
Partner with Finance management in identification, quantification, analysis, and remediation of Risk Events
Support organizational goals related to ongoing education and training of business partners regarding Operational Risk and an enhanced risk awareness culture across Finance
Drive completion of Risk Assessments through facilitation with business/functional owners. Assess opportunities for further consistency and quality of Finance processes across regions and processes. Partner with Finance in developing plans to remediate any identified control weaknesses
Support ongoing business transformation efforts across the region, including assessment of technology enhancements and migration of work to regional Finance Centres

227

Operational Risk Manager Resume Examples & Samples

Facilitating adherence to Op Risk specific regulatory requirements through proper usage of tools and participation in programs (e.g Scenario Analysis)
Championing usage of tools for risk management purposes with the business as well as challenging their tool usage
Articulating requirements for tool enhancement and creation
Business Risk Management Responsibilities
Governance & Oversight
Meet with business management leadership on a regular basis and build stature and strong relationships to be a valued and respected partner
Risk Identification Analysis & Assessment
Work with other second line of defense functions in the identification, analysis and assessment of operational issues and emerging risks as relevant for individual businesses
Leverage knowledge of the current economic, regulatory, and business environment to proactively identify potential risk and develop specific recommendations for the Business to action
Risk management experience, including knowledge of risk management governance and controls
Excellent people management and leadership abilities
Demonstrated relationship-building skills, with a superior ability to make things happen through the use of positive influence
High degree of personal initiative
Craft messages and concepts to Regulators and Internal Audit
Strong PowerPoint skills, intermediate Excel skills
Interpersonal Skills

228

Operational Risk Manager Resume Examples & Samples

Gain thorough knowledge and understanding of Citi Third Party Risk Management requirements
Represent business leadership to coordinate Third Party Risk Management activities
8+ years of relevant experience in Supply Chain Management, risk management and/or regulatory compliance in one or more of the following risk disciplines: technology risk, business continuity, operational risk, supplier risk, or audit and controls
5+ Years Project Management/Lead Experience
5+ years with relationship management, contractual management and negotiation skills (on and off shore)
5+ Years Vendor management experience with SLAs and deliverables
2+ Years experience in delivering technology solutions in the Financial Sector

229

Operational Risk Manager Resume Examples & Samples

Strong people management skills
Strong interpersonal skills and ability to work well in a team environment, collaborating across diverse groups
Ability to present a compelling case for ideas and initiatives through listening and articulating a convincing point of view
Acute attention to detail with thorough follow through
Effective planning and organization skills
Proven ability to make sound business decisions
Possess strong analytical, problem solving, technical and project management skills
Strong PC skills (Microsoft Office Word, PowerPoint, and Excel)
Strong knowledge of Front Office policies, procedures, systems and flows across multiple businesses
Quality Assurance and/or Front Office experience preferred

230

Operational Risk Manager Resume Examples & Samples

Maintaining an inventory and Reporting Dashboard of Policy and Regulatory changes impacting Branded Cards and Retail Services
Presenting the Reporting Dashboard no less than monthly to Control forums (Monthly Operational Review and Cards Control meeting) to ensure awareness of the various initiatives across the many control organizations of Citi
Managing the Policy and Regulatory Change Management forum; ensuring review of new and changing policy documents with business stakeholders, capturing and documenting meeting minutes, managing inventory of Impact Assessments, Implementation Plans and Evidence submitted by the business stakeholders, facilitating meetings with business stakeholders to ensure ultimate policy adherence
3+ years Project Management and governance experience with demonstrated ability to achieve critical milestones
Experience with WebEx, bridge lines, video conferencing
Strong communication skills, including written communication (i.e. email, memos for senior leaders, training material,
Presentation creation)
Fundamental Power Point, Visio and Excel knowledge
Demonstrated relationship management skills with ability to deepen relationships and build partnerships across
Business units and key functional support areas
Demonstrated ability to influence a group of diverse stakeholders and drive accountability and ownership with key
Business partners and process owners
Six Sigma or other relevant training is added value
Strong judgmental and critical thinking skills. Detail oriented, with proven ability to challenge and identify opportunities within existing processes and business practices
Experienced with document management and process automation
Functional knowledge of the Cards business and applicable rules, regulations, and processes preferred
In depth knowledge of control development, monitoring and testing processes and risks

231

Operational Risk Manager Resume Examples & Samples

Data Management
Risk and Finance Calculations and Models
Data Assurance through Reconciliations and month end Controls
Bank -wide Operational Risk Reporting
Production Control Oversight
Conduct Quality Assurance reviews and Ad Hoc reviews of Incidents
Participation in projects to ensure controlled deliver with reduced risk appetite and evaluating

232

Operational Risk Manager Resume Examples & Samples

Oversee the development of a holistic testing and monitoring program for key operational controls. Work with stakeholders to drive step change in control and governance processes
Communicate strategic MCA program objectives to stakeholders, team members, and various business partners
Provide operational risk management direction, guidance, and support to key stakeholders for MCA programs, including
Bachelor's Degree, advanced degree, certification (Six Sigma, PMP, CAPM) a plus
5+ years broad and comprehensive knowledge of residential mortgage and/or retail banking operations is preferable
Strong critical thinking and problem-solving skills, with the ability to analyze operational and financial impacts
Strong proficiency in Microsoft Word applications, specifically Word, Excel, and PowerPoint

233

Operational Risk Manager Resume Examples & Samples

Analytical skills & synthesis ability
Strong adaptability & Attention to details
Fluent in English, APAC Local language skills is a plus
University graduate with at least 5-7 years of relevant experience in risk management, control function, preferably with relevant exposure to consulting or audit background
Prior experience or practical understanding in previous roles may include but not limited to Front/Middle/Back Office, Operations or Functional role(s)

234

Operational Risk Manager Resume Examples & Samples

Identify, analyse and assess operational risks faced by the business and facilitate the creation of business risk registers
In conjunction with the business, re-design inadequate controls and/or design new controls to manage key risks or develop treatment plans, as necessary
Monitor the status of treatment plans and key risk indicators in order to assess the appropriateness of the control environment
Identify and escalate process, policy and procedural improvements which can benefit Risk and Assurance and/or the Business Function
Appropriate identification and escalation of Compliance breaches and Business risks
Work with other Risk and Assurance staff to identify process improvements in Risk and Assurance and the Business Functions
Progressively refine Risk and Assurance model (framework, checklists) to ensure it covers the key risks and addresses compliance gaps in the processes
Prepare and issue targeted Risk and Assurance reports to the various stakeholders as per agreed timelines
Solid experience in an operational risk and compliance function
Experience in Business Continuity cycle activities
Should have been involved in or performed operational risk assessments
Attention to detail and ability to provide timely and accurate commercial advice
Strong focus on execution and ability to manage work effectively

235

Operational Risk Manager Resume Examples & Samples

Have an excellent knowledge and understanding of the key elements of a successful Operational Risk Frameworks
Experience in Financial Services / Asset Management
Be a pro-active individual with a pro-active “can-do” approach
Ability to work with people at all levels
Excellent people skills and ability to influence others
The ability to prioritise and manage complex deliverables against tight timeframes
Advanced knowledge of Microsoft Computer packages (outlook, Word, Excel and PowerPoint – SharePoint a benefit)
Ability to demonstrate and understand the regulatory framework relevant to the role, whilst practising effective risk management at all times

236

Operational Risk Manager Resume Examples & Samples

Risk Appetite Statement support and reporting
Key Indicator policy support and reporting
Risk and Control Self-Assessment (RCSA) support and reporting (Archer reporting)
Attestation support
Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
Proficient computer skills, especially Microsoft Office applications
Experience with the Archer eGRC tool/application a plus
Experience with Model and Tool governance
Thorough understanding of the business line's operations, products/services, systems, and associated risks/controls

237

Operational Risk Manager Resume Examples & Samples

Partner with CRO’s in providing consultative oversight and programs to the business units
Establish operational risk appetites, measure and mitigation strategies
Develop close working relationships across the organization, including Technology, and key partners in Internal Audit, Compliance and Risk
Cultivate a culture of risk awareness by developing comprehensive training and awareness programs to enhance organizational vigilance
Foster cross-pollination to connect risk solutions to business needs
Build out a high performing Operational Risk Management team
Manage adherence to firm-wide operational risk management policies
Develop, implement and monitor risk-based programs
Lead risk identification, assessment and on-going monitoring activities for high risk operational processes
Develop clear procedures and protocols for events that occur
Set risk metrics/tolerances for identifying, assessing and mitigating risk
Conduct analysis, develop risk methodologies, and drive the implementation of strategies, policies, procedures, and internal controls to identify issues resulting from internal and/or external audits
Consult with business leaders to develop corrective action plans and effectively manage change
Lead in the continued development of operational risk measurement methodologies
Work through a matrixed environment; oversee the assessment and future implementation of security policies/procedures across the organization
Respect NYL’s culture, values and operating style while driving different risk management cultural behaviors
Assets under management represent Consolidated Domestic and International insurance Company Statutory assets (cash and invested assets and separate account assets) and third party assets principally managed by New York Life Investment management Holdings LLC, a wholly owned subsidiary of New York Life Insurance Company

238

Operational Risk Manager Resume Examples & Samples

5+ years experience in financial services, with 2+ years in a Risk and Control environment required
Subject Matter Expert on End User Computing, CITMP and Operational Risk polices
Ability to provide leadership to Business Units, priorities deliverables and to respond on behalf of Risk Management to formal requests from external parties and senior management
Ability to manage a matrix organization of peers
Strong verbal/written communication skills.

239

Operational Risk Manager Resume Examples & Samples

Serve as the primary contact point for the compilation of slides and information
Coordinate with senior ICG business and control function management on presentations and meeting materials
Facilitate meetings with senior management and their representatives to set meeting agenda and escalations
Coordinate meeting logistics and produce meeting minutes
Interpret, promote, and enforce employee understanding of the information through awareness and discussions
Advocate on risk-based approach and represent concerns to eliminate redundant reviews and escalate system/process inefficiencies
Liaise with key policy owners, various offices, and data custodians in the development of the presentation
Responsible for the development, delivery, and coordination of a comprehensive the presentation’s content
Work with presentation stakeholders to prepare and submit required reports
Keep abreast of latest security legislation, regulations, advisories, alerts, and vulnerabilities pertaining to ICG
Gain the trust and confidence of the leaders in the key areas and their contributors
Establish a rapport with the varying support organizations and team leaders,
Develop a broad and detailed understanding of the organization’s landscape and culture
Enhance skills to quickly respond and deliver requirements that meet the evolving needs
At least 5-10 years of relevant financial services experience in a large scale trading and risk environment preferably in Banking or Trading
Knowledge of securities industry and front office operations (e.g. equities, fixed income) and an understanding of information technology and information security
Strong Desktop/PC skills (e.g. Powerpoint, Excel) – has working knowledge of MS suite of applications, specifically excel, for data mining
Strong analytical skills follow-up capability and problem solving ability – Ability to analyze a process and recommend ways to improve quality, control, and efficiency
College degree in Computer Science or Information Technology, Accounting, or Finance. MBA a plus
MS Powerpoint and Excel a plus

240

Operational Risk Manager Resume Examples & Samples

Assist in managing the Bank’s vendor lifecycle phases of planning, due diligence, contract negotiation, ongoing monitoring and termination, and work directly with the Firm’s Due Diligence and Control Groups to review vendor risk assessment results and mitigation of risks
Provide day-to-day support for the Bank’s Vendor Management Office (VMO) and it’s 200+ vendors, including the vendor lifecycle from on-boarding, contract reviews, periodic monitoring, risk assessments, and termination
Become engaged in vendor related projects within Wealth Management and Firmwide, such as vendor agreement remediation, vendor expense reviews, and SSAE16 reviews
Assist in ensuring appropriate governance of policies and procedures, and the Bank’s framework adherence to key FFIEC and OCC regulatory requirements, including Appendix J, Regulation W, and Bulletin on Third-Party Relationships
Liaison with the Business Teams, Legal and Compliance, Firmwide Sourcing, Finance, Operations, and among others, to ensure Vendor Agreements and Task Orders are compliant with Bank guidelines
Support the Vendor Manager Officer in weekly, monthly, and quarterly Committees and Sub-Committees related to the Affiliate and Third Party Vendor Management Programs
Assist in the coordination of the Affiliate Service Level Agreement (SLA) management program, including risk assessments, agreement drafting, periodic cost and service level reviews, meeting minute reviews, and Bank Committee presentations
Strong sense of ownership, accountability, and entrepreneurial spirit
Strong project management, organization, communication, and analytical skills
Strong interpersonal skills - freely develops networks, builds consensus, prioritizes effectively, and develops alliances across organizations

241

Operational Risk Manager Resume Examples & Samples

Minimum 15 years work experience in Compliance, Audit, or Risk Management
Supply Chain / Third Party related experience desirable
An understanding of Operational Risk and Control Self Assessment
Excellent English written & verbal communication skills
Strong interpersonal skills ability to develop strong partnership with stakeholder
Proficient in the use of workstation applications (MS Word, MS Excel, MS PowerPoint, etc.)

242

Operational Risk Manager Resume Examples & Samples

2+ years of Operations experience
Practical knowledge of Operational Risk Management methodology & application
Working knowledge of Risk Frameworks & Policies
Strong awareness of Change Programme Management 'disciplines' (governance, planning, reporting) & practical project management delivery
Previous experience with Operational workflows / process mapping techniques

243

Operational Risk Manager Resume Examples & Samples

Bachelor’s Degree or other professional qualification essential
CA/CPA Qualifications preferred
Other relevant qualifications (CISA/CIA/CFA) and Six Sigma/Lean desirable
Extensive experience in Banking with direct experience in a Control &/or Audit /Risk management role
Working understanding of risk framework definition and operation (e.g. Operational Risk Management Framework, Controls Self- Assessment, COSO ERM)
Exposure across a range of Financial Markets businesses, products and processes (e.g. Retail Banking, Corporate & Investment Banking, Securities & Fixed Income Sales and Trading, Insurance and Wealth Management)

244

Operational Risk Manager Resume Examples & Samples

Determination and oversight of the control assurance programme for MOD in line with the Operational Risk framework
Management of deep dive process assessments
Review and maintain MOD control standards to insure they are in line with Group-wide and Divisional policies
Ensure Control Assurance provides assurance of MOD’s Risk and Control Risk Self-Assessment (RCSA) and audit readiness
Categorisation of critical controls has been accurately determined
Management reporting of Control Assurance activities
Liaison with internal and external audit with respect to the control assurance programme
The ability to think laterally with strong problem solving skills and an ability to grasp abstract concepts and complex situations
Operational risk, internal or external audit experience gained within a dynamic international financial institution or professional services firm
Ability to manage remote and virtual teams and influence outcomes

245

Operational Risk Manager Resume Examples & Samples

Assist with the production of Operational and Control Management Information reporting
Assist Line Manager with administrative support for the departments’ annual Risk and Controls Self-Assessment (RCSA), such as control documentation of new risk identified or modifying existing control documentation (as needed)
Assist Line Manager in developing training and educational materials to raise awareness on MLRM Operational Risk & Control Assurance owned processes and procedures
Assist with Operational Risk Bank wide initiatives for MLRM as need
Support ad-hoc inquires and projects as required
Assist with documentation, follow-up and testing on MLRM Operational Risk & Control Assurance owned audit and regulatory points
Manage the creation of PowerPoint presentations suitable for distribution to Senior Management

246

Operational Risk Manager Resume Examples & Samples

Understand AML / Sanctions risks for the Markets businesses, assess related controls and identify opportunities to enhance front to back controls and processes,
Design and manage the implementation of new controls and risk management processes across the Markets operating platform
Work collaboratively with business and key stakeholders to evaluate the impact of new policies and regulatory mandates to ensure requirements are fulfilled
Interact with Audit and other Control groups to drive control enhancement initiatives, investigate control failures and coordinate remediation activities

247

Operational Risk Manager Resume Examples & Samples

Plan and facilitate operational risk scenario analysis workshops across all business lines of the Bank and related entities. Workshop participants are typically mid- to senior level management
Create the annual scenario analysis plan in accordance with the firm’s requirements policy and ensure its completion
Assist in implementation of requirements for the use of scenario analysis results and business environment & internal control factors for capital modeling purposes
Contribute to oversight of SBNA ORM Framework in support of the first line of defense, with high focus on ability to aggregate, analyze and action risk data appropriately
Drive culture of OR awareness and deliver business-tailored training and as needed across relevant constituent groups, and be accountable for the development of training materials
Drive loss data management tools development and data automation to effectively capture, aggregate, report and monitor losses across the Bank
Assist as needed in preparation of operational loss forecasts for regulatory stress tests such CCAR and DFAST, including design and facilitation of new scenarios and workshops
Provide training on operational risk management and self-assessment tools/techniques to various levels within the bank
Provide Operational Risk Management consultation to business units on risk and control self- assessments, key risk indicators, and other operational risk topics
Maintain contacts with other institutions to keep abreast of their Operational Risk programs. Manage relationships with scenario stakeholders, including Business Unit Risk Managers, Third Party Managers, System Owners, Risk & Control Officers, second line of defense risk areas, Legal and Compliance
Contribute to satisfactory results in audit reviews and regulatory examinations
Ensure that responses are provided in timely and complete manner, and that there is effective and timely oversight of the execution of the remediation
Assist preparation for meeting with our internal auditors and regulators to keep Scenario analysis and related program requirements aligned with their expectations
Bachelor Degree in Business Management preferred or equivalent experience
Master’s Degree level preferable
Minimum of 8 years of proven experience in Banking industry, financial and regulatory requirements, product offerings and key operational processes
At least three years of experience in an operational risk position in a financial institution
At least one year direct experience in CCAR/DFAST scenario analysis workshop facilitation
Knowledge of operational risk-related regulatory guidance, including risk and control self-assessment, internal loss data and scenario analysis
Strong understanding of industry standard operational risk concepts and frameworks
Strong communication skills both in writing and verbal
Proficiency with general MS applications, data, technology GRC tool, particularly database/SQL/JAVA and SAP
Strong work management, organization and planning skills, based on an understanding of relevant processes and business needs. Able to perform duties with low supervision
Integrity, combined with high personal and professional standards and ethics

248

Cgm-business Operational Risk Manager Resume Examples & Samples

5 years of Operational Risk/Internal Audit experience in a commodities trading environment, including Securities trading, Fixed Income and Foreign Currency desks, Energy Markets desks (including Gas, Electricity, Oil, Coal and Uranium), Metals and Agriculture desks (including precious metals, base metals and agricultural products) and equity investments
A solid understanding of physical and financial businesses across Commodities
Strong understanding of Front Office operations and controls including deal booking, trade execution, vanilla and structured loan and derivative products, client interaction, rates/position marking, valuations, pre-deal checks including credit and market risk limits
Knowledge of Finance processes including P&L production/reviews, balance sheet substantiation and reconciliations
Experience in reviewing Treasury processes including daily funding, short and long term liquidity management, asset and liability profiling, board/senior management reporting
Project management of audit projects including management of staff, budgets, stakeholder management, timelines and reporting

249

Operational Risk Manager Resume Examples & Samples

Candidate requires bachelor degree in Finance, Accounting, Economics or related degree with 5 plus years’ experience in the investment industry
Experience in risk, compliance, governance, or other control disciplines
Ability to identify and recommend changes to existing processes in order to improve and streamline those processes
Solid practical knowledge of financial products, pricing, portfolio valuation and reporting
Ability to work under pressure to complete responsibilities within identified deadlines
Effective relationship management skills with excellent written and verbal communication skills
High degree of knowledge with Microsoft Excel and PowerPoint applications on top of proficiency with other technology applications
Highly motivated self-started, results-driven, and teamwork oriented

250

Operational Risk Manager Resume Examples & Samples

Co-ordinate the Operational Control set-up in India by organizing Committees, holding meetings of all Heads of business and functions as per frequency stipulated by the group. This includes, but is not limited, to key participation in the entity ICCs
Ensure that the teams in charge of Operational Permanent Control and Operational Risk (OPC and ORPC teams) in India at Business Lines, Functions and Countries level are clearly identified and that responsibilities are clearly defined
Alert territory/entity management and the regional/group Risk ORC Management in case of any perceived deficiencies in the Operational Permanent Control and Operational Risk set-up in India
Be the point of contact for all the other Risk ORC teams within the group, especially the ones whose entities are serviced by ISPL or GSO and contribute to have the requirements of these entities with respect to OR set up, taken into account
Identification and quantification of risks
Review / Challenge the Risk and control assessments produced by the OPC in India (Country, Business Lines and Functions) to ensure that operational risks are properly identified, assessed and regularly updated
Ensure consistency of analysis across Business Lines functions and shared processing entities in India
Follow up the stock of Potential Incidents relating to the India to ensure that they are kept current and that they continue to be an accurate reflection of risks to be used in the calculation of the bank’s operational risk capital
Ensure deployment of tools such as Mercator, Forecast etc and their correct usage
Historical Incidents
Ensure that Historical Incidents are properly recorded (in particular supervise the cross check between accounting, other registers and Forecast)
Review and produce regular analysis of Historical Incidents focusing on causes and trends
Ensure that the implementation of all corrective action plans put in place in the Métiers and Functions in India are properly monitored by the various OPC teams
Organization & Procedures
Ensure that OPC follows up the completion and updation of procedures
Manage the cascade down of procedures received through Group Risk ORC
Risk ORC methodology & Tools
Contribute to Operational Permanent Control and Operational Risks methodology, standards and procedures and adapts & completes them in order to ensure they meet local regulatory requirements
Contribute to and co-ordinate India requirements for tools for operational permanent control and operational risk
Contribute to the implementation of Risk ORC methodology and tools in India
Permanent Control Plans
Ensure that controls under the first line of defense responsibility are defined, performed and documented by the various control and process owners operating and supporting the Métiers and Functions in the India scope. Check completion rate of 1st line of defence controls
Perform regular checks to monitor the execution and evidence of controls performed in the INDIA (at Country, Business Line or Function levels), with a particular focus on operational areas showing weaknesses (Historical Incidents, insufficient Risk cartographies)
Test design and effectiveness of 1st line of defence Generic Control Plans, and challenge evolution between intrinsic and residual risks through the control of mitigants
Detecting and anticipating risks
Implement 2nd line of defence controls on some major risks,
Perform independent reviews on selected topics or processes, to detect and anticipate unidentified risks
Inspection Générale/Internal Audit and Regulators findings and recommendations
Verify that IG/IA and Regulators recommendations in India are properly followed up by the OPC teams
Produce regular analysis of Recommendations by topic, business units responsible for implementation
Reporting : Organize, supervise, co-ordinate and produce regulatory and internal reports relative to operational risk in India (contribution to the Permanent Control Reporting, etc..) and of the bi-annual certification by Management related to Operational Risk
Work on a robust coverage plan for the territory entities and review with entity managers and territory head
In cooperation with India Governance organize the Territory Internal Control Committees (ICCs) as defined in the Head of Territory Charter
Act as secretary for territory/entity Risk ORC Committee
Participate in ICCs and Control Committees for (in-scope entities) operating in India
Contribute as a second look on operational risk to NAC where the OR dimension is significant
Ensure that TACs and NACs governance and process are in place and that approvals subject to conditions are followed up by OPC
Ensure that the follow-up of the conditions decided in TACs and NACs Committees in India is properly performed by the OPCs teams involved
Co-ordinate the anti-fraud actions in the INDIA by
Setting up an anti-fraud desk within Risk ORC
Develop preventive actions, handle alert management when relevant, ensure anti fraud dimension is taken into account in the control framework and it properly operates
Organizing and monitoring the anti-fraud awareness in the INDIA
Fraud and Incident declaration

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