Operational Risk Resume Samples

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L Daugherty

Lavonne

Daugherty

40457 Beverly Port

New York

+1 (555) 986 2092

40457 Beverly Port

New York

Phone

p +1 (555) 986 2092

Experience Experience

Los Angeles, CA

Operational Risk

Los Angeles, CA

Daugherty-Wunsch

Los Angeles, CA

Operational Risk

Facilitation of operational risk event collection, performing detailed reviews of events, tracking of remediation, conducting trend analysis and reporting
Conducting scenario analysis, developing and maintaining a library of case studies
Working with senior stakeholders within the business and federation divisions, strengthening and developing the risk framework and its individual components
Conducting scenario analysis, coordinating development of case studies to quantify and measure operational risks, maintaining a library of case studies
Identifying, monitoring and analyzing risk measures
Developing, implementing and updating of policies, procedures and systems; and
Work with other support functions to enhance second line controls, including automating the monitoring processes

New York, NY

Operational Risk Mgr

New York, NY

Strosin and Sons

New York, NY

Operational Risk Mgr

Manage and coordination ERM’s review process of High Risk NBIs among all risk types
Develop and prepare timely reporting within ERM division to support effective ERM’s reviews and timely feedback NBI sponsoring divisions
Prepare analysis to support EOR officers’ decision with regard to granting exemption or exceptions to the NBI standard
Foster and maintain relationships within the 3 lines of defense community – serving as central point of contact/communication regarding the NBI program
Manage the NBI website to ensure the contents are relevant and up-to- date
Strong knowledge of risk management framework
Working knowledge of Microsoft Office (Excel, Word, PowerPoint, SharePoint)

present

Houston, TX

Head of Operational Risk

Houston, TX

Cormier LLC

present

Houston, TX

Head of Operational Risk

present

Assist in developing policies and procedures for local staff, including adapting existing Group policies
Build and lead a team of Operational Risk Managers to effectively monitor and assess operational risk management across India and Sri Lanka
Head up a Risk Management team and train and develop staff
Management of 1 AVP analyst who may work in a different location (eg US)
Provide expert guidance on the development of relevant policies and documentation
Lead special projects / task forces / working groups relating to the Operational Risk framework or identified OR risk issues
Input to the develop and execution of the OR strategy and framework, regionally and in-country

Education Education

Bachelor’s Degree in Accounting

University of California, Irvine

Bachelor’s Degree in Accounting

Skills Skills

Strong knowledge of and experience with Legal and Compliance divisional responsibilities within an investment bank / broker-
Self-starter who can work independently and proactively with strong organizational skills and attention to detail
Excellent interpersonal, financial and analytical skills and ability to work in a fast paced environment
Excellent communication skills, both verbal and written; ability to produce concise and effective presentations with impact and influence
Strong analytical skills and attentive to details
Multi-tasking and able to work under pressureProficiency in Microsoft Office applications, expertise in macro/VBA will be
Strong organizational skills (project management experience a plus) and attention to detail
Strong knowledge of and experience with Legal and Compliance divisional responsibilities within an investment bank / broker-dealer
Strong technical and quantitative aptitude to be able to understand and determine quantification of operational risks, ideally
Excellent interpersonal, verbal and written communication skills – able to present with impact and influence

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Head of Operational Risk Resume Examples & Samples

Coverage includes all LOBs in the SEA region – Singapore, Malaysia, Indonesia, Vietnam, Thailand
Own and deliver Aggregated Risk Profiles (ARPs) by Country
Requires the country ORO to assess the business mix for each country, review the relevant sub-LOB ARPs and include the relevant risks to the country ARP
Input to the develop and execution of the OR strategy and framework, regionally and in-country
Interact directly with country heads, local business leads, attend local BCCs and document challenge
Promote and instill a strong culture of ORM, partner with the business to continually improve OR processes and business operating models supporting safe business growth and informing risk related decision making
Review high risk new business initiatives and off shoring/outsourcing activities in conjunction with the local CAO offices
Support the Business on risk assessment of change initiatives across APAC, providing oversight on a portfolio view of change initiatives
Collaborate and coordinate closely with CIB OROs and ensure OR standards are communicated, understood and applied in the countries - review adherence to COR governance, standards, policies & framework across LOBs, functions and countries
Facilitate scenario analysis with businesses to stress the control environment under simulated conditions, drive accurate capital allocations and input to local ICAAPs as required: run in-country scenario analysis workshops which may include LOB specific scenarios
Review and incorporate internal & external loss data sets, conduct scenario analysis, understand the impact on the capital calculation and optimize outputs

Operational Risk Department Metrics Resume Examples & Samples

Set the strategic direction and vision for operational risk metrics, reporting, and data governance globally
Govern the metrics program, including setting data standards, defining technology requirements, determining fitness for purpose, performing data quality enforcement, and consistently aligning programs with strategic technology direction
Develop data analytics program using operational risk data (event data, risk assessments, control/risk issues, external event data, peer data, etc.) to produce insightful analyses to support risk identification, risk communication, risk mitigation strategies, resource prioritization as well as assessments of the effectiveness of the operational risk framework and capital adequacy
Represent the operational risk department in a variety of high profile internal and external forums
MS or PhD in Data, Engineering, Statistics, Mathematics, Financial Engineering, or a related field
Significant experience (8+ years) in Risk, with fluency in Operational Risk
Extensive experience solving analytical problems using quantitative approaches
Comfort manipulating and analyzing complex, high-volume, high-dimensionality data from varying sources
A strong passion for empirical research
Ability to communicate complex quantitative analysis results in a clear, precise, and actionable manner
Technical fluency in a high number of analytical tools
Experience working with large disparate data sets
Strong project management and organization skills with the ability to multitask and prioritise; ability to work under pressure and to tight deadlines
Ability to work in a small team environment, building and maintain a network of contacts and coordinating with a large number of stakeholders
Knowledge of operational risk modeling and AMA frameworks an advantage, but not essential
Native or strong fluency in English

VP Operational Risk Resume Examples & Samples

Based in New York, U.S., reporting to the Regional Head of Operational Risk for Americas
Coverage of all Global Private Banking activities in the Region including functions and HTS activity
Regular interfacing with the wider GPB operational risk team and Regional cross-business operational risk teams
Regular interaction with country and regional CAOs and BRCM / business management
Complex stakeholder engagement covering the business, functions and regional cross-business Operational Risk teams in multiple locations
Experience working in a risk management function or similar discipline
Financial services experience including knowledge of the business, process, systems and products
Ideally, knowledge and understanding of HSBC’s structure, products, processes and systems
Team player with communication, organization, presentation and influencing skills whilst maintaining the ability to operate proactively and independently with confidence where required
Fiduciary Risk experience, in particular with Discretionary Investment or Trust, is preferred

Operational Risk Mgmt Resume Examples & Samples

Implement the enterprise operational risk framework in Asset Management
Understand the Enterprise operational risk framework
Understand the Asset Management business and operations
Assist Asset Management staff in implementing the enterprise risk framework (risk identification and analysis, risk metrics, mitigation solutions, risk assessments, etc.)
Monitor operational risks in Asset Management, identify gaps and deficiencies and make mitigation recommendations
Collaborate with TIAA Asset Management investment boutiques to monitor their operational risks and to improve their mitigation solutions
Prepare comprehensive operational risk reports on a regular basis for both TIAA Asset Management and its investment boutiques to highlight key issues, trends and potential impacts

Operational Risk Modelling Resume Examples & Samples

3-5 years of work experience in a financial institution with solid understanding and practical experience of model development
Strong experience in VBA/S-Plus/R or other similar packages necessary
Experience in Basel II/RWA and Economic Capital requirements
Experience in an operational risk management role is strongly preferred
Strong organisational skills and ability to work under pressured timelines
Team player but comfortable with self-working
Ability to communicate complex concepts to varied audiences in a logical and precise manner

SVP Operational Risk Resume Examples & Samples

Changing of the current culture and mind-set, of the various disparate approaches and reporting across the control environment of the US Bank, working in a collaborative, consulting approach
Support business initiatives without compromising standards of internal control. The jobholder will liaise with businesses to foster the understanding and spirit of controls and ensure accurate and objective reporting to Senior Management
Emerging markets and/or rapid growth in the business and/or constant changes in regulatory requirements also pose an operational risk challenge. The jobholder needs to be able to quickly analyze complex situations, influence these strategies with practical, effective and commercial solutions through a comprehensive assessment if the operational risks are perceived to be too high and also to aid in the mitigation of risks
Ensure that potential risk areas are accurately identified by management. Support management efforts to identify mitigating actions, ensuring independence of thought and lateral thinking
Build and maintain a strong “business-facing” team with sufficient resources and skills
Must be able to work effectively with individuals at a higher-level within the organization
Must be able to calmly handle stressful or pressure-oriented situations and assignments
Ability to effectively work and multitask in a fast-paced environment
Operational Risk Management is an evolving discipline within financial services. While initially regulatory driven, the benefits of good Operational Risk programs (lowered loss expenses linked to better controls as a result of Operational Risk assessments, positive regulator reviews, predictive measures highlighting potential areas for loss, etc.) have inspired managers to more readily embrace its philosophies. This has resulted in Operational Risk management becoming a growing discipline where trailblazers have the opportunity to form policy and impact regulations
The amount of supervision required for this position will vary, as the position is somewhat autonomous. The incumbent is expected to work within overall guidelines and timeframes making deadlines set forth
HNAH's program for Operational Risk Management is geared to meet the Advanced Measurement Approach and is at peer with large, complex banking organizations in the US. Many aspects of the program have been identified as Group best practice
The nature of the role requires close working contact with senior and executive management and all business areas across HNAH. The jobholder also works closely with Group Operational Risk and various ORIC Committees. Lastly, this position provides direct support and guidance to all business units ORIC Coordinators
The jobholder is required to contribute to maintaining an excellent relationship with the Regulators in relation to ORIC matters
The jobholder must possess strong knowledge on banking regulations and operations as well as internal control and audit concepts
The jobholder is expected to be highly organized and to act independently and exercise broad discretion with minimal guidance and supervision
Ten years proven operational risk management, management information reporting, running of operations at senior management levels, continuous quality improvement organizations, or equivalent
Bachelor’s degree in management, finance, economics, related field or equivalent experience; Master’s Degree preferred

Senior Operational Risk Capital Manager Resume Examples & Samples

PhD / MSc in numerical principle
Proven experience in a financial institution with solid understanding and practical experience of model development
Experience of VBA/S-Plus/R or other similar packages necessary
Experience in an operational risk management role is preferred
Outstanding Analytical and Problem Solving skills
Good organisational skills and ability to work under pressured timelines

Senior Manager IT Operational Risk Resume Examples & Samples

Provide IT Operational Risk advice and counsel to the GTI Pillars Executive and Management, eg. Lead analysis and make recommendations related to risk exposures, trends, early warning, education and best practice information in the area of IT Operational Risk
Prepare and analyze pillar profiles, recommend and oversee risk mitigation processes and communicate regular reviews to leadership management
Actively participate in change management practises and provide operational risk counsel to key projects
Provide risk advisory role relative to audits, ensuring GTI pillars are appropriately prepared
Accountable to promote awareness of operational risk across the pillars
Advocate for, influence and represent the GTI pillars’ needs and interest to ensure the development of policies, standards and practices incorporate GTI’s needs and considerations
Lead the implementation of IT Risk Framework, GTI Enterprise Risk Control Framework, projects and processes that mitigate IT operational risk in GTI pillars under the incumbent’s portfolio. The role provides business, operational and long term strategic guidance in the development of IT Operational risk controls, processes, and tools
Relationship Management with GTI pillars, Audit, ORM and other relevant governing bodies
Knowledge of Operational Risk
Excellent understanding of processes designed for control and risk management, oversight, and governance
Product and processing knowledge including specific knowledge of business processes/services, end to end product support and inherent risk points
Minimum 7-10 years experience in either Infrastructure or Risk Management
Engagement in significant organization changes at a senior level
Experience in Audits or Consulting would be a major asset
Risk Certification

Regional Head of Capital Markets IT Operational Risk Resume Examples & Samples

Manage and operate risk identification and control processes across the New York based Capital Markets IT organization
Develop approaches to identify and monitor key controls aligned to the risk universe and regulatory requirements
Guide and influence the development of Key Risk Indicators
Maintain strong relationships within the Technology team, Business Continuity, Internal Audit and Operational Risk Functions within the bank
Manage programs to mitigate both operationally and project delivery risks and provide comprehensive management reporting
Contribute to the global teams strategic direction
Provide Technical Subject Matter expertise on all IT Risk Matters which includes (but is not limited to) Business Continuity Risk, Information Security, Change Management Risk and Project Risk
Local reporting manager for a small team (1-2) of IT Risk Staff
Conduct Top Down Risk Assessments
Manage the approach and framework and conduct interviews with senior managers within the organization and their directs to identify risk and assess the risk
Provide recommendations and strategies to management to mitigate risk
Ensure appropriate reporting is in place
Conduct detailed (or bottom up) Risk Assessments
Manage the approach and framework to identify specific areas of focus and conduct a bottom up Technical Risk Assessment
Conduct Root Cause Analysis on incidents/events
Based on needs, there will be a requirement to lead or participate root cause analysis of incidents to understand root cause and develop approaches to mitigate in the future
4 years within IT and/or Operational Risk
4 years investment banking experience
3 years within Information Technology development or operations role or Information Security Consultant

VP, Operational Risk, BIA Resume Examples & Samples

Proven track record of high performance in previous roles to include senior client management
Relevant professional qualifications (e.g. ACA, FRM) or postgraduate qualification in quantitative discipline for Operational Risk)
Good understanding of the control, regulatory and risk issues in Operational Risk
In depth knowledge of operational risk measurement in the context of Basel 3 and strong ability to translate this awareness into audit strategies
Practical Operational Risk Management experience and a good understanding of the operational risk framework and techniques (RCSAs, KRIs, KIs, Risk Events, Lessons Learnt etc.) and control activities
In depth knowledge of the regulatory environment and developments including Basel 3, CEBS 216
In depth knowledge of individual risk practices and Enterprise Risk Management
Comprehensive understanding and ability to interpret individual risk measurements
Comprehensive understanding of governance and control frameworks
Awareness of AMA practices within Financial Services organisations
Financial services industry knowledge
Experience of leading others during audit assignments

IT Operational Risk & Control Resume Examples & Samples

Provide guidance and advice to TDS New York technology teams on IT risks/threats/gaps, including controls and regulatory requirements
Participate actively in the risk and control processes (e.g. risk assessment, control self-assessment, application security review, SOX control testing, etc.)
Review existing and proposed technology practices to minimise risk exposure
Assist TDS NY technology (or business if required) in meeting applicable control and regulatory requirements
Lead and coordinate control gap remediation efforts and ensure open audit/regulatory items are close on time
Maintain up to date knowledge of local and regional technology related regulations and industry practices
Prepare reports to local and/or global management forums as required
Perform sampling and testing to prove quality of Technology team’s responses

CIB Operational Risk Operational Risk Oversight Manager VP Resume Examples & Samples

Input to the develop and execution of the OR Management Framework (ORMF) & Strategy
Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risk through consumption of information from the effective deployment of RCSA’s, KRI’s, scenario analysis, event management (monitoring of event recording, event trend analysis) and targeted risk assessments
Promote and instill a strong culture of ORM and operational excellence, partner with the business to continually improve OR processes and business operating models supporting safe business growth and informing risk related decision making
Support the Business on risk assessment of change initiatives across EMEA, providing oversight on a portfolio view of change initiatives
Collaborate and coordinate closely with in-country Control Officers to ensure OR standards are communicated, understood and applied in the countries - review adherence to ORMF, governance, standards, policies & framework across LOBs, functions and countries
Oversight of and Participation and oversight of monthly Regional/LOB/Functional Operational Risk Committees
Support for OR element of annual ICAAP process coordinated by UK Regulatory Reporting
Liaison with PRA & FCA and other regulators in respect of Operational Risk matters

Global Operational Risk & Control Resume Examples & Samples

Take day-to-day responsibility for validating and reporting all Client Money obligations
Fulfil all Proof Owner responsibilities in the reconciliation and submission of general ledgers on a monthly basis
Develop effective working relationships with colleagues across Operations and other business areas
Contribute to numerous ongoing tactical and strategic developments
Produce and maintain procedural documentation
Ability to communicate effectively with internal and external clients
Understanding of risks involved in the role and the ability to escalate issues appropriately
Ability to work under pressure and adhere to deadlines in an area undergoing immense change
Participate in ad hoc projects as defined by supervisor
Contribute to the objectives of the function and overall business
Contribute to the development of new techniques and processes
To ensure prioritisation and resolution of high-risk items
To minimise losses and errors across your line of responsibility, using consistently high standards, processes and controls
Help to create and build an environment of teamwork and encourage two-way communication
To assist in developing the department’s image, enhance its profile and maintain its reputation
Meeting all Control and Compliance requirements, in particular but not limited to all RSCA controls, as well as carrying out mandatory training, regular review and update of procedures as required ensuring that changes in process as well as new processes are fully documented
Familiarity with FSA Client Money regulations for the protection and segregation of client funds
Ability to work in a high volume-processing environment and add value to multiple projects/priorities
An interest and general understanding of the financial products industry
Understanding of security trade flows and impact on Income processing
Strong MS Office skills – Specifically Excel, including Macro’s and VBA
Good communication, problem-solving and interpersonal skills
Ability to understand new processes quickly and suggest change where applicable
Strong focus on control
Desire to work in a pressurised area undertaking immense change
Self starter

Regional Head of GBM Operational Risk Americas Resume Examples & Samples

Engagement in key Operational Risk Management governance forums (including GBM Americas Exco) and key change management initiatives to ensure that operational risk exposure is considered and addressed
Lead independent thematic material risk insight reviews Management responsibility a regional team and supporting framework for monitoring, oversight and relationship with direct and indirect staff in the Americas
Managing the site visits program, so that the regional businesses have the appropriate level of oversight, in places where we do not have team members on the ground
Be a trusted member of the GBM Americas governance forums
Closely partner with Regulatory Compliance , Financial Crime
Compliance and other Risk functions
Ensure Global Standards are fully embedded within GBM
Engage with and drive the GBM implementation of the Operational Risk Transformation Programme
Global Banking and Markets Operational Risk discharge oversight on the management and monitoring of operational risk by the businesses and their support functions
Candidate would need excellent interpersonal, communication and influencing skills and confidence to deal with senior and executive/C-level staff to sell the benefits of OR management and challenge their operating environment

Head of Operational Risk Resume Examples & Samples

Implement the Group Operational Risk Management Frameworks, including appropriate business continuity, fraud & security risk management
Develop an appropriate risk governance structure
Assist in developing policies and procedures for local staff, including adapting existing Group policies
Arrange induction and on-going risk awareness training requirements for local staff
Identify, assess and provide advice on risk management needs and risks in relation to establishment of
Develop policies and procedures for local staff, including adapting existing Group policies
Undertake periodic reviews of the China activities and processes to ensure operational integrity
Be across the latest international protective security issues and trends, including those relating to counter terrorism and business resilience
Provide high value advice and leadership to ensure a program of continuous improvement in fraud risk management, protective security and business continuity risk management processes
Maintain the relationship with local/regional Police as well as local security companies and agents where necessary

Operational Risk Resume Examples & Samples

BA/BS in finance or related field
7-10 years experience in financial services ideally in an internal control function such as Audit, Operational Risk or Compliance
Sound and in depth knowledge of the operational risk and control environment and disciplines / best practices that are operated within a global banking and markets type business
Strong analytical skills especially with regards to understanding business risk, processes, procedures and operational controls
Excellent presentation skills especially in the creative and effective use of Excel, Word and PowerPoint
Flexibility for traveling within the region as needed

Operational Risk Modeller Resume Examples & Samples

Lead and further grow a team of operational risk modellers in the ongoing maintenance of the Group Operational Risk model and implementation tools
Support the ongoing development of the Group's stress testing capabilities in relation to the Operational Risk and the incorporation of these in the regulatory frameworks (CCAR, ICAAP, etc)
Support the ongoing integration of elements of the Operational Risk Framework in the Operational Risk Capital approach
Support the communication to senior management and the various governance groups as well as the regulatory bodies
Support the Operational Risk scenarios process across the various jurisdictions
Provide quality assurance (testing, documentation) on all quantitative elements of the operational risk model to ensure internal/external approval
Excellent mathematical and computing skills

Senior Operational Risk Resume Examples & Samples

A quick learner and an assertive individual who can act by following instructions or independently when appropriate
An organized, self-managed candidate, with capability to carry out routine work and urgent issues as they arise, with a focusbeing results focussed
Display knowledge & authority in dealings with all parties and maintaining priority of achieving goals
Display attention to detail in all aspects of work and relationships
Can establish themselves as a reliable point of contact
Ability to work independently on large projects which are key to the development /progression of the Risk Team
Be able to develop and manage interpersonal relationships both internally and externally
Excellent verbal, written and numeric skills
Relevant Degree or Postgraduate qualification with financial element or compliance or regulatory risk
Minimum of 4-6 years' work experience in an asset management, mutual funds risk or life insurance environment
Good understanding/working knowledge of risk measurement tools/concepts i.e. leverage, counterparty risk exposure
Good understanding/working knowledge of financial products including derivatives
Prior understanding and background knowledge of regulatory risk a minimum requirement
Excel proficiency essential

Operational Risk Director Resume Examples & Samples

Assist, review and challenge and provide quality assurance for the IB Risk and Control Self-Assessment (RCSA) process in the region partnering with ORM regionally and globally
Attendance of and active engagement in 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
Facilitate training as required to front office staff, Shared Services etc

Cib-latam Operational Risk Oversight Resume Examples & Samples

Input to the development and execution of the OR Management Framework (ORMF) & Strategy
Build and maintain strong relationships with stakeholders to facilitate open information channels and to ensure that the OR function remains aware of business change, relevant to the risk decision making process through both counsel and independent challenge
Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risk through consumption of information from the effective deployment of Risk and Control Self Assessments (RCSAs), Key Risk Indicators (KRIs), scenario analysis, event management (monitoring of event recording, event trend analysis) and targeted risk assessments
Promote and instill a strong culture of Operational Risk Management (ORM) and operational excellence, partner with the business to continually improve OR processes and business operating models supporting safe business growth and informing risk related decision making
Provide expert guidance on the development of relevant policies and documentation
Support the Business on risk assessment of change initiatives across Latin America, providing oversight on a portfolio view of change initiatives
Collaborate and coordinate closely with Control Officers to ensure OR standards are communicated, understood and applied - review adherence to ORMF, governance, standards, policies & framework across Lines of Business (LOBs), functions and countries
Promoting cross-LOB/Function consistency and adoption of best practices
Strong theoretical and practical knowledge of OR - practical experience in applying and managing an OR framework in financial services
Deep business understanding in a chosen area in addition to a general understanding of the other Lines of Business functioning in the region
Ability to appreciate nuances of unique CIB business models and manage across multiple stakeholder groups to achieve a consistent application of ORMF & tools
Practical understanding of how to apply OR tools in practice and achieve outstanding results
Deep understanding of regulatory requirements as they relate to best practice risk & control
Strong appreciation of governance – ability to structure efficiently, organize effectively and communicate clearly
Proven ability to critically analyze data from disparate sources against standards, highlight anomalies, understand drivers, summarize, escalate and remediate
Strong relationship management skills – strong influencing, communication and negotiation skills
Understanding of Basel II standards for capital calculation is a plus - ability to critically analyze and opine on capital allocation outputs
Ability to conduct training to staff at all levels and clearly and concisely communicate the process and benefits of the ORMF

Regional Operational Risk-reputable Insurer Resume Examples & Samples

Ensure an effective ERM Framework through establishing, implementing and maintating the Operational Risk management for identifying, assessing and managing operational risk and review related policies in line with Group Operational Risk policy and standards as well as all other related regulatory and professional requirements
Manage the process for setting the operational risk appetite
Design and develop all mechanisms and tools for performing risk assessment including business /functional risk appetite and stress and scenario testing for Operational Risk
Provide a 2nd (line) opinion on key operational risk decisions including systems, controls, people and processes including BCP, internal controls, outsourcing, models and key inherent operational risk matters as well as providing information to CRO and/or operational risk related committees to enable a decision to be made on whether or not to proceed, in accordance to company's governance structure
Set and agree firm-wide operational risk priorities
Act as the operational risk adviser to the firm, and in particular to guide senior management in their operational risk management responsibilities,
Establish a process and awareness for embedding operational risk
Bring an operational risk focused viewpoint to strategic planning and other activities of senior management
Facilitate the implementation of the operational risk processes, providing, coaching and guidance to business line management
Monitor and manage the firm's overall exposure to op risk including working with the business line and other functions to mitigate operational risk
Ensure a consistent approach to operational risk across the lines of business and functions
Co-ordinate appropriate and timely reporting of op risks reports
Co-ordinate op risk input to the risk committee and the board on the firm's risk profile, control infrastructure and any control failings, weaknesses and actions taken
Co-ordinate input to the regulators on the relevant operational risk matters
Liase with key control functions including IA, Compliance and Actuarial
A degree holder ideally in the engineering/ finance related discipline supplemented with operational management qualification (e.g Audit, CERA)
In-depth knowledge of the Insurance / Banking Operations, Products and Processes
Proven strong people and process management skills including stakeholder management skills and an ability to work successfully with senior managers across the business
A strong background within internal control and the review and development of operational risk policies and procedures
Due to the nature of the role, the preferred candidate must have hands on experience designing and conducting risk appetite, risk assessment and control, particularly related to insurance and technology business

Operational Risk-scenario & Control Leader Resume Examples & Samples

Support the MSBNA Risk and Control Self-Assessment (RCSA) program, and proactively integrate operational risk incidents and other varying processes into continual assessments
Support a sustained approach to the MSBNA Scenario Analysis program and relevant workshops, through coordination with the Firm’s Operational Risk Department
Develop knowledge of products within the Private Banking Group that are provided by US Banks, and leverage expertise to provide support to Product Specialists and Risk Leads
Experience with regulatory interactions, presentation, and material preparation
Ability to work in a fast paced environment, both independently and as part of a team
Highly motivated self-starter with multi-tasking abilities, and the ability to meet tight deadlines with conflicting agendas
Strong sense of ownership and accountability for commercial output, the control environment, and people development
In-depth understanding of technical risk and control environments, such as experiences in informational security and business continuity management
Broad knowledge of Banking Business and Functions

Ihc Operational Risk Mgr Ii Group Resume Examples & Samples

Make recommendations to the design and implementation of the Third Party Risk management framework/measurement methodologies, in coordination with the separate subsidiaries and in line with expectations of the IHC, BNPP, and regulators
Implement and support operational risk framework for the IHC
Ensure Policies, Charters and Standards are established for the IHC Third Party Program framework to include: Governance, Monitoring and Oversight, Reporting – Program, Board and Program Testing
Provide transparency and reporting for the IHC and subsidiaries
Ability to establish, prioritize and track to aggressive deliverables
Responsible for maintaining effective and professional relationships with senior management, business and support areas, subsidiaries, internal and external auditors, Federal and State regulators, and others dealt with in a professional capacity
Responsible for staying current in Third Party Risk Management techniques, industry best practices, and regulatory requirements
Makes recommendations when necessary to safeguard the position of the IHC and the subsidiaries
Performs other duties as assigned by the Third Party Program Office
Experience with Board level reporting and expert in presentation development
Alternative: Combination of education and experience (years /description) Bachelor’s degree or equivalent combination of training and experience
Third Party Program Governance, Oversight and Reporting
Support design, implementation and maintenance of policy, standards, procedures, and governance model for IHC third party risk management program
Works with subsidiary partners to perform necessary oversight functions to ensure effective management of third party risks and compliance with IHC program requirements
Ability to synthesize information into concise Board level reporting
Identify emerging risk trends, portfolio concentration risk
Provide timely updates to Program senior management and escalate issues to appropriate levels of management
Perform periodic/ad-hoc reviews aka testing to determine if program and operating as designed
Direct all aspects of reporting for the IHC governance of third party risk management highlighting trends and identifying potential areas of concern

Operational Risk Mgr Ii Group Resume Examples & Samples

Make recommendations to the design and implementation of the operational risk management framework/measurement methodologies, in coordination with the separate subsidiaries and in line with expectations of the IHC, BNPP, and regulators
Implement and support operational risk framework for the IHC. Specific activities are as follows
Ensure Policies, Charters and Standards are established for the components of the operational framework to include: Control Environment (RCSAs, FMPs, GCPs), KRI’s and KPIs, Operational Risk Data Collection and Analysis (Historical Loss Incidents, Potential Loss Incidents, External Loss incidents); Scenario Analysis, New Activities, Root Cause Analysis
Coordinate and implement program expectations specified at IHC level
Solution oriented for the challenges working at all levels of an organization and between organizations

Operational Risk Systems Manager Resume Examples & Samples

Testing, launching and administering IBM OpenPages (Operational Risk module) and Cognos reporting. Tasks include but not limited to: user account set-up and maintenance (up to 8,000 licenses), testing of system functionality and design, creation and on-going maintenance of reports, user training and troubleshooting
Analytical, reporting and system support for operational risk tools in IBM OpenPages (particularly RCAs) while adhering to the Bank's regulatory requirements
Assisting with the delivery of accurate and timely reporting for the Bank’s operational risk reporting requirements
Supporting operational risk administrators in the Bank's subsidiaries with system implementation based on local requirements
Enhancing the overall system experience for business, GOR and other users

Manager Global Operational Risk Resume Examples & Samples

Supporting the management and tracking of the Risk and Control assessment program that is conducted in significant units
Managing the development and background research required for each Scenario Analysis program across the 4 business lines
Supporting the Directors with the monitoring of the New Products Policy and Service reviews
Tracking and monitoring the Business units' Operational Risk Action Plans, KRIs, RCA and Business Environment survey responses
Participating in the development and scheduling of RCA surveys, Scenario Analysis and Facilitated Working sessions
Documenting of Minutes and Action Plans
Preparing presentation decks, training material and Operational Risk reports as required
Supporting other projects and activities as required and
Participating actively in team learning development activities and team performance achievements
Maintaining a high level of internal client service and support
Facilitating a culture of open and honest communication
Encouraging the generation of new ideas and approaches
Actively sharing knowledge and experience to enhance the development of all team members
General knowledge of the Banks' operating environment and organization structure is required
Maintain awareness of regulatory requirements and industry best practices in operational risk
Support the Director, Operational Risk in the review, assessment and enhancement of the Bank's operational risk management tools and methodologies including KRIs, Scenario Analysis, Business Environment Surveys, New Product & Services reviews as required
Participate in workshops in strategically identified business units or processes

Operational Risk Systems Manager Resume Examples & Samples

Project Management: support for key change the bank activities relating both to the C&ORC Framework and the suite of supporting tools; plan and manage specific work streams of activity, working closely with the SORT Functional Architect and IT Development team to ensure the strategic and structural integrity of the system and alignment to the framework; ensuring successful User Acceptance Testing is planned, undertaken and completed
Stakeholder Management: working closely with main stakeholders to identify key business needs / challenges within Operational Risk for which changes to the framework and supporting or systems are required; face off to the Business and IT for ORC solutions
People/Line Management : management of a team of Business Analysts, taking raw business requirements and working with the Functional Architect and IT Development team designing system solutions; comfortable dealing with external suppliers/vendors
Business Analysis : detailed knowledge of the requirements lifecycle and ability to turn business needs into technical requirements for the development teams; oversee development of detailed business requirements; provide quality assurance of requirements documentation; oversee analyse and model operational risk data using excel, access and C&ORC specific tools to help key stakeholders address key business challenges

Operational Risk Mgmt Resume Examples & Samples

7-10 years of solid experience in the financial services industry with a preference for retirement, life insurance and retail financial services
Energetic person who is a self-starter and proactive – willing to roll up sleeves to get the job done
Extensive experience defining/documenting business processes and functions
Strong ability to think critically, comprehend detailed business, technology and risk concepts and develop and defend an independent position that’s based on a pragmatic and balanced assessment

Operational Risk Modelng Manager Resume Examples & Samples

Advanced degree in statistics/mathematical, finance or other quantitative field or commensurate
Minimum of 7 years of credit risk management and economic capital experience
Good knowledge of the credit risk models existing in the market, experience in statistical
Strong communication skills and the ability to express methodological and modeling concepts to senior management and regulators
Ability to understand complex issues and develop meaningful analyses and recommendations to

Operational Risk Department Business Manager Resume Examples & Samples

Develop annual ORD business objectives / business plan. Facilitate quarterly review progress against departmental goals
Provide financial management support and management information / reporting for ORD senior management team to ensure proactive budget management. Components of ORD financial management responsibilities include
7-10 years of experience in financial services. Prior experience in business management, risk management, or consulting preferred
Strong analytic and financial management skills, with experience developing budgets and resource planning
Strong organization skills with the ability to multitask and prioritize; ability to work under pressure and to tight deadlines with close attention to detail
Strong communication, leadership and project management skills (role requires effective collaboration across a range of functional groups, both locally and globally)
Ability to interact effectively with senior level stakeholders. Experience in management by influence, facilitating and gaining consensus
Strong project management skill

Cib Operational Risk & New Product Avp Resume Examples & Samples

Develop expertise in the operational risk management process of MHBK NY Branch and MHBK (USA)
Monthly meeting of the Operational Risk Management Sub-Committee including preparation and review of meeting materials and meeting minutes
Investigation of operational risk events (e.g. system troubles, operational errors)
Development of new KRI / KPI
Control Self-Assessment process, including review and analysis of divisional results and formulation of reports to distribute to various Mizuho risk governance committees
Compliance with matters raised by auditors and regulators in internal / external examinations
Assist with coordination of the new product approval process for the Branch and MHBK (USA)
Assist with establishing the operational risk management framework for the Mizuho BHC
Integration of operational risk reporting across all entities in the Mizuho BHC and MHBK New York Branch
Calculation of operational risk capital requirement using the AMA (Advanced Measurement Approach) method
Writing policies and procedures for the Mizuho BHC, with strict attention to the local and parent company risk governance structure
Development of an integrated Control Self-Assessment process for the Mizuho BHC
Calculation of operational risk capital requirement using the AMA method
Assist with coordination of the new product approval process for the BHC
Prepare reports for market risk and liquidity risk
Bachelor’s degree in Finance, Accounting, Economics or Business Administration
5+ years working experience for a financial institution; capital markets experience is highly preferred
Experience in operational risk management; knowledge/experience in market risk and liquidity risk is a plus
Working experience with AMA method of operational risk capital calculation is highly preferred
Skilled in management reporting
IT skills: Advanced Excel, PowerPoint; Access, VBA is a plus
Database management , data analytics/data reporting experience is a plus

Intern, Risk-operational Risk Resume Examples & Samples

Perform reviews on areas of emerging risks to HSBC to assess effectiveness of risk management and recommend practical solutions
Develop data analytics to improve and operationalize Risk Management information
Assist and support in faciliating risk meetings and workshops to HSBC's Business Unit and Global Function Management teams
Assist in preparation of monthly Risk Reporting pagackages
Overall minimum GPA of 3.0
Eligible to work in Canada
Passion to share your opinions and ask relevant questions

EVP Head Operational Risk & Control Resume Examples & Samples

Works effectively with individuals at a higher-level within the organization
Demonstrates the ability to calmly handle stressful or pressure-oriented situations and assignments
Ability to effectively work and multitask in a fast pace environment
Able to manage effectively in situations of uncertainty and ambiguity
Significant authority and viability to top management in the organization, yet small function with little direct staff to execute assigned tasks
Able to take ownership of tasks/initiatives and drive them to completion relaying on other departments’ staff to complete work – able to influence and manage others without direct reporting lines to self
Stay abreast of industry developments, changes in regulatory requirements and leading edge techniques for risk analysis and management. Keeps Senior Leadership apprised of changes and developments
Fifteen years proven risk management/analytics experience, or equivalent. Strong knowledge and understanding of multiple risk functions, including credit, operational, compliance, and market. Financial services industry experience preferred
Minimum of a Bachelor’s degree in management, finance, economics, related field or equivalent experience; Masters Degree preferred
Strong knowledge of the International Basel Accord and Sarbanes-Oxley Act, and other pieces of banking and consumer legislation at the Federal, State & local levels
Demonstrated ability to develop positive working relationships within the lines of business and functional risk areas to influence others to achieve a high level of performance
Well-developed management, interpersonal, organizational, analytical, problem-solving, negotiation, project management and verbal and written communication skills
Ability to manage large, diverse teams and / or projects across multiple sites, if applicable

Operational Risk Leader Resume Examples & Samples

Lead the development, implementation and monitoring of the GE Capital A&NZ Operational Risk Management Framework (ORMF) and its components for the GE Capital A&NZ business
Provide support and guidance for the 1st line of defence in the identification, assessment, mitigation, management and reporting of all operational risk issues
Provide advice, oversight and challenge to Executive
Tertiary education – commerce, accounting, finance and / or risk
Proven operational risk experience gained from leadership within a operational risk management function
Experience in front line, operations and / or enabling functions
Relevant experience within banking /and or related industry
Consistent role model of GE Growth Values
Decisiveness. Ability to make decisions with speed, urgency and accuracy when required
Sense of urgency/energy applied to all work and a proactive approach to identifying market changes and identifying/communicating contingency plans when faced with change
Ability to connect and engage with all levels in the business and appropriately flex communication style to suit these varying audiences
Expertise – ability to identify best practise risk solutions and approaches to enhance businesses effectiveness and competitive position
Resourcefulness – ability to utilise internal/external resources and networks to identify best practise solutions
Preparedness to challenge others thinking, while being able to foster an environment where questions, ideas and suggestions are encouraged/valued
Proven track record in building trust and commitment within business & with stakeholders
Advocate of change, with the tenacity to overcome obstacles & solve complex business problems to achieve desired outcomes
Firm but fair in approach to leadership … with a strong ability to lead through others … holding leaders accountable for performance and development of their teams … championing a culture of meritocracy and performance differentiation
Proactive leadership and demonstrated engagement across the broader GE Capital Risk organisation

Wealth Management Operational Risk VP-incident Response & Issue Management Resume Examples & Samples

Must have demonstrated ability to lead response to cross organizational incident response events
Effective communication skills required including strong Microsoft Office skills
5+ years of financial services experience typically required with Wealth Management experience a plus
Specific experience in Risk, Compliance and / or Audit a plus
Exposure to Operations, Technology, Legal, Compliance and Risk functions is a plus

Cib Operational Risk Operational Risk Oversight VP Resume Examples & Samples

Input to the develop and execution of the OR strategy and framework
Provide expert guidance on the development of relevant policies and documentation in a local and global context
Collaborate and coordinate closely with in-country ORMs and ensure OR standards are communicated, understood and applied in the countries - review adherence to COR governance, standards, policies & framework across LOBs, functions and countries

Operational Risk Change Team VP Resume Examples & Samples

Directly reporting to ORM Programme Lead (who reports into the ORM Chief Operating Officer)
Delivery of and monitoring against ORM Divisional plan for BCBS239 compliance
Monitor the path towards compliance and track deliverables/milestones for each programme workstream to divisional plans
Co-ordinate with the Central Programme Team on aspects of planning and control, timely escalation of issues, and achieving Group-wide targets
Track the closure of capability gaps with existing strategic initiatives, and ensure remediation points are prioritised and addressed
Perform QA and challenge on documentation and artefacts, including process diagrams, capability grids, capability dashboards and key operating procedures
Establish comprehensive measurement of data quality, with thresholds and service levels for ongoing monitoring of data to standards
Foster and maintain strong partnerships with a range of stakeholders within the wider ORM function, both cross-divisionally and centrally
Transition design process and establish into a RTB operating model

Operational Risk Capital Specialist Resume Examples & Samples

Develop a strong understanding of global OR capital approaches and regulatory and industry developments
Develop Subject Matter Expertise on regional OR capital requirements
Planning and implementation of OR capital-related activities in the region

Operational Risk Mgmt Resume Examples & Samples

In depth knowledge of the asset management / investment business in terms of its investment products, front, middle and back office operations
Strong background in risk management or audit
Proven track record in delivering innovative solutions
Proven track record in delivering projects on time and on budget
Analytical problem solver
Approximately 15%-20% travel

Regional Head Operational Risk Rbwm Resume Examples & Samples

Successful proven track record of risk and control management, preferably within a risk, audit or compliance business line for at least three years in senior position at commensurate organisation
Good analytical abilities including root cause analysis
Excellent understanding of the operations of the business line
Basic understanding of other areas of risk e.g. credit, market
Basic technical knowledge of operational risk regulatory requirements and industry best practice (including operational risk techniques and operational risk measurement)
A good understanding of banking processes
The ability to communicate complex issues in ordinary language to a large multicultural audience
Proven relationship management skills and ability to influence a large and diverse group of stakeholders (often without organisational structure) through persuasion, intellect, experience, strong interpersonal skills etc
Leveraging of skills of the wider team (HBUS and elsewhere) and ensuring that there is coordinated activity and ability to manage priorities to ensure delivery in a constantly changing environment

Regional Head of Operational Risk Hts & Functions Resume Examples & Samples

Extensive industry experience in an investment banking environment
Commercially minded
Expertise in advanced operational risk frameworks in major financial services firms
Demonstrable experience of managing a geographically diverse team

Svp Operational Risk, Rcsa Resume Examples & Samples

Collaborate with Operational Risk Management leader to design and manage the Risk & Controls Self-Assessment (RCSA) processes as a component of the Operational Risk Framework
Provide expertise and leadership for program implementation within GECC Operational Risk Group, GECC Business Units and Functional Risk Areas
Drive integration of functional risk assessment activities at GECC
Manage RCSA team(s) including supporting activities related to hiring, training, coaching, and developing professional staff
Lead the continued development of RSCA in the Businesses, Functional areas and with the Internal Control Assurance process
Drive compliance, standardization and efficiency
Bachelor’s degree in Finance, Business, Operations or Risk Management or related field and minimum of 8 years of experience in relevant Finance, Business, Operations and/or Risk Management roles (or High School Diploma / GED and 12 years of relevant experience in, Finance, Business, or Risk Management roles)
Broad and comprehensive knowledge / experience in Operational Risk
Specific experience in risk and control assessment activities within Operational Risk
Proven organizational and project management skills in a global matrix environment
Strong leadership skills and experience managing others
Proven ability to interact with senior management, develop presentations for an executive audience, and drive change across an organization

Operational Risk Department Resume Examples & Samples

Assess the effectiveness of relevant Control Functions using the following key dimensions
Risk Identification: Identify and assess risks related to the information and systems supporting Firm activities globally
General Oversight: Participate in relevant (or in scope) governance, steering, and working group committees and review metrics and escalation reports to monitor risk and control-related developments, issues and trends
Procedures / Assessment: Review execution of relevant procedures and assess assurance mechanisms for how effectively they identify weaknesses or failures of key controls
Minimum of 5 years’ worth of work experience in the financial services industry
Risk Management (Operational Risk) experience a plus
Ability to multi-task with attention to detail
Strong proficiency with Microsoft Office
Knowledge of SharePoint and Archer is required as is a good working knowledge of relational databases
Ability to develop strong working relationships and be able to communicate clearly, both in writing and verbally
Attention to detail, project management and prioritization skills will be key in balancing day-to-day activities
Knowledge and experience in technology risks and controls
CISM or CISSP certification a plus

Ficc Operational Risk Executive Resume Examples & Samples

Oversee the execution of an end-to-end operational risk coverage model. Responsibilities include
Challenge and advise FICC and influence a strong risk culture
Ensure the successful execution of all program elements: Risk & Controls Self Assessment (RCSA), Internal/External Operational Losses, Scenario Analysis, Governance
Identify, escalate, and prioritize emerging and thematic operational risks
10+ years of FICC business experience and/or sound knowledge of FICC products (e.g. FX, Commodities, Rates)
Strong internal drive and ability to take ownership for managing risk for mulitple product lines
Strong internal drive and partnering skills
Ability to develop independent point of view and challenge
Ability to effectively influence senior leadership
Excellent written, verbal and presentation skills
Operational risk or other risk discipline (e.g. Compliance, Credit Review, Audit)
Six Sigma Certified preferred abut not required
Bachelor degree required, Masters preferred

CIB Risk-operational Risk Oversight Resume Examples & Samples

Develop and implement framework for conducting end to end process reviews and thematic deep dives of critical cross business/LOB Shared Infrastructures to ensure (1) risks and controls -- including handshakes and dependencies -- are appropriately managed and reflected across multifunctional/LOB RCSAs and (2) loss scenarios are appropriate and consistent. Shared infrastructures include common settlement platforms & process utilities, global delivery & service centers and material external linkages (CCPs, etc)
Build and maintain strong relationships with stakeholders to facilitate open information channels, to leverage existing initiatives and to prioritize Shared Infrastructure reviews based on inherent risk profiles and input from key stakeholders
Proactively drive the identification, assessment, measurement, mitigation and monitoring of OR from various sources including RCSA’s, KRI’s, scenario analysis, event management (monitoring of event recording & trend analysis) and targeted risk assessments. Ensure risk management & control practices continuously evolve to address news and regulatory developments
Independently validate and endorse business OR profiles and provide constructive challenge when residual risk levels are deemed to exceed appetite or appear underestimated
Collaborate and coordinate closely with control partners to ensure OR standards are communicated, understood and applied - review adherence to ORMF, governance, standards, policies & framework across LOBs, functions and countries
Promote cross-LOB/Function consistency and the adoption of best risk management practices
15+ years of strategic and/or process management, with relevant business, technical or risk/control experience gained within an international financial institution or financial services firm
Deep understanding of international markets, regulatory environments, and best practice risk & control
Ability to collaborate effectively with stakeholders across all levels of organization. Strong influencing skills (written and verbal) with ability to challenge the status quo, gain consensus and drive change
Practical understanding of/ability to apply OR tools to achieve a consistent results. OR experience a plus

Operational Risk Administrator Resume Examples & Samples

Production of daily activity stats to the Operational Risk Team
Liaison/scheduling/follow up with business functions on outstanding actions relating to incident or risk management activities
Production of incident and risk reports and data as required to Risk Management committees, the Operational Risk Team and business users as required
Undertake general administration duties including maintenance of SharePoint Site, ensuring procedure documentation and terms of reference are updated / reviewed by the appropriate owner on a timely basis
Assisting the business with daily queries
Adhoc Minute / note taking
Self-motivated, flexible and able to work independently
Strong Word and Excel skills

Head of Operational Risk Mgmt Resume Examples & Samples

Stays current in operational risk management techniques, industry best practices, and regulatory requirements
Assists the Head of Operational Risk in supervising, directing, training, mentoring, and evaluating staff, and in
Master’s/Advanced Degree in Finance or related quantitative field required
Five or more years supervisory/managerial experience
Alternative: Combination of education and experience (years /description) Combination of education and experience
Extensive knowledge of Banking products and back end operations in an operating environment, as they relate to risk management
Ability to present ideas in a clear and concise manner to all levels of the organization
Excellent planning/organization/prioritization abilities
Strong experience with control and disclosure systems
Strong knowledge of banking laws, regulations, regulatory expectations, accounting pronouncements, and SEC regulations

Operational Risk Rcsa Coverage Lead Resume Examples & Samples

The candidate will be responsible for managing the NY based RCSA Coverage team and ensuring close co-ordination with the London based team to ensure consistent and timely RCSA execution
The candidate will be responsible for facilitating the completion of the Firm’s Global RCSA program for individual areas as defined in the Coverage Model, working closely with Business Unit and Support groups in all phases of the assessment. Facilitation involves
Working with the BU Op Risk coordinators to identify key risks and controls, evaluate inherent and residual risk, and establish mitigation plans
Communication of timelines and deliverables
Ensuring that the RCSA is executed in accordance with related Firm-wide policies and regulatory oversight
Facilitation of transparency sessions on behalf of coverage areas
Working with the Central RCSA Support Team in Budapest to review independent quality assurance on the RCSA submissions and ensure resolution of issues
Working closely with the ORD Risk Management teams to provide effective independent review and challenge of RCSA content to the Business Units and Support Groups and identification of risk themes
Ongoing RSCA reporting and results analysis (including thematic analysis) to senior management and business stakeholders
The candidate will also will also be responsible for coordinating and delivering training and communication on all aspects of the RCSA process, standards and technology
The candidate will be required to work in close collaboration with BU Op Risk Coordinators (ORCs) to ensure that Operational Risk related process and procedure policies are updated and communicated appropriately,
The candidate will also be required to work in close collaboration with other work streams within ORD, for e.g. the Operational Risk Metrics program as well as ongoing review, assessment & collection of Key Risk Indicators
The candidate must ensure close co-ordination within the Global RCSA teams to ensure consistency and identification of common risk themes
Regular updates must be provided to the Global RCSA PMO team on all relevant initiatives and input is required to help manage program timelines and deliverables
The ideal candidate will have 8-10 years of related experience at an investment banking institution or a background in management consulting with a track record of rapidly acclimating to a fast-paced and constantly changing environment while working under pressure
Operational Risk background and/or prior experience executing/managing Risk and Control Assessments either at the business or firm level is required
MS Office proficiency: The candidate must have strong excel and power point skills and a strong capability in visual representation of information and data, and have experience in creating succinct and relevant risk reporting
Communication: The ability to actively and proactively engage with key stakeholders (i.e., not afraid to speak up)

Operational Risk Modeller Resume Examples & Samples

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

VP Operational Risk Resume Examples & Samples

Operational Risk Management is an evolving discipline within HSBC and the industry. While initially regulatory driven, the benefits of good operational risk programs (lowered loss expenses linked to better controls as a result of operational risk assessments, positive regulator reviews, predictive measures highlighting potential areas for loss, etc.) have inspired managers to more readily embrace its philosophies. This has resulted in operational risk management becoming a growing discipline where individuals have the opportunity to form policy and impact regulations
HSBC’s program for Operational Risk Management is geared to meet the Advanced Measurement Approach for of Basel II and is at peer with large, complex banking organizations in the US
Role works both independently and as part of multi-disciplined teams to support global businesses operational risk objectives as well as Group Operational Risk and Control framework
The amount of supervision required for this position is minimal. Incumbents are expected to work within overall guidelines and timeframes making deadlines set forth
Strong managerial, problem-solving, lateral thinking, analytical,communications,interpersonal, planning,project management, presentation, persuasion and decision-making skills
Strong managerial, problem-solving, lateral thinking, analytical, communications, interpersonal, planning, project management, presentation, time management, persuasion and decision-making skills
Ability to work in fast-paced environment and multi-task

Operational Risk Executive Resume Examples & Samples

8+ years in operational risk, compliance, information security, and financial services, of which at least 4 years must include direct experience in operational risk management and/or information security. Broad technical background with understanding of information security concepts and controls
4+ years experience with information security technology
Expertise in writing and presenting risk assessments to key executives and regulators
Demonstrated knowledge of general application and infrastructure architecture
Demonstrated knowledge key technology rules / regulatory requirements and IT risk management practices for financial institutions, such as, the OCC Heightened Standards, FFIEC, Vendor Management, PCI, GLBA
Strong ability to multi-task and work to established timelines and due dates
Ability to translate complex process, application and technology control gaps into risk
Ability to identify issues, create and execute control plans
Relationship management skills and ability to interface confidently with associates of all levels, including senior executives
Ability to influence at all management levels in a complex organization
Demonstrated ability to communicate effectively with the Banks' Regulators
Information Security and Risk related certifications (CISSP, SANS, CRISC or CPSM)
Regulatory or Technology Audit Experience
Understanding of regulatory reporting functions and processes preferred

Operational Risk Control Resume Examples & Samples

Following the integration of Compliance and Operational Risk in January 2014, the team has taken on additional responsibilities for the full suite of Governance, Risk and Compliance (GRC) tools across the function
Lead development and documentation of detailed business requirements
Lead requirements workshops, sometimes including a large number of business SMEs who are geographically distributed
Provide quality assurance of requirements documentation
Work with the IT teams to coordinate the end to end delivery

Global Head of Operational Risk for Asset Management Resume Examples & Samples

Oversees plans and directs the overall strategy for managing operational risk. Partners with global risk resources to ensure prioritization of efforts, consistency in approach and comprehensive reporting of risks for the global businesses
Oversees the development and implementation of the operational risk management framework. Adhere to enterprise program and policy requirements. Develops line of business programs as needed to effectively and efficiently manage risk. Provides feedback to assist the continued development of enterprise risk programs
Serves as a member of the Asset Management Risk Leadership team as well as a member of the Corporate Operational Risk Committee
Serves as a trusted adviser to the line of business, providing improved transparency of risk in order to facilitate risk-based decision making. Ensure the line of business stays up to date with the latest regulatory guidelines, industry practices and enterprise standards related to operational risk
Positions risk with internal stakeholders, clients, regulators and peers
Develops and maintains line of business programs for operational risk, including programs for losses, RCSAs, contingency account monitoring, top down control reviews, operational risk costing, satellite office risk assessments, operational risk roadshows, cybersecurity risk projects, and risk playbooks. Works with the manager due diligence team to ensure framework alignment for review of controls at sub-advisers
Develops policies, procedures and business practice standards in support of various risk programs
Maintains current understanding of the regulatory environment and business environment in order to identify emerging risks
Perform target risk reviews to assess risks around areas of heightened or emerging risk
Oversees implementation of operational risk programs for line of business. Produces operational risk profile reports for the global business based on program output
Facilitates completion of cross-function risk activities including covered employee risk evaluation and the Legal Entity Risk Assessment
Participates as needed in corporate or line of business risk committees and governance bodies. Administers operational risk committees for line of business
Serves as needed as a risk consultant in new product forums and technology development steering groups
Maintains regular touch point meetings with key internal business partner areas and peers
Helps to embed a strong risk culture in the business. Assists in facilitation of the Risk Café in North America
Represents risk as needed with regulators, clients, and industry associations
5-7 years experience in Risk (2- 3 years risk consulting experience preferred). Advanced degree (JD, MBA) and/or certifications (CFA, FRM, PRM, CAIA) preferred

VP Operational Risk Resume Examples & Samples

Lead special projects / task forces / working groups relating to the Operational Risk framework or identified OR risk issues
Keep abreast of changes in relevant laws and regulations regarding OR and understand their implications
Manage the regional stakeholder relationships in India and

Head of Operational Risk Resume Examples & Samples

Provision of expert advice on all rules and guidance related to operational risk, covering both AMA models, operational risk framework, operational risk standard rules and Pillar 2/ Internal Capital Adequacy Plan (ICAAP)/CCAR
Management of regulatory visits around operational risk including setting agendas, briefing key stakeholders before the meetings on key issues, writing presentations, answering post-visit regulatory letters
Coordination of all ad-hoc information requests from regulators on operational risk topics including review of final responses for accuracy and messaging prior to regulatory submission
Management of CRO’s regulatory commitments related to operational risk, including maintenance of commitments tracker, review of critical RED status items, and review of any materials going to regulators as evidence of meeting regulatory commitments
Analysis of new regulations and guidance notes related to operational risk including assessment of impact on CRO’s risk processes and preparation of briefing material for senior management
Review annual self-assessments against all global rules and guidance related to operational risk. Provide critical advice on responses, help draft responses where necessary and identify contentious issues for review in Quality Assurance review panels
Prepare and participate in regular briefings on Operational Risk regulatory interactions (including Business Continuity and Technology Operational Risk) and commitments to senior management
Management of 1 AVP analyst who may work in a different location (eg US)

Operational Risk Director Resume Examples & Samples

Contributing to the strategy and design of the ORM function as part of the regional leadership team
The management, monitoring, assessing and challenging of key Operational Risk's and control issues across the bank
Implementing a robust Risk Management framework across operations by working with the Operational Risk Controllers across the business
Ability to perform a risk and control role independently and confidently
Experience in New Product Approval (NPA), including controls, governance and product life cycle in relation to ORM

Product Control Operational Risk Resume Examples & Samples

Be part of global, dynamic PC Ops Risk team
Identify, assess and work with the line to mitigate operational risks
Develop and implement control standards and guidelines with PC line
Perform/initiate/support risk assessment and mitigation initiatives as appropriate
Investigate significant incidents or large operational risk losses to identify and implement lessons learned, mitigating actions, etc
Perform quality assurance reviews
Represent PC Ops Risk in cross functional working groups
Support the PC training program
Ability to simplify complex data and provide concise explanations
Logical and clear thought processes
Strong control focus
Strong interpersonal skills and the ability to influence others not in direct span of control
Strong presentation skills with an attention to detail
Experience having worked in a high pressure, delivery focussed environment
Strong analytical skills and is intellectually inquisitive

Business Resilience Operational Risk Resume Examples & Samples

Experienced Operational Risk Manager at a Top Tier Insurer or Investment Management House with a deep working knowledge of Operational Risk frameworks and their implementation, or
Audit background with experience of operational risk and controls frameworks, or
Relevant advisory experience in a Big 4 or analogous firm
Management skills that allow successful project management of a number of teams simultaneously
Experience in coaching and developing other members of staff
A relevant professional qualification (i.e. CIMA, ACA, CA, CISA, CIA, MBA)
An ability to work under pressure within an ambiguous environment

Operational Risk Partner Resume Examples & Samples

Provides leadership in the planning, development and implementation of operational risk frameworks/measurement methodologies, policies, standards and procedures specific to the needs of the enterprise, which are aligned with the Bank's Operational Risk Program and risk appetite. Reviews, analyzes and makes recommendations to the design and implementation of the operational risk management framework. Partners with all aspects of technology across the organization to provide directions and to ensure sound controls are implemented within the various business groups that provide enterprise technology risk program requirements. Promotes operational risk awareness
Collaborates with assigned business areas to study and investigate operational risk issues and identify and implement solutions. Analyzes and documents various processes and products, existing or new, by working with the business units to identify key processes and help prioritize additional enhancements to those key processes. Monitor to ensure key program requirements are being met through analysis of metrics and data. May assist business units map significant business processes on BNPP's Process Management System (PMS) to ensure mapping is consistent with the Bank's operational risks. Provide timely updates to Operational Risk and business management to address issues quickly
Working with key partners, develop enterprise reporting which includes metrics/KRIs, program status, technology risk profile, risk acceptances and other information in order to provide a holistic picture. Identify enhancements for program tools to support and improve reporting . Develops new tools, defines requirements, identifies data sources, analyzes data and prepares reports as needed to effectively provide workable solutions or respond to requests for information from Senior/Executive Management, Regulators and BNPP
Drive enhancements around or partner with SMEs to deliver enhancements to ensure effective management and compliance with company-wide program requirements. Participates in the development of business units operational risk policies, procedures, risk limits, and approval authorities. Works with management and staff in areas of the organization affected by changes in business practices to ensure understanding and implementation of new operational risk policies and procedures
Supervises and/or performs periodic testing to determine effectiveness of adherence to the Bank's defined technology risk related requirements, internal policies and best practices. Support quality assurance sampling and secondary reviews as required
Responsible for reporting on operational risk framework for business units and regulator, and provides assistance on management/regulatory reporting. Manages business unit processes for elevating operational risks to more senior levels of management and to Operational Risk
Consult with business units on implement strategies that involve an assessment of the additional capital that is required to mitigate those risks that are not adequately covered by internal and external losses, BEICFs, and potential loss incidents analysis. Assists business units with analyzing external historical loss incidents and develop, maintain, and analyze BEICFs (Assessments and Key Risk Indicators [KRIs])
LI-JB1
Bachelor’s Degree in IT, Security, Risk Management or related field required
Master’s/Advanced Degree in Risk Management or IT preferred
10 or more years directly related experience combined IT Management or Risk Management experience
5+ years experience working in Technology Risk Management

VP-operational Risk-private Banking Resume Examples & Samples

ORIC Management is an evolving discipline within NARM. While initially regulatory driven, the benefits of good operational risk programs (lowered loss expenses linked to better controls as a result of operational risk assessments, positive regulator reviews, predictive measures highlighting potential areas for loss, etc.) have inspired managers to more readily embrace its philosophies
This has resulted in operational risk management becoming a growing discipline where individuals have the opportunity to form policy and impact regulations
HSBC's program for Operational Risk Management is geared to meet the Advanced Measurement Approach for New Capital Adequacy Framework (NCAF) and is at peer with large, complex banking organizations in the US. Role works both independently and as part of multi disciplined teams to implement operational risk reporting and system indicatives
Role provides guidance and oversight at a regional level as an expert in the field of operational risk
Strong knowledge and understanding of multiple risk functions, including credit, operational, compliance and market
Bachelors degree in management, finance, economics, related field or equivalent experience; Masters Degree preferred
Strong managerial, problem-solving, lateral thinking, analytical, communications, interpersonal, planning, project management, presentation, persuasion and decision-making skills
Ability to work in fast-paced environment and multitask
Ability to interface with Senior management, providing updates and recommendations when issues arise
Proficiency with personal computers as well as pertinent mainframe systems and software packages

Wealth Management Operational Risk Head of Client Segment Risk Resume Examples & Samples

Effective executive and senior management communication skills
Specific experience in Risk, Compliance and / or Audit a plus, and
Exposure to Operations, Technology, Legal, Compliance and Risk functions is required

Senior Manager Global Operational Risk Resume Examples & Samples

Support the Director in the implementation and enhancement of the risk and control assessment program, which provides effective and efficient identification, measurement, assessment, and reporting of operational risk with a particular emphasis on the applicable business line. This will include due diligence reviews, research and the preparation of workshop materials and drafting the risk and control assessment reports
Participate in quarterly Operational Risk Committee meeting and/or conference calls
Analyze issues raised through self-assessments and other reviews including those performed by Audit, Shareholder Auditors, and Regulators to determine significant risks
Should have a breadth of experience in risk management or related areas
Relevant business-line experience in IB
Possess excellent interpersonal and relationship-building skills to deal with senior levels of management
Possess excellent communication (verbal and written), listening, presentation and facilitation skills
Demonstrated independent initiative and a highly motivated team player
Excellent organizational skills and ability to prioritize effectively and efficiently
Strong relationship management skills; ability to build and maintain strong collaborative client and internal relationships
Excellent MS PowerPoint, Word, and Excel skills

Head Operational Risk Capital Resume Examples & Samples

The nature of the role requires close working contact with senior executives and all business areas
The jobholder has to possess good knowledge on banking regulations, Operations, Audit and control concepts in order to develop a set of effective standard guidelines that can be implemented. In addition, the jobholder is expected to be highly organized and to act independently and exercise broad discretion with minimal guidance and supervision
Fifteen years proven operational risk management at senior management level, or equivalent in the area of Operational Risk measurement, data analytics, and stress testing/scenario analysis
Strong knowledge and understanding of multiple risk functions, including credit, operational, compliance, and market
Strong knowledge of the International Basel Accord and Sarbanes-Oxley Act, CCAR, DFAST and other related banking and consumer legislation at the Federal, State & local levels
Ability to understand complex concepts, including advanced statistics
Good understanding of modeling techniques and analytics in respect of Operational Risk

Fixed Income Non Market Operational Risk-executive Director Resume Examples & Samples

Risk and Control Self-Assessment (RCSA)
Business/Product Knowledge: A good understanding of finance and the processes related to the marketing, selling and trading of securities, derivatives and/or commodities in the financial services industry preferably in a global investment bank. Prior experience or exposure to trading, risk management, operating officer, or operations functions a plus
Risk Management: Prior work experience and demonstrated risk management aptitude in a major global investment banking institution. Experience in risk assessment or risk management with focus on front office and middle office processes. Experience presenting to and interfacing directly with regulators
Communication: Excellent verbal and written communication skills and a proven ability to work in a fast-paced and high pressure environment are essential as this role involves a high amount of interaction with business unit, technology, controllers and operations management
Guardianship: Candidates should have an understanding of and strong focus on the mechanics of a control environment, including processing and escalation of risk-related issues, and an interest in process improvement/enhancement
Organizational Skills: Candidates should be able to coordinate several parallel objectives while responding to ad hoc requests. Flexibility is a key element as the role will require the ability to understand and react to changes in priorities. Comfort working with ambiguity, managing and resolving complex issues
Leadership: Candidates need to be able to demonstrate the ability to take ideas forward and to challenge others with integrity and maturity
Flexibility: Candidates should have a proven track record of rapidly acclimating to a fast-paced and constantly changing environment working within compressed timelines
Understanding of Operational Risk regulations (e.g., Basel, SOX, etc.) and the associated application to a financial services business
Knowledge of the Morgan Stanley systems and infrastructure

Mspbna Operational Risk Coverage VP Resume Examples & Samples

Leverage existing Firm and Department Reporting to maintain and update Operational Risk Reporting to the various Bank and Firm Risk and Governance Committees
Serve as the key relationship manager with the Bank’s BU Operational Risk Department
Support the Top Operational Risk Program
Support the operational risk incident capture, monitoring, and reporting framework
Support the MSPBNA Risk and Control Self Assessment (RCSA) program, and proactively integrate operational risk incidents and other varying processes into continual assessments
Support a sustained approach to the MSPBNA Scenario Analysis program and relevant workshops, through coordination with the Firm’s Operational Risk Department
Support coordination of coverage for Internal Audit, Regulatory Exams, and Compliance Assessments
Implement a peer risk and control testing program for designated product coverage
Forge relationships across divisions, including Information Technology, Legal & Compliance, Operations, Finance
Previous experience supporting the development and build-out of an Operational Risk framework that includes the four data elements, application of risk data to risk measurement, policy and procedures, reporting, and quality assurance
Effective interpersonal skills, freely develops networks, builds consensus, prioritizes effectively, and develops alliances across an organization
Management experience in developing teams and building processes to ensure organizational effectiveness, efficiency and transparency to serve the needs of multiple stakeholders with varying objectives
Strong risk analysis and ability to identify root causes for risk events
Effective summary level written and verbal communication experience
Interest in joining a team that is in a framework build phase

Director Operational Risk Resume Examples & Samples

Developing and maintaining CIBC’s operational risk program documents by
Developing and implementing policies, processes and procedures to support framework/ procedures & standards requirements
Designing and implementing operational risk identification and assessment tools to ensure that the three lines of defense can fulfil framework requirements
Providing guidance and training to business partners across the three lines of defense to ensure that the framework requirements are well understood and effectively applied across the Bank
Analyzing the outputs of operational risk management processes and tools to assess their effectiveness and to identify relevant enterprise-wide operational risk themes
Maintaining a central repository of operational risk management tool outputs, such as risk and control self-assessments (RCSA), key risk indicators, operational incident reports and external event reviews
Providing input to operational risk management reporting to ensure that key enterprise-wide operational risk themes are appropriately communicated to senior management and the Board of Directors in a timely manner; and
Implementing ongoing improvements to the Global Operational Risk Management Group to enhance its effectiveness in managing operational risk at CIBC
Assist in the completion of relevant governance and regulatory activities pertaining to operational risk, including but not limited to the annual Chief Risk Officer (CRO) Attestation
Staying current in regulatory changes and industry best practices in operational risk management to ensure CIBC’s operational risk management program meets regulators’ expectations and is both effective and efficient
Providing leadership and effective management of business unit staff and act as a backup to the Senior Director of the Strategic Initiatives Group within the Global Operational Risk Management team
Setting appropriate context when assigning work to ensure that individuals’ roles support the achievement of the business unit’s priorities and CIBC’s overall goals
Managing performance by providing fair and accurate formal and informal feedback, to peers and members outside of the immediate work group
Creating a positive work environment and being an effective role model by championing CIBC’s mission, vision and values; and
Ensuring compliance with policies, standards, guidelines and controls by applying the policies and controls fairly and consistently so employees understand what to expect
Lead, participate and contribute to the development of Risk Managements business strategy and its alignment to CIBC’s business strategy
Sponsor continuous improvement at the strategy level by proactively identifying process, technology, policy and procedural gaps across GORM, Audit, Risk Management, Legal and Compliance with the goal to reduce costs and unnecessary touch-points, reduce risk and improve time to market
Ensure the appropriate decision making forums exist amongst Internal Audit, various groups within Risk Management, Legal and Compliance and other Second Lines of Defense, Risk Associate/ oversight groups to rapidly address GORM deficiencies, deliverables and strategic enhancements
Manage client relationships within other lines of business, enterprise business management and other lines of business counterparts

Operational Risk Reg W Manager, VP Resume Examples & Samples

Lead the activities of the Regulation W Office by conducting the day-to-day management and monitoring of the Regulation W Compliance Program
Lead the development and implementation of Regulation W processes for New Products
Test Regulation W processes periodically to ensure effectiveness
Periodically review Reg W Office and business area Regulation W procedures
Working with cross functional stakeholders including Operations, Finance, and Products to develop and implement Regulation W processes
Manage the New Product Approval Process, including leading meetings of the bank’s New Product Approval Committee (NPAC) and working with the business to ensure the necessary materials are presented to the NPAC
Business, Accounting or Finance related postgraduate degree is a plus
5-7 years experience in the financial services industry in operational risk or compliance
2-3 years experience with Regulation W
Experience with new product approval processes a plus

Global Treasury Operational Risk Resume Examples & Samples

Ability to interact with stakeholders with authority and discretion and being a trusted advisor
Strong ability to collaborate with Subject Matter Experts (SME) in leading and driving programs
Excellent skills in managing multiple priorities and competing deadlines
Ability to adapt constructively to continuous change

Regional Head-operational Risk & NPA Resume Examples & Samples

Ownership of the new product approval process within the APAC region
Chair the Regional Opcos
Enforce minimum standards of documentation and demonstrability of challenge
Maintain transparency and visibility of the process across the organization
Maintain the balance between front office expectations and support function bandwidth to agree realistic but prompt sign off target dates for proposals
Escalation of particularly significant products beyond NPA process and onto other relevant approval committees (e.g. reputational risk, legal entity committee)
Escalation of significant NPA breaches or serious failures of involved parties to deliver in a timely fashion up to global head of NPA and across to product / regional management as appropriate
Providing MI to the global head of new product approvals relating to approval status and volumes within APAC
Reporting relevant data to regional business management (e.g. Regional Management Board ) and flagging up approvals which are of particular relevance / interest to regional management
Required Skill Set
At least 15 years of Senior Operational Risk Management experience at the Managing Director or Director Level within a major investment bank
Strong understanding of both NPA and NTA and a proven trackrecord in this area
Knowledge of mitigating and controlling different types of risk e.g. market risk, credit risk, operational risk, reputational risk
Broad understanding of the front to back product lifecycle, including factors and considerations that are significant for each support function
Ability to grasp complex concepts and present them in an appropriate manner to the target audience
Working knowledge of cross asset products including equities, FX, interest rates, commodities, inflation, credit ,wealth management, retail

Operational Risk Global Cards Resume Examples & Samples

To lead the design and conduct impact assessment / issue recommendation from key analytical efforts such as root cause analysis of new issues and operational loss events
To provide business insight and thought leadership in the design and implementation of new policies in order to ensure adequate balance between risk, performance, and customer experience
To assist with the development of global / regional project plans and facilitate their execution through targeted engagement when material obstacles are encountered
To monitor progress towards stated objectives and ensure an effective communication across all the stakeholders, ensuring interaction model is transparent and effective

Sen Operational Risk Contr Resume Examples & Samples

Define annual testing schedule based on the agreement with management
Provide guidance to Pune IT Testing team on day to day BAU
Execution of core testing in line with plans/scripts
Execution of specialist testing/front-back reviews
Reporting of testing status/results
Exception investigation, escalation and issues management
Provide subject matter expert guidance related to IT Interface controls
IT Interface Controls

Director Operational Risk & Metrics International Banking Resume Examples & Samples

Operational Risk Management Framework
Ensure a consistent implementation of the Operational Risk Management Operating Model for the International Banking Division, consistently identifying metrics to enhance oversight on risk appetite for IB countries, Business Units, product and services
The incumbent will maintain awareness of the Operational Risk reporting requirements, ensuring that standards are maintained across IB’s Operational Risk Committee. And that timely information is provided to IB Compliance & Operational Risk Committee and Global Operational Risk to satisfy Senior Executives or regulatory reporting
New Product & Service Risk Management
With the assistance of resources throughout the International Division, the incumbent will oversee the implementation of new product risk management processes for International jurisdictions
The incumbent will ensure that product sponsors developing new products and services for International markets are equipped with the tools and processes necessary to identify, document, and gain authorization for implementation of new products and services. The incumbent is responsible for ensuring that risks are assessed and addressed as much as possible by the various stakeholders prior to seeking Senior Executive approval for the implementation of new products, services and processes
As part of the above accountability, the incumbent will coordinate implementation and maintenance of new product reporting, risk assessment, and post-implementation review processes and tools, as well as the convening of new product committees to review and authorize new product risk by appropriate levels of management
The incumbent will coordinate logistics for Divisional New Product & Services Committee meetings as required, including scheduling meetings, preparing agendas, and distributing meeting minutes
Risk & Control Assessments (RCA)
Understand the Risk and Control Assessment requirements and ensure that the processes related to the RCAs are consistently implemented across IB, including wealth management and insurance functions
Maintain an ongoing relationship with the countries/hubs to ensure that the process remains relevant and complies with local and global regulatory standards
Support units through the RCA process, providing best practices, and acting as subject matter expert on the process. Also, working with units to ensure that comprehensive actions plans are developed
Key Risk Indicators
Review and enhance the Key Risk Indicators inventory across IB. Ensuring the right level of accountability for each indicator
Implement structure for ongoing reporting, consolidation and analysis of KRIs for the Division
Maintain oversight on KRIs for the Division, providing best practices to countries and ensuring consistency of the metrics for enhanced analysis
Provide ongoing reporting on KRIs to IB Compliance & Operational Risk Committee and Global Operational Risk
Stay attune of changes on KRIs providing guidance to senior management on thresholds, ensuring that global requirements are met
Service Level Agreements
Provide ongoing support to International Operations & Shared Services units on the development and implementation of Service Level Agreements
Liaises with Tax and Finance in order to ensure that agreements comply with the required standards
Liaise regularly with Country Management and IB stakeholders to understand changes in current and future requirements
Liaise with Global Operational Risk to ensure alignment on reporting and understand trends on regulatory changes
Provide ongoing advice and counsel to IB business units on Operational Risk matters
Provide strong strategic leadership to motivate and develop individuals and build cross-functional team performance
Foster a culture of continuous improvement to sustain changes across IB
Lead and direct the development of ongoing successful succession planning
Ensure timely and effective change management communications and training leading to the successful implementation of new solutions
Ensuring the necessary monitoring and control processes are in place to support International Operations and Shared Services Hubs (IOSS Hubs of Caribbean, Central America, Mexico, Peru, Chile, Colombia, and Uruguay) and International branches and units in maintaining accuracy and integrity in accounting processes
Minimum of 5 years of work experience leading effective change management in international organizations
Proven analytical and problem-solving skills to enable the incumbent to evaluate new product and service risks and operational processes
Well-developed judgement and a strong ability to develop creative and innovative solutions (i.e., “to think outside the box”
Strong negotiation skills to develop and maintain business relationships with internal and external customers, banking regulators and other external parties that support the Scotiabank Group
Highly-developed management skills to coordinate and delegate activities, and develop and maintain quality performance by subordinate officers, many of whom do not report to the incumbent on a regular basis
Strong coaching, training, performance management skills
Excellent oral and written communication skills, fluency in Spanish is an asset
Highly-developed computer skills
A working knowledge of the regulatory frameworks of countries throughout the International Division

Operational Risk Front Resume Examples & Samples

Develop and execute the C&ORC strategy for the assigned IB business sector portfolio
Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risk in the assigned portfolio
Stay abreast of industry news and regulatory developments pertinent to the assigned portfolio to facilitate a more proactive approach to risk identification and mitigation
Lead root cause analyses on internal operational risk events and benchmarking analyses on events that occurred in the industry
Help promote and instill a culture of operational Risk management and operational excellence across the assigned portfolio
Partner with the business and logistics management to continually improve our operational risk control processes and business operating models; support business growth; and make informed cost/benefit decisions
Review and approve new business initiatives and offshoring / outsourcing activities
Provide expert guidance on the development of relevant policies and control documentation
Coordinate with other risk control functions and leverage internal audit and external reviews to develop a complete and integrated view of risk
Four year bachelor's degree or international equivalent
10 or more years of experience in with specific technical knowledge of fixed income/and or equity products and finance
We are looking for a candidate with strong leadership, relationship building, communication and analytical skills who has demonstrated the ability to work effectively with and influence people up, down and across organizations
The candidate must be a self-starter and entrepreneurial with relevant experience in a global organization and strong knowledge of capital markets and trading activity in IB products front to back, and cross-product support functions
LI-LF1

VP-cib Operational Risk Oversight Resume Examples & Samples

Build and maintain strong relationships with stakeholders to facilitate open information channels and to ensure that the OR function remains aware of business change, relevant to the risk decision making process and a trusted partner through both counsel and challenge
Coordinate with other risk and control functions, leveraging internal audit and external reviews to develop a complete and aggregated view of risk
Oversee the mitigation and monitoring of loss events and near misses and drive independent assessments and deep dives where appropriate
Facilitate scenario analysis with businesses to stress the control environment under simulated conditions, drive accurate capital allocations and input to ICAAPs as require

Operational Risk-icg Business Coverage Risk Manager Resume Examples & Samples

Participate in Global Operational Risk and Policy Committees
Support the establishment and implementation of Governance minimum standards, guidelines and best practices
Identify and coordinate Operational Risk training topics for the business and other risk teams
Support the creation of tools that monitor the adherence to Op Risk Policy framework
Take a leadership role in the development and enhancement of risk management tools
Develop materials for ORM regulatory exams, internal audits and various ICG governance committees
Oversee the implementation of risk data aggregation of ICG level Operational Risk reporting including the underlying data production
Lead the annual effort of Key Operational Risk Identification and Management process and ensure alignment with other tools (eg., Scenario Analysis)
Responsible for ICG ORM level Reporting
Ongoing monitoring and risk reviews for ICG level breaches (eg., ICG ORM Risk Appetite
Superior communication, facilitation and consensus-building skills
7+ years relevant industry or risk management experience and/or accreditation

Director, Operational Risk Mgmt Resume Examples & Samples

Lead the “second line of defense” with risk identification & analysis, Policy & Governance, Key Risk Indicators and risk mitigation activities for Customer Asset Fraud risk
Be capable of providing practical guidance on mitigation solutions for both processes and technologies
Create and ensure timely execution of project plans for fraud risk management capabilities and program enhancements
Assist the Customer Fraud Management program with the development of an articulate risk appetite statement that defines the risks we are willing to take, then define measures and governance routines to monitor and manage our adherence to this appetite
Work with business areas to perform “deep dive” Process Risk & Control Self-Assessments as required to assess operational risks in a particular area and be capable of articulating identified risks, controls, issues (control deficiencies) and proposed mitigation actions
Provide an independent view and challenge of the businesses’ proposed the level and instances of operational risks
Review proposed mitigation programs and monitor these programs to ensure they are being implemented effectively
Identify, create and govern necessary fraud-related policies and procedures and fraud training both for Enterprise Risk Management and the enterprise
Create executive level written and metric based reports and dashboards to highlight key operational risk issues, trends, Key Risk Indicators and potential impacts
Experience in the financial services industry with a preference for retirement, life insurance and retail financial services is required; 10 + years’ experience is preferred
Experience with Operational Risk Management and external fraud is required
Extensive experience defining/documenting business processes and functions is required
Hands-on experience effectively utilizing one of the leading GRC solutions such as Archer eGRC is preferred
Well-developed listening skills with a well-tuned ability to summarize quickly identify key points and provide feedback effectively
Strong organizational/analytical/problem-solving abilities

Operational Risk Group Manager Resume Examples & Samples

Work experience of 10+ years in the financial services industry
In depth knowledge of Retail Consumer businesses, products and industry (exposure to Cards is a plus)
Good knowledge of US Consumer product related regulations and industry standards including infrastructure requirements and related controls (Cards knowledge a plus)
Strong analytical and conceptual skills applicable across Consumer businesses, products and customer classes
Able to prioritize high impact potential problems effectively
Provides leadership in optimization and efficiencies in control practices for the business
Plans and organizes very well to ensure individual and team efforts closely and efficiently tracked and delivered in a timely fashion
Bachelors or Masters degree in Business, Finance, Law, or related field
Experience / knowledge of data base or MIS management tools a plus

Operational Risk-VP Resume Examples & Samples

Bachelor degree or equivalent, ideally in Finance, Economics or similar
Business knowledge of capital markets (sales and trading)
Prior experience in risk management or internal audit within a wholesale financial services environment
Experience with IMA regulatory applications/submissions
Strong organization skills with the ability to multitask and prioritise; ability to tight deadlines
Ability to work in a small team environment, building and maintain a network of contacts and coordinating with a large number of internal clients

Operational Risk Director Resume Examples & Samples

Independent oversight, review and challenge of the Prime Services business activities front to back, in partnership with the relevant shared services functions and Prime Services management
Partnership with Operation Risk Manager regionally and globally to ensure consistent deployment and implementation of the evolving operational risk framework and input into global initiatives
Working closely with regional management to ensure an appropriate operational risk lens is applied and agenda pursued alongside regional initiatives
Responsibility for Operational Risk updates to the local risk governance committees
The ideal candidate will have first-hand experience of supporting Investment banking businesses (products, business lines etc.)
Experience in a control or risk management function, though not necessarily in an operational risk capacity (e.g. Market Risk, Product Control, Compliance etc.)
Solid communicator, able to interact at senior levels in a credible fashion
Solid 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)
Proven ability in project / change management
Proven self-starter, able to work autonomously under remote supervision as an individual key contributor
Familiarity and prior interaction with regulators in Ireland and the UK/EMEA region is beneficial
Operational risk management experience is not essential, but is beneficial (familiarity with operational risk framework implementation, risk assessments and principles around operational risk management such as capital allocation, metrics etc.)
Do you have the right to live and work in Ireland?
Do you have in excess of eight years operational risk experience within an investment banking environment?

HSS & PCM Operational Risk Oversight Manager Resume Examples & Samples

Extensive industry experience in a capital markets, corporate / investment banking institution
Strong understanding of the advanced operational risk framework being implemented within HSBC and how it must operate in order to meet management and regulatory expectations for use-test
Strong knowledge of the control environment surrounding capital markets, corporate / investment banking
Experience within an Operational Risk role within a securities services business environment
Candidate would need to be a team player with excellent interpersonal, communication and influencing skills and confidence to deal with senior staff to sell the benefits of OR management and challenge their operating environment

Operational Risk Coverage Resume Examples & Samples

Build solid primary relationships with the IM front office, and secondary relationships with the functional teams supporting IM including Finance, Operations, Risk Management and other support functions supporting the coverage area; develop strong networks across the Firm in order to ensure effective management of operational risk
Assist the coverage area in highlighting their Key Operational Risks and management of risk levels against designated risk tolerance levels
Develop analytical capabilities to support the broader ORD operational risk assessment process for business areas, risk types, regions and legal entities
Carry out deep dives into material operational risk events (internal and external) and analyses of thematic operational risks
Take responsibility for the coordination, facilitation and challenge of the scenario analysis requirements, leveraging multiple resources in IRD and the coverage area
Assist in the ongoing enhancement of the Operational Risk program and embedding of the framework and standards
Perform lead ORD oversight role for the annual Risk and Control Self Assessment (RCSA) process for the coverage area
Assist in reporting to Boards and Committees
Strong Investment Management (Asset Management), and other support function knowledge (e.g. operations, financial control, compliance)
Significant work experience in operational risk/financial control based roles within an Investment Management / Asset Management financial services environment
Confidence to take ideas forward and to challenge others, where appropriate
Experience in meeting the expectations of U.S./U.K. regulators
Good understanding of banking regulation, especially relating to operational risk management, is highly desirable
Knowledge of operational risk modeling and AMA frameworks would be an advantage

Senior Operational Risk Opportunity Resume Examples & Samples

Operational Risk management experience at a senior level within the Financial Services industry
Ability to perform a risk and control role independently and confidently whilst managing a small team
A strong understanding of regulatory requirements pertaining to Operational Risk within Australia
The ability to build strong internal and external relationships with senior executives
An analytical mindset - with a passion for strategic advisory

Operational Risk Resume Examples & Samples

Carry out analytical work using ORD’s various data sets, including issues and actions, internal/external incidents, metrics and RCSAs
Review operational risk incidents to identify potential data quality issues and communicate with Operational Risk Managers on data review findings
Produce data quality reports in a timely manner and socialize the findings with Operational Risk Managers when required
Assist in system enhancement for data quality assurance, prepare and maintain relevant system requirement documents
Up to 5 years of working experience with experience dealing with front office business, operations or risk management in a financial institution
Strong analytical skills and attentive to details
Multi-tasking and able to work under pressureProficiency in Microsoft Office applications, expertise in macro/VBA will be a plus
Basic understanding of BASEL framework on operational risk

Operational Risk Resume Examples & Samples

Lead and drive the analytical work using various data sets, including issues and actions, internal/external loss incidents, metrics and RCSAs to provide insight and useful Management Information for the senior management of the global function
Manage a team of four and be the centre of contact for all data monitoring activities
Review operational risk incidents and identify potential data quality issues, produce data quality reports and socialize the findings with Operational Risk Coverage teams when required
Monitor the data quality of Issues and Actions and follow up with relevant parties as necessary
Investigate and drive system enhancement for data analytics and quality assurance
5-10 years of working experience within a financial institution with rich experience in dealing with data analytics and data quality assurance
Track record of effectively leading teams
Multi-tasking and able to work under pressure
Proficiency in Microsoft Office applications, advanced user of Excel and PowerPoint

Operational Risk Resume Examples & Samples

Identify new or emerging risks to which the business is exposed
Conducting scenario analysis, developing and maintaining a library of case studies
Facilitation of operational risk event collection, enrichment of event data, perform detailed reviews of events, tracking of remediation, conduct trend analysis
Contributing to stress testing and operational risk capital work as needed
New Activity memos review – to ensure operational risks arising from new products and/or business, migrations, etc. are properly considered
Exercising credible and effective challenge as a second line of defense, strengthening the risk framework and its individual components
Remain current on business drivers, regulatory and industry changes impacting the business
Conduct business training and raise awareness of the operational risk framework, their roles and responsibilities
Respond to client inquiries about operational risk
Contribute to the advancement of Operational Risk Methods and Practices and the operational risk management framework
Identify, maintain and analyze risk measures
Establishment and maintenance of a qualitative/quantitative business level operational risk appetite/tolerance with associated metrics, monitoring, triggers, escalation and mitigating actions
Contribute to developing the firm's operational risk framework including the design and project management for strategic platform enhancements
Strong financial product and business acumen
3 - 4+ years of relevant experience
Excellent interpersonal and analytical skills
Self starter, work independently and proactively, proven track record of delivery
Inquisitive and enthusiastic
Product Knowledge – An awareness of fiduciary business responsibilities and activities, includes activities of an asset manager or private wealth manager would be beneficial
Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles or setbacks
Client and Business Focus - Effectively handles difficult requests, builds trusting, long-term relationships with clients, helps the client to identify/define needs and manages client/business expectations. Known as a trusted advisor and can maintain/handle

Operational Risk Resume Examples & Samples

Conducting scenario analysis, coordinating development of case studies to quantify and measure operational risks, maintaining a library of case studies
New activity memos review – to ensure operational risks arising from new products, activity, migrations, etc. are properly considered
Facilitation of operational risk event collection, performing detailed reviews of events, tracking of remediation, conducting trend analysis and reporting
Exercising credible and effective challenge as a second line of defense
Working with senior stakeholders within the business and federation divisions, strengthening and developing the risk framework and its individual components
Remaining current on business drivers, regulatory and industry changes impacting the business, identifying new or emerging risksto which the business is exposed
Contributing to operational risk capital determination and stress testing
Conducting training and raise awareness of the operational risk framework
Identifying, monitoring and analyzing risk measures
Contributing to the advancement of operational risk methods and practices and the operational risk management framework
Experience in roles with direct expertise in technology with strong understanding of how technologists operate and the components work, including familiarity with the concepts such as SDLC, entitlements, cyber security, capacity management, resiliency management
Strong technical and quantitative aptitude to be able to understand and determine quantification of operational risks, ideally exposure to creating and understanding financial models
Risk management and control mind-set
Excellent interpersonal, verbal and written communication skills – able to present with impact and influence
Self-starter, work independently and proactively, proven track record of delivery

Operational Risk-leading Brokerage Resume Examples & Samples

Management and production of monthly KRI packs
Monitoring of the Risk Appetite Framework
Manage firm-wide Op Risk E-Learning Module
Assist in design, management and monitoring of Risk Register (Risk Mapping) including controls
Operational risk incident input, monitoring and reporting
Assist in the design, implementation and in carrying out Risk Control Self Assessments (RCSA); Operational risk incident capture and analysis (Internal & External data), and other aspects of Operational Risk Target Operating Model Implementation
Policy/Procedural documentation generation and maintenance
Op Risk Capital Modelling/Scenario development
Modelling and Capital Calculation for other risk types: Credit/Market/Counterparty
Assist in Business Continuity Planning (BCP)
Some overseas travel may be required
General understanding of Operational Risk incident capture system(s), including input, monitoring and reporting
Experience of dealing with formal documentation
Ability to read and understand regulatory rules, consultation papers and legal documents
Experience in international wholesale markets or specific knowledge of the firms' products including cash equities and securities, equity, FX, and commodity derivatives, money markets
Reasonable knowledge of cash and derivatives exchange rules e.g. Euronext, Eurex, LSE
Very good PC skills and knowledge, in particular Word and Power Point with excellence in Excel
Good literacy and numeracy skills
Good communications skills both verbal and written
Ability to communicate with all business areas and senior management
Good inter-personal skills
Willingness to learn new skills and take on challenges
Ability to work in a team or autonomously on specific projects/tasks

Operational Risk-avp / VP Resume Examples & Samples

To review and challenge the management and delivery of the risk and control identification and assessment program which provides effective and efficient identification, measurement, assessment, and reporting of operational risk with a particular emphasis on the applicable business line
Supports the Director, Global Operational Risk, in the review, assessment and enhancement of the Bank's operational risk management tools and methodologies
Assists with the development, delivery and reporting on the scenario analysis program
Plays a challenge role with respect to their identification, assessment and management of operational risk
Supports the business units in the development of its operational risk management programs, as well as in responding to regulatory requests for operational risk-related information
Supports the business units in the development of its Key Risk Indicator Program
Maintain relationships with the business units operational risk managers and applicable corporate support areas to remain current on new developments and emerging risks within the industry
Develops operational risk reports for Asia Pacific Committees
Participates in Asia Pacific Operational Risk Committees and attends Compliance Committees as back up to Senior Risk Officer
Educates the business lines and support functions on the Bank's operational risk framework
Review and maintain Asia Pacific risk policies
Prepare Board reports for Singapore and Hong Kong subsidiaries
Participate in resolution and recovery planning exercises as required by local regulators; this will require coordinating across global teams

Operational Risk Resume Examples & Samples

Provide coordination of the regional outsourcing program, including risk assessments, agreement drafting, periodic cost and service level reviews, meeting minute reviews, and Bank Committee presentations
Actively lead and partner across organizations in the continued development, implementation, training and sustainability of a new Affiliate Agreement Workflow tool to automate the current manual processes
Assist in ensuring appropriate governance of policies and procedures, and the Bank’s framework adherence to key regulatory requirements
Liaison with the Business Teams, Legal and Compliance, Firm wide Sourcing, Finance, Operations, and among others, to ensure Vendor Agreements and Task Orders are compliant with Bank guidelines
Undergraduate degree in Business, Finance, or other related field (at minimum)
3-5 years of relevant experience in risk management or sourcing in the financial services industry is a plus
Ability to manage ambiguity and bring focus with recommendations on solving tactical and strategic challenges
Ability to work in a fast paced environment, both independently and as part of a team, and under strict deadlines
Strong at identifying key control points within a process, and then provide assessment of the preventative and detective controls

Firm Operational Risk VP Ccar & Framework Resume Examples & Samples

Support and enhance the Firm’s CCAR/DFAST/ICAAP process to ensure the deliverables and documentation remain current and meet regulatory expectations
Develop knowledge of the Firm’s capital framework
Support the Building and enhancing of the Operational risk framework
Drive forward new initiatives in pursuit of sound risk identification approaches within and outside ORD (e.g., Emerging Risk framework)
Support coordination and requests for Internal Audit, Regulatory Exams, and Compliance Assessments
On an annual basis run the respective Department’s RCSA requirements
Assess and document the Board Effectiveness / Conceptual Soundness of the Operational Risk Framework
Keep up with new regulations and ensure incorporation into the ORD policy of the firm
Previous experience supporting an analytical risk function that includes strong quantitative skills and advance use of Excel
Effective interpersonal skills, willingness to reach out and to new contacts to discuss issues, builds consensus, prioritizes effectively, and develops alliances across an organization
Experience with Executive and Regulatory presentation preparation, and advance use of Power Point
Adaptable to rapidly changing priorities and excited by new challenges
Strong sense of ownership and accountability for output, the control environment, and reporting development
Strong risk analysis and ability to identify root causes for risk events and perform ad-hoc analysis
Effective summary level written and verbal communication skills
Understanding of the importance of adhering closely to established risk principles
In-depth understanding CCAR Operational Risk Methodology and approach
Interest in joining a team that is continuously looking to improve its Operational Risk Framework
Broad knowledge of Investment Banking Business and Functions

Head of Operational Risk, Europe Resume Examples & Samples

This role works closely with the businesses to drive the ongoing Operational Risk governance and processes to ensure the control environment across Europe is robust, risks are well understood, risk profiles reflect the business strategy and business decisions and treatment plans are followed up and closed
The role will also drive the coordination of business continuity activities as well as the delivery of key operational risk projects and priorities
This role manages a team of 2 direct reports and a virtual team of 4 - 5 Operational Risk SMEs across the various businesses and functions in Europe
Build relationships with the businesses and advise them on the operational risks faced by each business
Engage with wider 1st Line ANZ Operational Risk team globally, sharing knowledge and experiences
Team up with businesses to ensure operational risk management is embedded in strategic decision making and daily operational activities
Leverage industry knowledge to put in place a good control culture
Manage the resolution of operational risk events and ensure appropriate risk mitigate are implemented
Undertake associated operational risk events reporting and escalation to senior management
Analyse operational risk event data as a basis for assessing the accuracy and appropriateness of risks, their ratings and control environment
Assist, if needed, with BCP testing, reviews and development of strategy
Coordinate virtual team of Operational Risk SMEs across Europe
Team up with the businesses to ensure ANZ Europe’s Business Continuity Planning is appropriate
Work closely with Technology to ensure that adequate testing of the BCP controls is undertaken and reported to management
Assist with training and awareness across the wider branch
Ensure ‘Risk is Everyone’s Responsibility’ is truly understood
Identify, analyse and risk-rate operational risks faced by the business and facilitate the creation of business risk registers
Oversee control testing and review test results
Ensure the control environment and testing follows guidelines set out in the Operational Risk Framework and other relevant group policies
Coordinate the production and monitoring of key risk indicators for Europe
Drive Operational Risk Forums for each business and contribute to the European Risk Management Committee
Coordinate regulatory risk returns e.g. risk certification, business continuity
Support implementation of risk policies and procedures
Roll-out Group Operational Risk initiatives across Europe

Operational Risk Resume Examples & Samples

Knowledge of Investment Banking Products and Services including business flows and deal life cycle
3 - 4+ years of relevant experience, 1-2+ years in a consulting environment is ideal
Excellent interpersonal, financial and analytical skills and ability to work in a fast paced environment
Strong verbal and written communication skills - present sound, persuasive rationale for ideas or opinions
Self-starter, work independently and proactively with proven track record of delivery to improve current processes and develop creative solutions
Strong organizational skills (project management experience a plus) and attention to detail
Team work - collaborate with others within and across teams, encourage other team members to participate and contribute
Inquisitive and enthusiastic with a strong client and business focus, effectively handle difficult requests, build trusting, long-term relationships

Operational Risk Systems Resume Examples & Samples

Defining the approach for ORM systems integration including Self-Identified Issues, Risk Appetite / Tolerance / Metrics, Risk Acceptance, Risk Reporting, Risk Governance, Capital Model and the management of external and internal findings
Ensuring integration of the data model with other ORM systems/ORM Data Warehouse
Providing data model specific requirements for Business Requirements and Functional Specifications
Verifying that the technical delivery of the data model meets the business needs, through reviews and testing (systems integration testing/user acceptance testing)
Performing impact assessments of all changes affecting the data model
Assisting in performing the impact assessment, of making specific taxonomy changes
Assisting with data classification and ensuring appropriate access to data through an ad-hoc security model
Developing and executing R&CA Information Technology (IT) System QA and ‘business acceptance’ governance process from a data perspective
Developing and embedding ‘Run–the-Bank’ maintenance and governance processes for Reference and Core Data, Taxonomies and other context data

Cib-operational Risk Oversight VP Resume Examples & Samples

Independently evaluate and challenge the business and functions’ implementation of the firm’s Operational Risk Management Framework (ORMF)
Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risks
Promote and instill a strong culture of Operational Risk Management and operational excellence, having close interaction with the business to continually improve Operational Risk processes and business operating models supporting safe business growth and informing risk-based decision making
Work closely with the controls organisation to ensure Operational Risk standards are communicated, understood and applied - review adherence to firm’s ORMF, governance, standards, policies across LOBs, functions, legal entities and countries
Provide overview and incorporate internal & external loss data sets, understand the impact on the capital calculation and optimize outputs
Drive the development of the regional and legal entity alignment to the ORMF, including Key Risk Indicators (KRIs), Loss Data, Risk and Controls Self Assessment (RCSA) and Scenario Analysis as necessary
The candidate will join the team covering CIB Markets, and will be required to quickly familiarise him/herself with the firm’s Operational Risk Management Framework and with the internal control systems (Risk & Control Self Assessment, RED etc.)
The candidate will participate regularly in meeting with heads of business units and support functions, and will be specifically responsible for leading key projects and reviews
The role will work closely with other Risk Management Groups and key control functions including Compliance, Audit and Oversight and Control
Previous experience in JPM front office and with a good, established network
Good understanding of the various CIB markets businesses (Spread, Macro, Equities)
High-level understanding of downstream systems (middle office, back office)
The candidate will have developed strong risk and controls mind-set, excellent operational, management and coordination skills, superior attention to detail and a desire to build a robust, flexible, sustainable structure around new processes
Applicants should possess excellent interpersonal, communication and influencing skills
An existing theoretical and practical knowledge of Operational Risk Management is an advantage but not essential

Operational Risk Mgr-group Resume Examples & Samples

Provides a leadership role 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 Department
Analyzes and documents various processes and products, existing or new, by working with the business units to identify key processes as prescribed by the Operational Risk Department’s framework (process documentation, risk assessment, controls documentation, and testing implementation.)
Works with management and staff in areas of the organization affected by alterations in business practices to ensure understanding and implementation of new operational risk policies and procedures
Collaborates with other Bank units to study and investigate operational risk issues and identify and implement solutions
Supervises and / or performs periodic testing to determine effectiveness of unit’s adherence to the Bank’s operational risk framework requirements, internal policies, and best practices
10+ years combined Risk Management experience

Operational Risk Department Coverage Resume Examples & Samples

3rd Line: Independent Assessment by Internal Audit - Provides independent, assessment, validation and evaluation
Build solid relationships in the front office, Finance, Operations, Risk Management and other support functions supporting the coverage area; develop strong networks across the Firm in order to ensure effective management of operational risk
Carry out operational risk assessments; develop in-depth understanding of the business and operational risks within the coverage area
Assist the Divisions in highlighting their Key Operational Risks and management of risk levels against designated risk tolerance levels
Develop analytical capabilities to support the operational risk assessment process for business areas, risk types, regions and legal entities
Assist in the enhancement of the Operational Risk program and embedding of the framework and standards
Strong Investment Banking experience, focused on the trading side of the business
Solid understanding of the trade life cycle process and the requisite control environment required to ensure mitigation of risks
Good understanding of banking regulation, especially relating to securities business
Ability to work in a team environment, building and maintain a network of contacts and coordinating with a large number of stakeholders
Knowledge of operational risk framework is an advantage

In Business Operational Risk Head Resume Examples & Samples

Definition of common methodology, checklists and implementation tools to perform visits to branches
On Site support to the branches
Analysis of findings, corrective action plans and overall control status of branches
Quarterly Presentation to the BRCC
Process development and analysis
Audit process
Operational Risk
Strong legal and Regulatory background
5+ years of related experience in finance/control/audit/process/operational risk related functions
Project management techniques
Managing people
Demonstrated ability to synthesize information, prioritize requirements and s with a high sense of urgency
Strong Communications Skills
Written and verbal communications skills; prior track record of successfully interacting and remote teams
Work in collaboration and teamwork across organizational boundaries

Executive Director of Field Management Operational Risk Resume Examples & Samples

Primary team coordinator for key Field Management Operational Risk initiatives and tasks
5-10 years of experience within Financial Services, with involvement in Operational Risk or Wealth Management preferred
Familiarity with Wealth Management branch structure and/or branch operations
Must be comfortable working closely with various business functions
Strong proficiency with Microsoft Word, PowerPoint and Excel

Operational Risk VP Resume Examples & Samples

It is critical to ongoing risk assessment of process risk, control and capability effectiveness across all products and segments for China
To establish and maintain an operational risk management framework for the bank including risk related governance, policies, and tools etc that enables identification, assessment, mitigation, measurement, monitoring and reporting of key operational risks; as well as monitoring the effectiveness of ORM
Also, it is responsible for integration and implementation of Fraud Risk Management in China and to ensure applicable global or local fraud risk related policies are being adhered to
As the partner with other stakeholders, provide guidance and coordination to conduct various local regulatory anti-fraud self inspection requirements on business activities and staff behavior

100

Consumer ORM Operational Risk & Control Assessment Resume Examples & Samples

Support the Head of Risk and Control Assessment unit in capacity planning and departmental activities including continuous process improvement to enhance efficiency
Work experience of 7+ years in the financial services industry in risk and controls assessment
In depth knowledge of Consumer NA businesses, products and the banking industry globally including major regulatory themes a plus
Experience with CitiRisk and the Managers Control Framework a plus
Business or Risk experience in Credit Card, Retail Banking or Personal Wealth Management a plus
Bachelors Degree / Masters Degree in Business, Finance, Accountancy, Law, Science, or other relevant fields

101

Consumer ORM Operational Risk & Control Assessment Resume Examples & Samples

Develop thorough knowledge of Citi Risk ORI module and support capture of data as required
Work experience of 5+ years in the financial services industry in risk and controls assessment
Bachelors Degree / Masters Degree in Business, Finance, Accountancy, Science, or other relevant fields

102

Operational Risk-icg Business Coverage Risk Manager Resume Examples & Samples

Providing input into operational risk framework program and policy development
Participating in delivering operational risk framework training
Risk management experience, including knowledge of risk management governance and control
5+ years relevant industry or risk management experience and/or accreditation
Business intelligence

103

Senior Operational Risk Scenarios Manager Resume Examples & Samples

Providing detailed analysis of both internal and external data
Feeding data to the statistical modelling team, scenario analysis team and legal matter analysis lead
Liaising with operational risk leads to assist in the Risk ID process
Responding to ad hoc data analysis requests
Providing regulatory data to Finance
Masters degree in Finance or related field, or equivalent experience
10+years experience in Finance or Risk related role
Operational Risk experience preferred
Experience with systems conversions
Strong analytical and communication skills required

104

Country Consumer Business Operational Risk & Control Head Resume Examples & Samples

Minimum Bachelor’s Degree or equivalent professional qualification
Strong understanding of Consumer Bank products and processes including Consumer Operations
Proficient in the use of basic Microsoft applications (Word, Excel and PowerPoint)

105

Assistant VP-operational Risk Resume Examples & Samples

3+ years’ experience in financial industry and/or business management
Specific experience in Vendor Management, Business Continuity Management, Risk, Compliance and/or Audit a plus
Ability to use desktop tools to perform analyses and develop presentations for senior management. Working knowledge of MS Office, particularly Excel and PowerPoint
Demonstrated leadership in setting strategy and driving an agenda
Strong process management skills
Ability to manage delivery/execution of a wide range of tasks and initiatives
Ability to work independently and possess a strong sense of accountability/ownership

106

Etrading Operational Risk Resume Examples & Samples

Identifying, assessing and reporting Electronic Trading activity proposals against the Electronic Trading Control Risk Assessment Framework (ECRA) and assisting to present findings to Management and Governance bodies for decision making
Identifying, assessing and reporting ECRA gaps including proposal for remediation or risk acceptance and presenting findings to Management and Governance bodies for decision making
Conducting periodic performance of independent sample testing, to verify the implementation of controls and reporting findings to Management and Governance bodie
Conducting periodic monitoring of Electronic Trading activity against the ECRA including status of; control gaps and remediation commitments, overdue controls gaps including appropriate escalation to management and governance bodies, control gap target date extension requests including review and assessment risk accepted control gaps including assessment of current validity
Conducting periodic reporting of Electronic Trading activity compliance against the ECRA
Reporting, reviewing and assessing reported incidents related to Electronic Trading activities
Preparing agendas, meeting minutes, action tracing and coordinating logistics for the Governance bodies
Ad-hoc maintaining the Electronic Trading inventory to ensure information is current
Coordinating bi-annual completeness checks with the Bank, to ensure the inventory remains complete
Managing the pipeline of new proposals or changes to existing Electronic Trading Activity
Continuously reviewing, assessing and coordinating framework control changes
Coordinating and participating in annual reviews of the Electronic Trading Controls Policy, with the Bank
Developing and maintaining Key Operating Procedures (KOPs), that support the eTrading DCO function
Conducting look-across assessments/deep dives from the implications of ECRA results and self identified issues
Reviewing remediation plans for ECRA control gaps

107

Flex Intern Operational Risk Resume Examples & Samples

Contributes to one or more business unit initiative(s)
Undergraduate and/or graduate student
GPA of 3.0 or better
A major in accounting, economics, business, finance, communications/marketing, information systems, or other fields related to the financial services industry
Prior internship experience preferred
Very good presentation skills

108

Head of Operational Risk Resume Examples & Samples

Communicate, interpret and implement Operational Risk Management policies
Prepare regular, ad-hoc or special reports for the Company's Compliance/Risk Committee
Assess risk in the Company's new or existing products, services, processing and operations
Head up a Risk Management team and train and develop staff
Work with Department Heads to manage Operational Risk
Study new and emerging international regulations and their application
Use intuition to rapidly assess new, unusual or unfamiliar risks
Mediate with managers to risk-modify new or existing products

109

Market & Liquidity Risk Management Operational Risk & Control Resume Examples & Samples

Review and understand departmental processes and controls for effectiveness and efficiency, identify areas of operational vulnerability and lead the development of remedial action
Support MLRM in the quality assurance of audit actions and interactions with local action owners to ensure a timely completion of agreed upon deliverables
Manage intra- and interdepartmental process and control enhancement projects
Perform and maintain the annual departmental Risk and Control Self Assessment process and develop and maintain risk and control MI to monitor risk and control developments throughout the year
Support the business in completing their Risk and Control Self Assessments
Management and maintenance of the departmental management control framework
Support ad-hoc inquires as requested from the MLRM COO and Head of MLRM
Oversee performance under SLAs with MLRM as both, service providers and service recipients
Setting priorities and management of staff and contractors
Other MLRM COO tasks as agreed and assigned

110

Operational Risk Executive Resume Examples & Samples

8+ years actively serving in a Corporate Audit/Risk/Compliance role with an emphasis on issues/audit management/regulatory exams
Regulatory/Audit Experience
Experience interfacing directly with regulatory agencies
Understanding of regulatory reporting functions and processes

111

Operational Risk & Control Resume Examples & Samples

Take a leadership role in implementing and managing operational risk within the business
Act as the SME that all business managers can turn to when trying to implement effective procedures and controls
Proactively monitor the Operational Risk events, both internal and external, and ensure issues are esculated to senior managers
Manage the Key Control Self-Assessment and Control Sample Testing processes
Responsible for all business wide Risk Meetings within Japan, liaising closely with other regions. Chair the Operational Risk Committee in Japan
Ensure that there is a robust and transparent Operational Risk tracking system in place, and look for ways to improve efficiency in Risk Data Management, in line with recent regulations
Ensure that all operational losses are reconciled within the business books
Experience of Risk Management within Financial Institutions
Knowledge of implementing controls related to Risk Management of Compliance
Understanding of the regulatory landscape relating to financial services in Japan
Deep understanding of Transaction Banking, Corporate Finance or Investment Banking
Experience managing Operational Risk, or working within Front Office control

112

Cib-operational Risk Oversight ED Resume Examples & Samples

Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risk through consumption of information from the effective deployment of RCSAs, KRIs, scenario analysis, event management (monitoring of event recording, event trend analysis) and targeted risk assessments
Promote and instill a strong culture of Operational Risk Management (ORM) and operational excellence, partner with the business to continually improve OR processes and business operating models supporting safe business growth and informing risk-based decision making
Independent challenge – challenge, validate and endorse business risk profiles and provide constructive challenge to the business where residual risk levels are deemed to exceed appetite
Facilitate scenario analysis with businesses to stress the control environment under simulated conditions, drive accurate capital allocations and inputs

113

Operational Risk-wholesale Credit Resume Examples & Samples

Ensuring that WC has robust, day to day risk management routines in adherence with the Corporate Operational Risk program element standards (e.g. RCSA, losses, KRIs, issues)
Acting as a challenge function to the business by providing independent feedback, and willing to push back
7+ years of Credit Product business experience andworking knowledge of Operational Risk/Audit/Credit Review
Strong internal drive and ability to take ownership for managing risk for multiple product lines
Ability to efficiently manage multiple priorities and deliverables and have the ability to effectively and diplomatically manage conflict
Ability to make sound risk/reward decisions and consciously balance data, logic and intuition

114

Operational Risk-emerging Markets Resume Examples & Samples

Lead operational risk assessments and deep-dives around areas of concern, heighten or emerging risks
Share relevant lessons learned on issues/risks raised in other Global Markets businesses (internal or external)
Review and analysis over operational events to determine themes, trends, and root causes. Monitoring the status of mitigation plans to ensure appropriate actions are taken to reduce likelihood of reoccurrence
Perform due diligence in support of operational risk’s approval for new products ensuring responsible business growth
Participating in business, risk and control committees/forums assisting senior leaders in evaluating adherence to regulations and policies related to change initiatives and active management of issues and emerging risks
Monitoring LOB’s adherence to firm wide operational risk standards and policies; reporting and escalating
Reviewing and challenging risk and control self-assessments of the business and support functions
Participating in and reviewing scenario analyses
10+ Years Capital Markets industry experience across multiple products, including Fixed Income products
10+ Years Operational Risk/Front Office/Middle Office/Operations /Audit Experience
Strong written and verbal communicator with very strong influencing skills and ability to manage debate and conflict
Organized, with attention to detail

115

CEP Operational Risk Programme & Framework Manager Resume Examples & Samples

A solid understanding of financial products and processes across all of Citi’s businesses
Experience of managing a complex project portfolio, with variable stakeholders and deadlines
The capacity to organize and prioritize workload within a complex environment with competing and subtle resource demands
Proven tracked record of meeting deadlines
Experience in establishing deliverable operational risk frameworks, challenging businesses and functions to execute against the requirements
Confident, clear and concise verbal and written communications skills
Strong analytical skills applicable across all businesses and products
Strategic and goal-oriented focus
Extensive work experience in the financial services industry, with exposure to operational risk and/or internal control concepts

116

Operational Risk Function Head Resume Examples & Samples

Provide an independent assessment of the Bank’s operational risks relative to risk tolerance
Enhance the Bank’s operational risk framework and related tools and processes to improve the effectiveness and efficiency of operational risk management activities
Collaborate effectively with the senior leadership team to support integrated management of risks across business areas and risk types
Provide subject matter expertise in various areas relating to operational risk management
Drive the development of cross-Bank analyses that provide insight into material and/or emerging operational risks
Effectively communicate the Function’s goals, objectives, and conclusions to key stakeholders within the Bank
Lead and manage the ORO Function
Master’s Degree in Business, Finance, or Economics with an emphasis on risk-related disciplines
10+ years of experience managing operational risk
5+ years in a leadership and managerial role
Extensive knowledge of approaches used to measure and manage operational risk
Background leading transformational change and influencing across an organization
Strong written and verbal communication skills, including the ability to explain complex, technical issues and make clear recommendations to stakeholders
Ability to assimilate new information, understand complex topics, execute sound judgment, develop sound conclusions and make recommendations in a timely manner

117

Avp-operational Risk & BCM Resume Examples & Samples

Plan and conduct a program of RCSA activity covering all business units/support functions
Develop (in conjunction with the business) KRIs for all risks rated as moderate to high
Collect, analyse and follow up on lessons learnt from internal incidents and submit results for regional Enterprise Risk Dashboard operational loss reporting
Respond proactively to business requests relating to risk assessment elements of new products/services, outsourcing and systems under development life cycle so as to ensure operational readiness and effective risk mitigation
Build organisational operational risk awareness as part of the RCSA work and through a programme of targeted training for the executive layer, general staff and especially for Operational Risk Officers embedded in the business units
Support the Operational Risk Officers in the execution of their roles
Build antifraud awareness through roadshows and training sessions covering all high fraud risk areas of the business
Coordinate with the business on follow up activity and implementation of action on issues related to internal audit, external audit and regulatory risk
Periodically report results of ORM activities to the local Management Risk Committee including Enterprise Risk Dashboard ORM/BCM elements
Location: The candidate will operate mainly from the head office but must be willing to work in any part of the region on specific assignments of short duration to assist Regional/Local ORM in other countries on rollout/embedding activities or to stand in for Regional ORM/BCM Head

118

Operational Risk Contr Resume Examples & Samples

Time management – organizing and prioritizing work
Ability to work to strict reporting deadlines
Ability to multi-task in a complex environment
Ability to learn and apply learning quickly
Financial and Management Accounting
Investment Banking industry knowledge
MIS/KPI Reporting
2-4 years of experience in Financial Accounting
Prior Financial Services Industry experience desired but not required

119

Operational Risk & Control Resume Examples & Samples

Manage the MLRM operational risk incidents and act as the lead expert
Manage the annual review, analysis, testing and documentation of MRM processes and controls for effectiveness and efficiency (Ex: Unauthorized Trading, Front Office Interactions, Minimum Standards, Competency Framework, Risk vs. P&L Consistency, RCSA, Trading Floor Seats, Offshore Office Locations, etc.)
Production of Operational and Control Management Information reporting
Perform ad-hoc Quality Assurance of MRLM departmental audit and regulatory actions to ensure a timely and full completion of deliverables
Manage the department EUC governance programme
MRM New Business program owner and controller
Assist with documentation, follow-up and testing on MRLM COO and Operational Risk & Control Assurance owned audit points
Assist Line Manager with administrative support for the department's annual Risk and Controls Self-Assessment (RCSA), such as documentation and control testing
Assist Line Manager in developing training materials on MRLM COO and Operational Risk & Control Assurance owned processes and procedures
Support ad-hoc inquires as requested from the MRM COO and Head of MRM
Create PowerPoint presentations to support the deliverables

120

Operational Risk Control Resume Examples & Samples

Establish and maintain the Operational Risk Management (ORM) policies and tools within International Centres’ business/support units that enables identification, assessment, mitigation, measurement, monitoring and reporting of key operational risks
Monitor the effectiveness of ORM at International Centres’ business/support units (end-to-end)
Assist management in the assessment of key operational risk issues and profile of the International Centres
Currently, DBS Bank operates in 8 International Centres, eg Australia, Dubai, Malaysia, Vietnam, US, London, Seoul and Tokyo. The role is based in Singapore, and you will be interacting with the focal points in these locations. No travelling will be required
Provide advice, guidance and training to International Centres’ business/support units (end-to-end) on operational risk matters including risk management structure and processes, driving operational risk initiatives, tailoring of Group policies, where applicable for adoption at the units
Provide support/assistance to senior RC in the engagement with the International Centres management team and participation in the unit’s business control committee meetings in raising risk issues arising in the end-to-end processes
Participate in major change initiatives of International Centres (including new product/service and outsourcing), providing inputs to mitigate operational risks
Liaise with International Centres’ business/support units’ partners in the various control and support functions (e.g. Credit, Compliance, Legal) in addressing operational risk issues arising in the end-to-end processes
As appropriate, conduct reviews on operational risk metrics (e.g. risk events, RCSA, KRIs) including the responses and action plans, and assessing the effectiveness of these as adequate mitigants to the risks identified
Identify and alert senior/unit management of systemic operational risk issues/emerging trends in International Centres, whilst ensuring that there are appropriate preventive/detective controls in place
Support or advise other units as appropriate or assigned
Leverage data analytics to assist management to assess key operational risk issues, monitor effectiveness or operational risk management and provide timely risk analysis and reporting via the various OR tools and firm-wide Operational Risk Management system
Analyse and identify trends and any systemic issues/emerging trends; highlight key insights and areas requiring focus in managing operational across units and locations
Good knowledge of banking products/services, activities and operations with experience in different businesses and/or operations (corporate banking, private banking, treasury & markets)
Analytical and able to identify potential operational risk exposures in business activities, new product/service offerings and outsourcing initiatives, and assess the appropriateness and adequacy of mitigating controls required
Strong presentation and inter-personal skills, with ability to work with people of different levels
Ability to work with business/support units at all levels in rollout of various operational risk management processes
Must be a team player with ability to work professionally with team members and workgroups formed with other business/support units
Knowledge of data architecture and structure to develop data analytics capabilities, and analytical tools would be an advantage

121

Operational Risk Director Resume Examples & Samples

Maintain RCSA program, ensuring robust methodologies that achieve the organizations self-assessment objectives
Manage RCSA execution to ensure timely and complete assessments
Function as the Subject Matter Expert for RCSA tools and practices
Provide hands-on execution leadership, support and guidance to RCSA Leads / Risk Liaisons, in the first line of defense, in completing RCSA deliverables, (e.g., process flows, risk/control assessments, self-identified issues and reporting, etc.). This role will require a hands-on approach for the initial roll-out
Develop strong relationships within the 1st, 2nd and 3rd lines of defense and promote consistency across risk assessment activities
Proactively support the Enterprise Risk Management (ERM) team, as required
Maintaining the RCSA program documentation, including updates to the methodology, procedures and templates/forms
Working with the Functional Group RCSA Leads and Risk Liaisons to maintain an implementation / execution schedule
Tracking and reporting progress on the roll-out of the RCSA program, including providing inputs for updates to Functional Group Leaders, ERM management, Bank Executive Management, and other relevant oversight groups
Partnering with the ERM Archer team to identify, document and define business requirements
Ensuring feedback from RCSA Leads and Risk Liaisons regarding the transition and tools are incorporated into the new system
Performing User Acceptance Testing to ensure the system performs as required
Identifying opportunities to leverage the Archer tool to enable more efficient and robust RCSAs
Developing and delivering individual or group training sessions on the RCSA methodology
Providing best practices on how to create required deliverables (e.g., process flows, risk/control assessments, remediation plans, etc.)
Assisting certain non-core operating Functional Groups to completing their RCSA
Propose enhancements to the RCSA program which support consistency of risk assessments across the enterprise
Understanding the similarities and differences for all other risk assessment activities across the enterprise and working to harmonize these assessments
Working with various teams in each line of defense to promote common sets of tools for risk assessments across the organization (i.e. organization views, definitions, rating scales, etc.)
Support other aspects of the ERM program, such as the Risk Inventory, Risk Issues tracking and reporting and Risk Appetite
As needed, contribute as part of a cross functional project team on ERM initiatives
Be a source of knowledge and expertise on RCSAs and support the risk identification and assessment efforts for other core risks
Candidate must have exceptional interpersonal and communication skills plus the ability to work independently and as a part of a team. Must be extremely detail oriented and able to manage multiple complex tasks concurrently. Discretion with confidential information is also necessary

122

Operational Risk Stress Test Modeler Resume Examples & Samples

Coding/testing/debugging – write new statistical modeling routines. Statistical routines will include a variety of regression models, principal components analysis, modeling diagnostic routines, and bootstrapping
Work with the OpRisk Workstream Lead to recommend viable statistical approaches for addressing model needs
Write/maintain model documentation
Conduct exploratory data analysis on the bank's OpRisk data
Run all components of the bank's OpRisk forecast models on a periodic basis
Should be proficient in correlation, regression, sampling distributions, and hypothesis testing
Should be well-versed and experienced in data analysis and all aspects of multiple regression
Proficiency in the use of the following packages/languages
Requires at least a Bachelor’s degree in Business, Economics, Finance, Mathematics, Statistics, or other related fields; Master’s degree preferred
Experience within the financial services industry is a plus (not required)
Experience (academic or professional) in the design and/or documentation of a large scale modeling effort a plus
Project management experience is a plus, but not required

123

Operational Risk Resume Examples & Samples

Ownership for maintaining and further developing a best-practice control and governance framework
Solid collaboration with MLRM Senior Management, UK Market Risk Management, CRO Management, IA, ORM, RFDAR and other departmental management
UK Controls Officer responsible for the CSI/CSSEL UK governance for market risk and its application to the UK region
Provide oversight and transparency on the control activities of the departments through reporting and key metrics
Manage the Quality Assurance of departmental audit and regulatory actions to ensure a timely and full completion of departmental deliverables
Ownership of the departmental operational risk and control programs including: RCSA, Management Controls, EUC Governance, Operational Risk Incidents, Control programs (IHC, SOX, Volcker, CFTC), New Business, Front Office Challenge, annual misc trainings (UT, Limits, FO challenge)
Represent Market and Liquidity Risk as the FRCO
Support ad-hoc inquires as requested from the MRM COO, Head of MRLM or the CSi/CSSL Market Risk Head
Lead and management of a global team of 20+ staff and corresponding BOW's

124

VP Field Management Operational Risk Resume Examples & Samples

Assist Field Management Operational Risk Office in key strategic priorities such as the monthly risk review, Risk & Control Self-Assessment, and data remediation projects
Coordinate Financial Advisor and Client Service Associate error reviews with appropriate support teams such as Risk, Operations, IT and the Field
Work on an improvement process for policies and procedures within the wealth management branches
Track internal audit open action plans for Field Management division
Coordinate with Complex Office teams to prepare for Branch Exams and Internal Audits and identify trends in published exam and audit findings
Plan coordination and monitoring for Field Remediations
Coordinate new metrics and key risk indicators (KRI’s) with internal audit and compliance
Represent Field Operational Rick in technology prioritization meetings and forums when relevant
Attention to detail, project management and organizational skills will be key in balancing daily deadlines

125

Executive Director, Operational Risk Resume Examples & Samples

Fulfilling the role of CIBC’s second line of defence in the management of operational risk by challenging the business lines’ inputs to and outputs from CIBC’s risk management, risk measurement and reporting systems and programs. The role covers all of Operational Risk in the US Region including Capital Markets, Wealth Management and related Infrastructure groups. This is a key role in the three lines of defence model and it requires a deep understanding of the business as well as the ability to challenge senior employees of the Bank in a constructive manner
Providing ongoing oversight and assessment and continuous challenge of CIBC’s operational risk exposure through the use of various risk identification and assessment tools, metrics and inputs. These are key enablers of CIBC’s operational risk program and as such, the proper application and oversight of the tools/metrics/inputs are an important part of CIBC being able to manage and monitor its operational risks. In addition to applying the tools, the role is also expected to provide input into refining and improving the tools as part of a continuous improvement process. Examples of the inputs/ tools are; MRA’s, emerging risks, external event reviews, loss scenarios, KRI’s ,operational losses, Operational Risk Capital, Controls, Deficiencies, BEF’s, Audit Reports, ORP’s and process maps
Collaborating with the business units and functional groups to ensure that operational risk and control policies, procedures and standards are communicated within the region and to provide appropriate education and training, including facilitating the regional businesses assessment of operational risk and controls through the Operational Risk Profile program (ORP)
Providing operational risk advice to business lines to enhance the management of operational risk, including advising on risk analysis and mitigation strategies in order to identify opportunities to identify and mitigate product, business and enterprise risk exposures as efficiently and effectively as possible and developing executive communications pertaining to operational risk issues
Promote a strong ‘Controls and Operational Risk Culture’, which includes managing senior internal relationships to promote acceptance and implementation of operational risk and control framework programs
Staying current in regulatory changes and industry best practices in operational risk management to ensure CIBC operational risk management meets regulators’ expectations and is effective and efficient
Following-up with respective LOBs as assigned to encourage remediation of deficiencies identified in the control self- assessment process, implementation and monitoring of KRI’s and continual development of business specific and applicable scenarios to identify and mitigate risk
Ensure all limit breaches within the Region are correctly classified as to the nature of the breach and coordinate drafting of incident reports for real breaches with front office and the relevant risk managers in Canada
Internal relationships include: other members within Global Operational Risk Management (GORM); risk associates from other second defence (e.g., Compliance, Legal, Finance, Risk etc.) groups; risk associates from the third line of defence (Audit), and first line of defence representatives from the business units and functional groups within the bank
External relationships include: regulators (e.g., Federal Reserve, NYS, OSFI) and industry associations (e.g., GARP, RMA, ORX, Canadian Bankers Association)
A university degree and professional designation (e.g. MBA, CFA)
Specific subject matter expertise in the business portfolios being supported
8 to 15 years of relevant work experience is desired
Excellent analytical, communication and interpersonal skills
Good conceptual thinker
A relationship builder
Highly proficient computer skills including Excel, Word, Access and PowerPoint
Ability to manage multiple projects and/or initiatives simultaneously under tight deadlines
Understanding of CIBC businesses will be a plus; and
Ability to demonstrate CIBC’s core values (i.e., trust, teamwork and accountability)

126

CCB Risk-operational Risk, ED Resume Examples & Samples

Lead a team to provide oversight of RCSA activities to verify conformance to RCSA standards through Independent Challenge
Develop positive working relationships influence on multiple, divergent stakeholders
Maintains a consistent track record, factoring in the impact of adverse risk/control issues
Identifies process improvements and efficiency enhancements; eliminates unnecessary bureaucracy
Provides thought leadership/advice and engages in constructive debate
Bachelor’s Degree required, Advanced degree preferred
At least 7-10 years’ experience in Operational Risk, Audit or Compliance highly desirable
Excellent analytical and problem-solving skills with an ability to visualize, articulate, and solve both complex problems and evaluate correlations and synthesize insights

127

Operational Risk Prf Resume Examples & Samples

Assist in the SOX compliance analysis, which includes the following components
SOX Scoping analysis
SOX Deficiencies aggregation analysis
ICFR Fraud Risk Assessment analysis
Manage the SOX Access Database
Audit Committee presentations
Assist with SOX project management tasks, including
Manage the annual walkthroughs process
SOX issue management process
SOX Testing tracking and reporting
1 – 4 years of related work experience
Strong working knowledge of Microsoft Excel, Word, PowerPoint
Strong working knowledge of Visual Basic Access Database and Excel Macros
Experience in Sarbanes-Oxley compliance, risk and controls, including governance frameworks such as COSO and COBIT, etc
Self-motivated, pro-active, and result-driven problem solver with excellent analytical skills

128

Operational Risk / Risk & Control VP Resume Examples & Samples

Make History: Be part of the launch and success of this strategic utility business
Play a key role in the evolution of the utility: Innovate and develop best practices for the entire industry
Gain recognition and build on your existing success: Become part of a highly respected team and revenue center
Apply your knowledge: Innovate and develop best practices for the entire industry
Assist in the implementation of the Operational Risk & Control Management Framework
Partner with colleagues in Operations & Technology to embed the framework into the culture and day to day operations of the DU organization
Interact with DU Operations and IT managers, along with FIS Legal and Compliance functions, RISC colleagues and Internal Auditors to ensure management of day-to-day and emerging risks
Contribute to weekly and monthly Risk and Control meetings
Review SLA, KRI, KPI and MI reporting prepared for Participants (external clients) to proactively identify problematic trends and initiate actions with line managers to remedy issues
Perform Risk and Control Self Assessments (RCSAs), including assessing the design and implementation of effective control activities
Perform ‘deep dives’, reviews and Risk Incident Investigations to understand drivers of risks, root causes of risk incidents and to recommend appropriate mitigation actions
Assist the DU in addressing control deficiencies that surfaced as a result of a risk incident or from an internal audit, RCSAs or regulatory review
Drive best practices across business areas and regions to ensure consistency and adherence to policies and procedures in support of control activities. Partner with DU managers to draft/update procedures to ensure appropriate control activities are established to support each process
Lead risk and control training and awareness program across the DU
Facilitate internal and external audit requests for information
Strong understanding of the front to back Operations process, specifically Derivatives Processing (confirmations, settlements and margining)
Overall 5+ years relevant experience
4+ years investment banking experience
Prior Operational Risk Management (ORM) experience at a major investment bank preferred, but not essential
Experience with Control Testing, or understanding of COSO (or equivalent) preferred

129

Cib-americas Operational Risk Oversight Resume Examples & Samples

Assist with the identification, assessment, measurement, mitigation, and monitoring of operational risk through consumption of information from risk events (internal and external), risk assessments, and scenario analysis
Provide analytical support to the ORO team to facilitate root cause analysis of issues and risk trend reporting
Partner with senior team members to provide ORO coverage of all lines of business/functions across the CIB
Perform deep dive analysis to identify themes and trends in areas of emerging risk
Assist with ORO presentations for various constituents and levels of management
Gather and analyze data, reports, and other documentation to determine inefficiencies, gaps in process/procedure, and data integrity
Understand and comply with Operational Risk Policies, Standards, and Procedures
Work closely with other Risk Management groups and key control functions including Compliance, Audit, and Oversight and Control (O&C)
Seek, develop, and facilitate strong working relationship with control partners
Support the Business on risk assessment of change initiatives across the Americas, providing oversight on a portfolio view of change initiatives – as well as working with Technology and Corporate Operational Risk (COR) to ensure that ORO remains aware of business change, relevant to the risk decision making process, and a trusted partner to change initiatives
Review high risk new business initiatives and off shoring/outsourcing activities
Collaborate and coordinate closely with Business Control Officers to ensure OR standards are communicated, understood and applied consistently - review adherence to ORMF, governance, standards, policies & framework across LOBs, functions and countries
Participation on, and oversight of, monthly Regional/LOB/Functional Operational Risk Forums
Promoting function consistency and adoption of best practice
Requires a minimum of 6 years of financial services experience within a Risk, Finance, Operations, Audit and/or Compliance discipline
Bachelor's degree in a relevant field and experience within the financial services industry are required
Good understanding of the trade lifecycle
Experience in risk identification, sampling methodologies and control testing, control evaluation, the control self-assessment process, audit processes, and using key risk indicators
Proficiency with the Microsoft Office product suite is required; Word, Excel, PowerPoint, and Visio
Hands-on experience with Operational Risk Management systems is preferred
Ability to communicate ideas in a clear, concise manner across all levels of the team and management
Creative self-starter with strong initiative, ability to take ownership and work independently
Good planning, coordination, and implementation skills - and the ability to work across businesses and functions
Excellent analytical and problem solving skills, as well as time management and prioritization skills
Experience implementing change and business process improvement
Ability to understand business functions quickly, assess the operational risk impact of control issues, communicate findings, and develop recommendations for resolution
Proven ability and desire to learn quickly, be flexible, and think strategically. Strong theoretical and practical knowledge of OR - practical experience in applying and managing an OR framework in financial services
Understanding of regulatory requirements as they relate to best practice risk & control
Strong appreciation of governance
Role is based in New York / midtown Manhattan

130

Operational Risk Department Policies Resume Examples & Samples

Manage global team to oversee development, review, and maintenance of Firm’s operational risk policies and procedures in compliance with Firm and regulatory standards
Manage global team to develop, deliver, and administer employee training on operational risk and related risk education topics, including technology related courses
Implement governance standards over operational risk policies, procedures, and training to ensure all content is accurate, effective, and complete with appropriate documentation
Ensure operational risk documentation reflects regulatory requirements and current business practices and priorities
Provide editorial guidance and quality assurance to document owners of Firmwide, divisional and legal entity policies and procedures within operational risk
Manage and track progress associated with the annual update of operational risk documentation, including any new projects, regulated to policies, procedures, and training
Identify gaps in process and technology, provide business requirements and work with the subject matter experts to document and socialize requirements
Oversee the operational risk policy, procedure and training inventory. Manage administrative record-keeping requirements including all related documentation in compliance with Firm standards
Bachelor Degree with a minimum of 6-8 years of experience in financial services. Prior experience in business management, risk management or corporate compliance required; operational risk experience preferred
Experienced and proficient business writer; previous work experience in policies and procedures; corporate regulatory and compliance training programs
Strong verbal communication skills and experience in managing relationships with senior stakeholders; proven track record influencing others to facilitate and achieve results
Excellent presentation skills. Requires the ability to deliver concise and effective executive level presentations, along with providing decision support information for management
Experience with managing and developing talent; capability to build and develop a high performing team
Highly organized with keen attention to detail; Strong problem solving capabilities
Ability to adjust to shifting priorities and to meet multiple demands
Proficiency with Microsoft Office Tools (especially Word, PowerPoint and Excel); ability build presentations based on high-level guidance

131

Global Operational Risk Framework, VP Resume Examples & Samples

All other teams within global ORD
Key Operational Risk Coordinators (“ORCs”) within the business and support functions
Liaison with Internal Audit and Compliance where relevant
Design, development and / or enhancement of ORD Framework components; including seeking input from subject matter experts where appropriate
Socialization of any proposed changes within ORD and across the ORC community to confirm agreement and practicality of application
Liaison with ORD Technology and Metrics teams to develop the appropriate infrastructure to support the framework component
Liaison across the ORD Framework team to ensure integration of all framework components
Production of presentations and supporting policy, procedure and training documentation in liaison with the relevant ORD and training teams
Central program governance (including all appropriate governance forums to support program execution, e.g. ORD Programs Committee, Working Groups etc)
The ideal candidate will have strong previous experience at an investment banking institution or a background in management consulting with a track record of rapidly acclimating to a fast-paced and constantly changing environment while working under pressure
Operational Risk background and/or prior Operational Framework experience either at the business or firm level is required
MS Office proficiency: The candidate must have strong power point skills and a strong capability in visual representation of information and data, and have experience in creating succinct and relevant presentations
Communication: Excellent oral and written communication skills and a proven ability to work in a fast-paced and high pressure environment
Communication: The ability to actively and proactively engage with key stakeholders and successfully influence the stakeholder community

132

VP-operational Risk Resume Examples & Samples

Awareness of the bank's approach to management of operational risk
Provide assurance that controls are effective through reviewing self assessments or performing Quality Assurance checks
Help develop an operational risk culture by providing necessary training and raising awareness of the staff
Liaise with Audits and Inspections and track the findings for resolution and closure

133

Operational Risk Resume Examples & Samples

Project management of the implementation of enhancements to the risk assessment program
Facilitating the risk assessment process, including: establishing and communicating risk assessment timelines, tracking and escalating completion status, providing status reporting, providing guidance on how assessments should be completed
Working with the systems project manager and business analysts to ensure the risk assessment application reflects the methodology, is fit for purpose and user friendly
Providing training and functional support across a range of departments on the risk assessment methodology and use of the risk assessment application e.g. answering questions on how to complete or make changes to the risk assessments
Working with the metrics team to design, enhance or modify reports on the assessment outputs
Analyse the risk assessment data to draw conclusions on the risk assessment profile of the entity and group
Providing risk assessment metrics and reporting to senior management and governance committees. The reporting will include: completion status of the assessments, trending and analysis of the output from the risk assessments, changes to the risk assessment profile at an entity or group level
Proactively thinking about changes in the business, how these impact the existing risk assessment program and working with the Operational Risk Analysts to facilitate the assessment changes
Remaining current on business, regulatory and industry changes that may impact the business and the associated assessments
Minimum of 4+ years’ experience within operational risk (product knowledge across investment banking business areas is an advantage)
Strong organizational skills – able to ensure delivery against set timelines
Strong project management skills with experience of working in an environment of constant and rapid change
An understanding of risk and control assessment methodology
Strong attention to detail and excellent data analysis skills
Proven stakeholder management experience, working across multiple locations and jurisdictions
Enthusiastic, intellectually curious and seeks to understand the different areas of the firm
Ability to work in a fast paced environment, with a strong delivery focus
Strong verbal and written communication skills – able to present to senior stakeholders with impact and influence
Knowledge of regulatory requirements under the Basel framework
Possess a Bachelor degree

134

CCB Risk-operational Risk Oversight Resume Examples & Samples

Completion of testing activities to verify conformance to RCSA standards through Independent Challenge
Work with Operational and Control Officer personnel to obtain and review artifacts necessary to evaluate select RCSA elements (e.g. content, test design, rationale and support for control ratings) and form risk based conclusions
Verify conclusion accuracy with Business Owners and Control Officers
Lead, or participate in, other operating risk and control initiatives as assigned
Minimum of 4 years experience in Control, Risk, or Audit
Bachelor’s degree in Accounting, Finance, Business Administration or related discipline
Prior financial Institution experience is required
Ability to work independently and in a cross functional team environment
Solid understanding of operational risk and controls
Prior experience with RCSA design and testing is strongly preferred

135

Director, Capital Markets Operational Risk Resume Examples & Samples

Risk & Control: Risk Program Management and Governance
Build strong relationships and provide proactive thought leadership, advice and communications; ensuring that operational risk issues are identified, understood and managed effectively; also provide communication and education to raise awareness of “what a good internal control discipline” is and requires
Act in an oversight capacity, monitoring operational risk management and mitigation
Provide expert advice to Capital Markets executives on matters within the Operating Group and involving other Operating Groups through participation on cross-functional teams for operational risk related work, ensuring appropriate involvement and assessment, as required
Implement 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
Organize, execute, and participate in the execution of the ORMF processes and tools including
University degree with 7 to 10 years post-academic experience, with 3 to 5 years in a financial institution
3+ years of 1st Line business experience is considered an asset

136

Operational Risk-head of Asean Resume Examples & Samples

Ensuring compliance with ORM Policy and Standards for all legal vehicles in ASEAN Region - along the following dimensions
KOR/KRCI development jointly with Business, approval and monitoring process (Quarterly)
Develop and maintain an Independent View of the Business Risk Profile
Scenario Analysis challenge
Operational Risk Policy compliance
New Product Approval Process (NPAC, CPAC, DPAC, Insurance and Investment Committees)
MCA challenge (Quarterly)
Oversight of in business Data Quality Processes and Procedures
Risk Identification Analysis and Assessment
Identify trends, themes, tendencies that indicate emerging operational risks
Proactively analyze various data sources to form an independent assessment/opinion of op risk
Use leading indicators and metrics to identify areas of potential and emerging risk
Leverage knowledge of the current economic, regulatory, and business environment to proactively identify potential risk
Work with other second line of defense functions in the identification, analysis and assessment of key operational risks as relevant for individual businesses
Perform Thematic Risk Assessments and reviews as required to identify risks or causes leading to significant risk events
Escalate operational risk events as appropriate
Op Loss Analysis: understand how losses were incurred, determine lessons learned, identify root causes and use for risk mitigation activities as outlined below
Review and approve new product proposals/product programs as well as the sale or purchase of any business

137

Field Operational Risk Control Team Director Resume Examples & Samples

Define and execute test scripts across a wide variety of Wealth Management Field operational areas, including risk, service, branch management and home office functions; targeting controls that support inherent high and critical Field Management risks
Source testing data from firm systems and/or liaise with wealth management branches to obtain key test information
Identify opportunities for operational improvement and/or remediation and assist with corresponding change management activities, including: requirements development, process design, policy/procedure revision, etc
Support a variety of operational risk management initiatives and special projects, including targeted risk assessments and remediation projects
Work with Partner teams to analyze QA testing processes and identify opportunities for internal team efficiency gains
Support the development and maintenance of team procedures, risk management tools and data repositories
At least five (5) years of Financial services experience in internal audit, compliance and/or operational risk management disciplines (some managerial/supervisory experience preferred)
Must be proficient in Microsoft Excel, Word and PowerPoint (familiarity with Access is a strong plus)
Bachelor’s Degree, preferably in a business, engineering or technology discipline

138

Operational Risk Group Manager Resume Examples & Samples

Be a thought leader, developing strategy across SSO controls
Act as single point of contact for key business sponsors, Operations heads and other risk and control organisations, providing a holistic view of operational risk and regulatory activities from all sources (e.g. Operations, Regulatory, Business, Compliance and Internal Audit)
Proactively manage key operational risks through close working with operations managers and support group functions, e.g. Compliance, Internal Audit, product control
Advise on key operating risks, the appropriateness of controls, opportunities for improvement and best practices
Oversee the SSO Control Assessment (MCA) program globally, ensuring proper and consistent coverage and evaluation of operating risks and controls
Ensure oversight and reporting of corrective actions, including advising on development of appropriate and timely actions plans, monitoring of significant issues with management and validation of issue closure
Work with businesses to ensure internal and external audit preparedness, the co-ordination of audit fieldwork, providing support throughout execution and closing
Ensure the effective operation of a suitable governance framework for the oversight and reporting of key risks and controls
Review key metrics, significant control events and deficiencies (eg operational losses/fraud)
Initiate further investigation / trend analysis and remedial action as necessary
Deputise for the Global Head of O&T Risk & Control in certain forums as required

139

Operational Risk Resume Examples & Samples

Review the existing control environment of the group and ensure that it is documented on a consistent basis
Work with other support functions to enhance second line controls, including automating the monitoring processes
Develop the reporting of the results of the control activity
Experience of monitoring and developing first and second line controls in a financial services environment
Experience within a private wealth management and/or asset management environment
Good knowledge of regulatory expectations and industry best practice in this area

140

SVP of Operational Risk Resume Examples & Samples

Collaborates with lines of business by acting as an advisor to identify and assess operational risks that influence their business and ability to meet established strategic objectives
Assists in documentation and quantification of the organization’s risk appetite
Facilitates management in the investigation and analysis of root causes, patterns or trends that could result in risk events
Builds risk reports for different audiences, so that they understand the most significant risks and to ensure they are aware of risks relevant to their parts of the business and for individuals to understand their accountability for individual risks
Assists in compiling monthly, quarterly summary and ad hoc reports for the Senior Management Risk Committee on the current state of business risk. This includes development of risk dashboards, as well as watch lists that document action items and supporting materials for controls
Stays abreast of emerging issues involving operations risk and changes to federal and state banking laws, rules and regulations that could impact the organization
Assists in the education and training of management and staff as to the operational risk management program and their respective responsibilities in carrying out the operations risk management program
Coordinates monitoring and testing of bank and department specific operational controls; provides feedback and recommendations regarding the effectiveness of the controls to the Chief Financial Officer (CFO) and Department Manager; reviews issues and recommendations with Internal Control for tracking of resolutions
Works closely with the vendor management program owner to ensure proper controls are in place across all vendors and owns the Bank’s affiliated vendors, inclusive of due diligence, reporting and oversight of their service level agreements, remediation and risk mitigation
Works with department managers, the Bank’s Information & Cyber Security Officer, CIO, and Compliance Officer to ensure business continuity, disaster recovery and incident response plans are effective, policy standards and regulatory requirements are adhered to and make recommendations for policy, program and procedure updates based upon regulatory guidance and corporate standards
Works with Project Managers and Business Line Managers to identify operational risks associated with new and existing products, services, technologies, vendors, processes and procedures to ensure that risks are effectively managed and commensurate with the expected return
Is responsible for the initial and on-going risk assessments and control assessments as required under regulatory requirements and FFIEC guidance. Risk Assessments include, but are not limited to Products & Services, Technology, Vendor, ACH, Electronic Banking, Lending, etc. This entails the support and direct utilization of the bank’s risk assessment and BCP / DR platform. Candidate will periodically review system requirements and deliverables, as well as evaluate vendors’ road map, as it relates to the bank’s strategic objectives and regulatory expectations
Coordinates with the Enterprise Risk Financing & Insurance group to manage the Bank’s Insurance Policy Program, including but not limited to Cybersecurity, D&O, Property & Casualty, and General Liability Insurance Coverage, to ensure that the bank policy coverage meets bank expectations and is appropriate for the risks
Manages the Bank’s FDICIA Review Process, working with Business Lines to assess the effectiveness of the identified financial controls
Maintains and reviews the Bank’s risk management policies
Works directly with vendors and consultants to ensure a strong Operational Risk program; maintains relationships with auditors and examiners to understand expectations of both parties and to maintain satisfactory audit and examination results
Performs periodic review of user access and maintenance performed in the I.T., Cash management and Electronic Services areas. This will require a solid knowledge of I.T. and new and emerging payments
Bachelor’s degree or equivalent combination of education and experience required
8+ years experience in a risk management role in a financial institution, debit and/or credit card industry; or 8+ years of progressive risk management experience as a regulatory examiner
Direct leadership experience required
Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
Strong ability to make difficult decisions and to hold individuals accountable
Strong interpersonal/leadership skills, diplomacy, and customer oriented attitude and mindset
Solid understanding of financial services industry, association rules, banking regulations and operating procedures, and processor systems, Regulatory agencies such as SEC, PCAOB, FDIC, CFPB and FFIEC, and Generally Accepted Accounting Principles
Intermediate MS excel, powerpoint and word
Professional certifications such as CRMA and/or CRCM
Risk based software
Exposure to IT platforms, systems and knowledge of change management and patch management protocols

141

Senior Operational Risk Opportunity Resume Examples & Samples

Operational Risk Management - in depth risk profiling, controls assurance, KRI's, project management etc
Monitoring, assessing and reporting on risk registers, breaches and incident management
Conducting business unit analysis and providing ORM support and advice to the Line 1 teams

142

CTC Risk Operational Risk Executive Director Resume Examples & Samples

Proactive analysis of operational risks within the business
Understanding the key processes and functions performed by the business unit
10+ years of experience in financial services industry, with specific experience in Operational Risk, Finance, Business Management, Audit, Compliance or other controls related area a must
Solid RCSA and operational risk management experience
Ability to develop constructive relationships with functional partners
Ability to drive and deliver results with limited supervision
Analytical and problem-solving skills, inquisitive nature and comfort challenging current practices
Bachelor’s Degree in business administration, finance or related field

143

Operational Risk Manager KYC Resume Examples & Samples

1) Project Management and Administration
3) KYC/AML Processes
Minimum of 5 years working experience with at least 3 years in the financial services industry
Strong computer skills and knowledge of software programs, MS Office (including extensive PowerPoint and Excel)
Proven experience in working on large multi-faceted projects, spanning functional, business and geographical partners (without direct reporting relationships) in a complex global organization
Familiarity and/or experience with corporate and institutional banking products and services
Familiarity and/or experience with KYC/AML rules and regulations
Strong organizational and execution skills with an ability to stay calm under pressure and remain flexible, yet focused in a constantly changing environment
Ability to operate effectively and efficiently in a fast-paced organization, with attention to detail and accuracy
Practical individual who thinks creatively and uses sound judgement to resolve issues and facilitate progress against objectives
Proactive and positive team player with superior communication and influencing skills to drive and enable the achievement of the team’s goals and objectives
Comfortable operating in a heavily-matrixed global organization to tight deadline and resource constraints

144

Operational Risk Transformation Programme Transformation Lead Resume Examples & Samples

Delivery assurance of the country plans, working with the local LoB Lead BRCMs, Function Lead BRCMs and Risk Stewards and central ORTP programme team to ensure programme alignment (consistent approach to delivery) and plan integration (ensure that there is an integrated plan for implementation across the country)
Responsibility for ‘air traffic control’ of the implementation of ORTP in the country
Single Point of Contact for the country for matters relating to the ORTP implementation
Tranche issue management; identifying issues and risks as they arise and effective reporting and management/mitigation of these
Tranche reporting; establishment and production of MI to monitor ORTP status and progress within the country
Work with the local LoB Lead BRCMs, Function Lead BRCMs and Risk Stewards and central ORTP programme team post implementation to develop and implement an embedding strategy for the change in the country
Establishment and management of Local Working Group as ORTP forum for local LoB Lead BRCMs, Function Lead BRCMs, Risk Stewards and Ops Risk Oversight team
Ensure engagement and comms are appropriately co-ordinated across the country
Identifies the resource requirements of the programme, requesting the appropriate resource by skill set and/or experience, through the Global Transformation resource management process. Works with the business and delivery partners to ensure adequate resource is provided to the programme
Efficient and appropriate use of resources forming an effective programme leadership team, with the right blend of skills and good working relationships
Ensures good project induction and orientation – i.e. the team understand the programme context; programme and workstream structure/content, stakeholder importance and how this links to HSBC strategy
Defines high level responsibilities and objectives for project and programme teams
As a role model, encourage collaboration and team work within the programme and with other teams
Able to form effective international and multi-disciplinary teams (resources from Global Transformation partners, business partners and externals)·
Maintain a strong focus on people development and ensure programme resources receive any necessary training and support particularly on the Global Change Delivery frameworks
Provides regular constructive feedback and coaching to individuals to support their development and career progression
Drive a performance management based culture to improve and drive efficiencies and performance including the effective management of underperformers
Leads performance management process around objectives, review and calibration within the programme
Promotes the Group’s Values and strategy by creating a positive work environment and promoting teamwork to drive Global Transformation engagement
The vision statement for Transformation is “To be the businesses’ primary change partner, support the implementation of the Group Strategy and make change a source of sustainable competitive advantage for HSBC”
Programme Managers manage a significant change programme. Programmes can typically be across more than one country, primarily impacting on a single business line or function and can be made up of projects to execute the change and may include sub-programmes to deliver specific outcomes. Programme Managers are required to lead the change initiative, take strategic decisions, operate at an executive level and manage global stakeholder and sponsor relationships. Programme governance must be established in line with Group transformation governance
The jobholder will not be subject to close supervision, and will be expected to exercise independent initiative and judgement in proactively overcoming obstacles to success, dealing with uncertainty and changing circumstances, such as interdependencies, opportunities or risks. He / She will be expected to adopt an agile and flexible approach to work and an outstanding level of professionalism and conduct
The Programme Manager role is distinct from the Senior Programme Manager role in the scale, complexity and importance of the programmes they manage
The role holder will operate within the usual authority limits for a Programme Manager
The job holder leads programmes that deliver transformational change
The jobholder is required to manage and control costs/investments within the agreed budget and will be accountable for delivering strategic goals of Global Transformation on behalf of Global Head of Global Transformation
Excellent understanding of Global Transformation Business Transformation Frameworks, methodologies and best practice techniques
A thorough understanding of the purpose, values, culture and fundamentals of the Global Transformation
Outstanding understanding of HSBC Group structures, processes and objectives
Strong understanding of banking / HSBC and understanding of how change drives benefits for HSBC, its customers and other stakeholders
Understanding of the delivery organisations within HSBC – global mindset, understanding of delivery partners etc
Proven ability to work across the country whilst maintaining a global perspective
Evidence of ability to make key strategic decisions
Delivery of large scale complex programmes at pace, developing high performing interchanging teams to support delivery at each stage
Strong people and team management experience
Proven implementation, change management and benefits realisation experience
Process Re-engineering
Risk and Issues Management
Global Mind-set
Lead Self and Others
Impactful communication
Delivery at Pace
Embracing change
Achieving excellence
Problem solving and Critical Thinking
Prince2 - Optional
PMP training or Certification - Desirable
Managing Successful Programmes (MSP) - Desirable
Any relevant local banking qualifications such as ACIB (Associate of the Chartered Institute of Bankers)

145

Assistant Manager Consumer Business Operational Risk & Controls Resume Examples & Samples

Assisting the ME BOF function and Bahrain CBORC lead on following aspects
To ensure through prescribed inspection that the branches are adhering to standards, and practices established by the business in daily operations to meet the larger objective of branch governance
To coordinate and perform BOF activities as per asks from BOF chain at a country level in close coordination UAE BOF head
Conduct branch oversight visits and examine operational compliance
Perform as Independent Reviewer to evaluate the control environment of branches and identify branch risk exposure
Manage escalation on security violations, operational losses, frauds, and control gaps linked to functioning of branches
Conclude and highlight findings of Branch Risk Assessment to senior management
Engage in the new process design as well as re-engineering process
Assist in preparation and conducting of BRCCs to ensure coverage of key risks and meet all requirements of the BRCC charter
Assist in end to end deep dive reviews of processes, systems, controls and compliance obligations to identify weaknesses and process improvement opportunities
Timely delivering ‘validation’ of issues
Ensure escalation protocol is followed
Proactive engagement with Legal, compliance and ORM functions
Broad knowledge of Consumer business
Very good team player with positive attitude
Very good organisational and communication skills
Strong proactive mentality
Ability to challenge where necessary
Consumer business experience, preferably across various products/functions
Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience
Previous audit/control experience is preferable
Knowledge of back-office or branch operations / or audit experience

146

Operational Risk Administrator Resume Examples & Samples

Assisting the team with management of the Incident end-to-end process
Generating, formatting and printing documents ready for meetings
Advanced Excel skills including use of pivot tables, VLOOKUPs etc
Good Word and PowerPoint skills

147

AVP, Operational Risk Resume Examples & Samples

Designing and implementing the overall Operational Risk Mnagement Framework including a common risk language and taxonomy, clearly defined processes, documented in appropriate policies and operating guidelines
Utilizing the framework for risk identification, risk measurement and aggregation, risk assessment and reporting, and risk management and mitigation
Working in partnership with Enterprise Services to design and implement an enterprise wide process for conducting operational risk based scenario analysis workshops
Coordinating quarterly OSFI meetings with respect to Operational Risk
Working with the business groups and functional areas to enhance the identification and reporting of key risk indicators (KRIs) that support the business in measuring, monitoring and managing Operational Risk
Support the VP Operational Risk Management in developing the overall vision for the enterprise wide framework for operational risk management and its implementation in accordance with the project plan. Ensure that the development and implementation of the individual components align within the overall framework
Manage the operational risk team for the development and implementation of the framework and its utilization for effective operational risk management
Continue to enhance the enterprise wide process for the collection of operational risk and loss events. Work closely with Business Groups and functional areas to determine existing event reporting processes to design an efficient and value adding process for each business group to collect and categorize operational loss events according to a standardized operational risk taxonomy
Analyze both data received from ORIC, as well as external events occurring in the media to determine lessons learned that can be applicable to SLF. Develop the process necessary to integrate the external data into the Operational Risk management Framework
Continue to enhance the design and implementation of an enterprise wide process for Risk and Control Self Assessments which will allow first line operational risk owners to score the exposure of specific processes to operational risk and evaluate the integrity of controls that are currently in place
Assist in the development, maintenance, communication, and oversight of SLF’s implementation of the Operational Risk Appetite Framework
Assist in the development, maintenance, and implementation of the Operational Risk Reporting function, including Operational Risk Reports and Dashboards
Development and implementation of a process to monitor status of action plans to address operational risk issues, medium and high residual risks reported in the Risk and Control Self-Assessments, and any actions stemming from root cause analysis
Continuous development and maintenance of the Operational Risk Taxonomy
Requires thinking within a general frame of reference toward functional objectives in situations with nebulous, intangible or unstructured aspects
Planning and organizaton: Creates long-term plans to carry out functional or cross-functional objectives established by top management
Direct operational risk management experience within a major Federally Regulated Financial Institution, preferably in the Corporate Operational Risk department in a methodology and/or reporting function
In-depth understanding and direct experience with the development or implementation of
Direct experience in oversight and implementation of risk management frameworks in large – preferably multinational – federally regulated financial institutions
7+ years’ experience in Risk Management and Financial Services industry
Technical operational risk management knowledge
Advanced degrees in Finance or relevant quantitative subjects would be an asset
Excellent coordination and process management skills
Technical knowledge of risk management

148

Operational Risk Intern Resume Examples & Samples

Support in the execution of strategic projects and global reporting tied to Banking and Payments cross-functional risk and security initiatives
Interaction with Banking and Payments RISC Liaisons responsible for driving progress and executing on initiatives in motion
Manage multiple, changing priorities and execute within short timelines to deliver results through active project management, issue identification and remediation, real-time plan adjustments and status reporting
Assist in developing ongoing reporting that can be built into business processes tied to the enterprise strategic enhancement initiatives
Performs root cause analysis of assignments to identify process improvements
Applicant must be currently enrolled in collegiate coursework at an accredited university
Demonstrates strong computer skills, with advanced working knowledge of MS Excel is preferred
Possesses outstanding interpersonal communications (both written and verbal), and human relations skills
Self-motivated and possess mature time management skills
Information Systems, Accounting, Finance, Communications, or General Business majors preferred

149

VP-operational Risk Ccar Team Resume Examples & Samples

Working with stakeholders across Market, Credit and Operational Risk, Model Risk Management, Risk Analytics and other areas to ensure adherence to regulatory guidance and best practices
Using quantitative abilities to work on stress testing methodologies
Writing Operational Risk CCAR documentation and producing presentations to effectively communicate key information at CCAR governance forums to senior management, regulators executive management and the Board
Assisting with the development and maintenance of a project plan for the Operational Risk CCAR process
Aiding with the quarterly risk identification process
Enhancing processes to 1) support governance and controls, including attestation, challenge and senior management review and 2) ensure deliverables and documentation remain current and meet regulatory expectations
Supporting coordination and requests for Internal Audit, Regulatory Exams, and Compliance Assessments
Excellent communication skills, both verbal and written, and an ability to present ideas concisely and persuasively
An understanding of risk management concepts such as statistics, stress testing and scenario analysis
A general understanding of CCAR Operational Risk Methodology and approach
Interest in financial services and risk management
Ability to work on challenging assignments in a dynamic environment, synthesize information, distill relevant facts and reach logical conclusions

150

Operational Risk Resume Examples & Samples

Administration of the Governance Framework for Electronic Trading Operational Risk across the Firm
Oversight and challenge of risk management in the first line business and technology organizations
Develop models to quantify risk associated with specific systems and/or trade flows
Analyze operational risk data (typically Incident Data, loss events, metrics or assessment results) to identify areas of excessive risk
Investigate what is causing control metrics to deviate from trend and escalate situations that pose excessive risk
Facilitate operational risk event collection, perform detailed reviews of events, track remediation, conduct trend analysis and reporting
Work with senior stakeholders within the business and federation divisions, strengthening and developing the risk framework and its individual components
Contribute to the advancement of operational risk methods and practices and the operational risk management framework
Strong product knowledge of electronic trading and understanding of trading flows
Exposure to execution algorithms- either as a trader, business manager or technologist
A current understanding of Electronic Trading regulatory frameworks and familiarity of regulatory agencies and applicable regulations

151

Head of Operational Risk, RBS International Resume Examples & Samples

Supporting and overseeing the implementation of an appropriate risk appetite across the business, providing input and challenge to the business's risk monitoring and reporting
Providing direction and subject matter expertise on all aspects of operational risk policy and management
Overseeing and challenging the 1st line of defence on the effective management of its risks
Strong influencing influencing up to executive and senior management level
A track record of delivery across multiple businesses, involving complex stakeholder, process and technology issues
The ability to operate successfully across multiple jurisdictions

152

Operational Risk Resume Examples & Samples

Collecting large amounts of unruly data and transforming it into a more usable format
Solving business-related problems using data-driven techniques
Analyze order and patterns in data, as well as spotting trends that can help mitigate risk
Perform daily qualitative review of risk data including internal/external incidents and Issues to identify risk themes and data quality issues
Own monthly and quarterly risk management reporting of Fraud-relevant data
Production of fact pack and analysis for the senior coverage teams
Producing fact pack, analysis and supporting documentation for TORs
Help with various deep dives and lessons learned exercises
Extracting and analyzing various operational risk data, such as incidents, metrics, issues and actions, scenarios, key controls and Risk Control Self Assessments (RCSA)
Presenting findings and analysis to support senior coverage teams’ decision making process
Support Deep Dive Analysis and Ad Hoc analysis of current and emerging risks
Driving market data research and collection from external sources for business environment and peer benchmarking analysis*LI-SC2
More than 5 years of working experience in international financial institutions or consulting firms, preferably in the discipline of Risk/Fraud Management
Bachelor’s degree required; economics, finance, business or another analytical discipline preferred. Master’s degree is a plus
A solid understanding of operational risk management concepts such as risk assessments, scenario analysis, loss events etc. is required
A general understand of regulatory capital frameworks, such as Basel 2 and Basel 3. Hands-on experience with RCSA and Scenario Analysis is preferred
Excellent English communication skills, both verbal and written
Advanced user of PowerPoint and Excel, experienced in VBA and other data analytics tools would be a plus
Ability to work in a team environment as an individual contributor

153

VP Operational Risk & Permanent Control Resume Examples & Samples

Excellent verbal and written communication in English, French would be a plus but is not required
Detailed knowledge of operational risk management best practices and regulations
4-5 years of relevant experience in a capital markets environment
Ability to manage changing priorities and high quality standards in a fast-paced environment
International experience or proven ability to approach complex problems with a global perspective
Impeccable work ethics
Autonomy and ability to work as part of a multicultural team
Creativity and capacity to present complex concepts clearly
Analytical and project management skills
Efficient use of technology

154

Operational Risk Modeling Manager Resume Examples & Samples

Lead, develop, implement and maintain the CCAR Operational Risk Capital models for the Bank; The model building includes, but is not limited to the acquisition of financial data (internal and external), design and implementation of multiple models that are linked to macroeconomic scenarios as provided by the Federal Reserve or internally developed by the bank, or that quantify the behavior of products in varying economic conditions over time
Play the leading role in the relationship with Banking Regulators for the Operational Risk CCAR modeling approach
Lead, conduct research and development of quantitative econometric models for forecasting operational risk
Supervise a team of 4 analysts, offering guidance, managing expectations, conducting performance reviews, and mentoring
Partner with the lines of business, corporate functions, and financial planning to enhance understanding of model risk relating to corporate risk models and ensure transparency of models used in their respective areas
Assist the SVP to ensure all models developed meet the Model Risk Corporate Standard, including defining the scope of the model, modeling requirements, and the standards
Provide project management expertise to research and implement best practices, including regularly reviewing methodologies; Support the SVP in the development and execution of overall work plan
Master’s or PhD degree in quantitative discipline, such as Mathematics, Statistics, Physics, or Engineering
10+ years of progressive and relevant experience in quantitative roles
Experience leading a quantitative team
Strong Econometrics background, including model building and hands-on experience with Operational Risk Stress Testing
AMA (Advanced Measurement Approach) modeling experience
Financial Services’ experience, to include developing quantitative models for: CCAR, capital planning, liquidity, and risk management
Strong technical skills, to include: SAS, Matlab, SQL, Excel

155

Senior Manager IT Operational Risk Resume Examples & Samples

Champion the U.S. IT Risk Management Framework and best practices within the Bank while acting as a center of excellence for IT Risk in the U.S
Develop IT Risk Management standards that align to industry best practices and ensure effective processes are in place to identify measure, manage, monitor and report on IT risks
Perform Deep Dives and scenario analysis to assess the effectiveness of controls surrounding key processes and to identify remediation for gaps to actively and demonstrably mitigate IT risks
Collaborate with Global Wholesale Technology to establish, monitor and report on Key Risk Indicators
Coordinate with Global IT Risk Management and other control counterparts to share best practices and methodologies intended to improve the control environment
Play a pivotal role in challenging Logical Access management in the region, that system access for all employees corresponds to their job function, recertification of access is performed in a timely manner within the bank’s global program, a robust process is in place for joiners, leavers, transfers, and risk gaps, such as excessive access or toxic combinations, are escalated
Monitor Cyber Security risks and the controls in place within the bank, and the understanding of the risks by U.S. senior management
Support the U.S. Operational Risk Management team with Non-IT Risk deliverables
Proficiency in VBA for Excel desired
Expertise in Operational Risk Management

156

Director, Operational Risk Resume Examples & Samples

Along with the AVP, Risk Management, will be a key resource in successfully managing a project leading to the operationalization of Canada’s Operational Risk Management program, including but not limited to; loss data capture, operational risk event reporting & analysis, risk and control self-assessments, key risk indictors and the integration of these tools into our pre-existing risk management framework in support of progress towards compliance with OSFI’s E-21 guidance
Through knowledge of suppliers, processes and customer needs will lead the development of lean processes, efficient tools and effective reporting within both the SLF Canada business and in support of our senior management forums
In partnership with corporate program owners and the target audience the incumbent is responsible for developing and keeping current a training program for operational risk in Canada that will continuously build our collective operational risk knowledge
Reviews and appropriately challenges SLF Canada businesses through an operational risk lens
In collaboration with the risk management team will look to continuously enhance the efficiency and effectiveness of second line challenge
Works directly with various functions such as finance, compliance, legal, actuarial etc… to ensure reliable and relevant communication and reporting to facilitate effective monitoring and challenge
Thoroughly supports the SLF Canada Risk Management team with all scheduled and adhoc deliverables
University degree with 8+ years of financial service industry experience and 3 or more years of risk management exposure including exposure to using and/or deploying operational risk tools and processes in a financial institution
Ability to demonstrate a solid working knowledge of effective project management and successful experiences leading/managing change
Strong working knowledge and hands on experience with MS Office products with evidence of a history of continuous improvement
LI-JW1

157

Manager Global Operational Risk Resume Examples & Samples

Assist with the development, delivery and reporting on the scenario analysis program
Play a challenge role with respect to their identification, assessment and management of operational risk
Support the business units in the development of its operational risk management programs, as well as in responding to regulatory requests for operational risk-related information
Support the business units in the development of its Key Risk Indicator Program
Support other projects and activities as required

158

Regional Head Operational Risk, AXA Asia Resume Examples & Samples

Embed AXA’s operational risk management framework and related practices including those required to meet current and future industry and regulatory requirements
Leading the AXA SA guidelines, initiatives and Group supervisory requirements on time and on budget for the region
Building and maintaining best in class regional wide operational risk profile
Facilitating Regional Operational Risk Committee
Lead Staff Training and awareness on operational risk management throughout the Region
Engender and drive a sound risk culture, working in collaboration with the Group and Local Risk management functions to support business management in ensuring their key operational risk framework is effectively embedded
Leading the implementation of Group-wide Operational Risk initiatives, guidelines and/ or standards and associated tools
Validate the adequacy of the operational risk activities performed by business management and its supporting embedded operational risk functions across the region and in the regional office
Continually improving and identifying new and effective risk metrics that inform management about trends in risk outlook for targeted areas of operational risk
Drive the development and maintenance of the Group’s operational risk framework and related policies and practices
Responsibility for the smooth operation of 2nd line Operational Risk processes, such as handling of incidents, challenge and validation tasks, regular risk reporting and assessment of new business initiatives
Taking over additional responsibilities within the Operational Risk as a Subject Matter Expert for Operational Risk Framework topics like Metrics and participation in major Operational Risk remediation projects to address control issues in collaboration with Business Risk Management and global Operational Risk Management functions
Ongoing development of the process for quarterly review/ refresh of risk profiles (includes focus on enhanced/ efficient recording and reporting on the organization’s risk recording and reporting tool)
Provide leadership, develop and drive the Operational Risk Management team towards becoming a business partner to Local Entities and make Regional Risk a great place to work
Develop staff risk management skills and knowledge with on-going training. Develop knowledge base on risk management and share knowledge within team
Contribute to promoting a positive, high performance working environment
Ensure accuracy and completeness of analyses with specification agreed through effective communication with end users
Communicate clear role descriptions and accountability statements to facilitate staff objectives setting and drive the right behaviours
Responsibility for ensuring timely delivery of Operational Risk Reports, Inherent Risk Baseline Assessments, Quality Assurance Review within Risk and Control Self-Assessment; for facilitating the annual process on operational risk appetite setting and Top Operational Risks and for identifying key operational risks and material control issues. This will include communication to Supervisory bodies, governing bodies, Executive Committee and the Risk family to assist in effective risk management communication, decision making and address
Proven track record in a Risk Management, Internal Control or Control Function role, with 10+ years experience in insurance an advantage
Degree in Risk Management, Business Management, or Finance or equivalent
Demonstrated ability to work collaboratively with senior business management to achieve a best practice outcome
Strong knowledge and experience in Enterprise Risk Management - operational risk management frameworks, methodologies, policies and practices, including published risk management standards
Ability to lead, and act strategically with good project management skills
Demonstrated ability successfully to interact with, influence and achieve the buy-in from, executive and senior business management
Strong communication report writing, presentation and verbal communication skills

159

Operational Risk & Control Director Resume Examples & Samples

College degree (BS or BA) preferably in accounting, economics, finance, statistics or related disciplines
Seven years minimum experience in financial services operations with at least two years in operational risk management
Hands-on experience with using quantitative (metrics) and qualitative tools (e.g., process narratives and flows, incident reports) to assess areas of risk and identify risk mitigation options
Hands-on experience applying risk management precepts such as separation of duties, information security disciplines, and supervisory reviews
Strong communication skills, both oral and written, including experience with business process documentation and preparing management reports using PowerPoint
Collaboration and teamwork skills and experience, including strong interpersonal skills

160

CCB Risk-it Operational Risk Oversight Risk Manager Resume Examples & Samples

Identify unmitigated or partially mitigated Business and Technology risks which can result in material financial, operational regulatory or reputational risks for the firm
Assess the risk associated with new business initiatives and change management activities
Ensure a broad, data-driven monitoring program for key risk drivers, exposures, controls, or potential operational risk events across processes
Complete deep dive reviews across a defined area of CCB
Participate and lead CCB wide working groups as assigned
Partner with the Business & Control on the assessment of Operational risks, including fraud, legal, compliance, technology, finance and other risks with specific concentration on Technology ad cyber risk
Act as a strategic advisor and risk SME at a product-specific level, and provide guidelines, and consult with the Business executives and leaders to ensure that operational risks are evaluated, controlled, and documented
4 years IT Risk or technical related role
7+ years Risk Management, Controls ITRM or other related experience required; in a banking or financial services environment preferred
Excellent risk assessment skills, including risk identification and measurement, mitigation strategy development, regulatory management, policy and procedure development
Proven ability to work in a matrixed environment, provide oversight, negotiate and directly influence change

161

CCB Risk-operational Risk Oversight Resume Examples & Samples

Provide oversight of RCSA activities to verify conformance to RCSA standards through Independent Challenge
Develop positive working relationships, influencing multiple divergent stakeholders
Promotes partnership by fostering a shared purpose, trust, and teamwork across teams, businesses, functions, regions, and levels while maintaining a distinction between the first and second line of defense
Maintain a consistent track record, factoring in the impact of adverse risk/control issues
Identify process improvements and efficiency enhancements; eliminate unnecessary bureaucracy
Provide thought leadership/advice and engage in constructive debate
Promote an inclusive work environment; respecting individuals at every level and their perspectives, and engage in diversity initiatives
At least 4-6 years experience in Operational Risk, Audit or Compliance highly desirable
Strong knowledge of regulatory compliance, and internal control principles
Excellent interpersonal and communication skills, including ability to negotiate, compromise and demonstrate diplomacy in sensitive situations and to interact effectively with executive management
Previous experience managing a team of professionals
Ability to thrive in a fast-paced, evolving work environment
Strong PC skills (Excel, Word, PowerPoint, SharePoint) with the ability to quickly learn new applications

162

Operational Risk Manager Product Resume Examples & Samples

Bachelor’s degree or higher
Accounting or legal certification
10 years of advancing experience in advisory and/or analytical risk position
Ability to influence without direct authority across multiple stakeholder groups in 1st and 2nd LOD
Ability to establish governance protocols for oversight, monitoring, escalation for new and existing processes that are not formalized
Ability to execute in a dynamic environment with senior and executive management
Strong analytical skills & problem solving capabilities
Strong executive level communication and presentation skills
Strong work ethic, ability to make decisions, & work under tight deadlines
Demonstrated skills in conflict resolution and negotiation
Proven skills and understanding of identification and assessment of risks and controls
Experience in writing policy and procedure
Limited travel required
Knowledge of operational risk-related regulatory guidance, including risk and control self-assessment, third party, and new product
Understanding of project lifecycle and project management concepts
Knowledge of risk governance framework, risk management systems and applicable guidance
Solid understanding of the banking industry, financial and regulatory requirements, product offerings and key operational processes
Experience with new product assessment process in a financial institution
Must be able to demonstrate strong leadership and guidance to senior level mangers on product related risk

163

Consumer Business Operational Risk & Control Head Resume Examples & Samples

Identification, resolution and tracking of issues
Coordination of Self-Assessment exercises (MCA)
Prevention and management of Operational Losses
Administration of Key Performance Indicators for reducing risks, oversight of the controls implemented at the Branches (BOF)
Support to the business during Audit visits, - oversight of the unit managing compliance sensitive cases (CBSU), coordination of risk control committees

164

Operational Risk Identification Manager Resume Examples & Samples

Work closely with first line of defence to develop the appropriate monitoring measurements in response to risk exposures and tolerances, such as key risk indicators. Regularly obtain and review the results of the monitoring measurements from first line of defence
Work closely with first line of defence during product development, client take-ons, transformation projects and other key corporate change activities for appropriate risk identification
Support the Head of Operational Risk in identifying and escalating heightened or out of appetite operational risks together with a clear set of recommendations to address these
Escalate material operational risks clearly to the Head of Operational Risk including rapid notification of material events as well as supporting targeted and concise periodic risk reporting and development of the operational risk capital requirements
Good understanding of the asset management industry and the risks associated with this
Good understanding of operational risk management frameworks and practices across the asset management and other financial sectors
Demonstrate skills in effective communication, professional scepticism, due care, report writing, data analysis and training of other staff
Demonstrates the willingness to learn

165

VP, IT Operational Risk Manager Resume Examples & Samples

Manage IT operational risks on SGIL perimeter and provide to Management a regular view of IT top operational risks. Enable IT risks identification and management through regular counselling to IT Department stakeholders
Manage SAFE/ITS reporting of Operational risks and Information Security to UK and EMEA COOs, as well as heads of ITEC and SAFE
1- Manage IT operational risks on SGIL perimeter
Perform risk assessments (Outsourced Essential Services, New Product committees, RCSA) based upon priorities defined
Review ITEC’s permanent supervision control framework
Review and report on major incidents, operational losses and associated action plans
Follow-up on ITEC main action plans and audit recommendations
Coordination with other EMEA and regional OSMs
Interact with ITEC managers
Ensure operational errors and Incidents are adequately collected into Loss Collection Tool (Caroline)
2- Manage SAFE/ITS’ reporting
Review, define and implement SAFE/ITS’ reporting framework based on the following committees and dashboards
Quarterly ITEC Operational and Conduct Risk committee
Monthly SGIL Risk & Control committee
Monthly ITEC Meeting
Monthly Information Security dashboard for UK
Monthly Information Security dashboard for EMEA
Coordinate the production of this reporting framework by relying on a dedicated resource
Define and implement a reporting framework to be used by all EMEA ITEC OSMs
Experience in Operational Risk (in an Investment banking would be a big plus)
Experience in an IT related position
Experience in Information Security would be a plus

166

Head of Operational Risk, Asia Pacific Resume Examples & Samples

Coordinate closely with global and Regional Chief Risk Officers as well as other functional heads of risk regarding the adherence to and embedding of global, regional and legal entity OR appetite, policies, procedures and management information requirements across APAC
Provide leadership for all regional risk employees (specifically regarding Operational Risk) to promote the concept of teamwork and foster better communication across risk disciplines, the APAC chairs, and to/from Corporate center
Act as primary point of contact for local regulators on regional Operational risk related issues
Participate in senior risk commitees as determined by the APAC CRO and CORO
Exercise delegated Operational Risk authority with respect to businesses and relevant legal entities
Escalate and influence as appropriate operational risk concerns and responsive actions

167

Director, Operational Risk-careallies Resume Examples & Samples

Leads development and implementation of a multi-year risk assessment and management strategy and operating model for CareAllies
Leads coordination with health care delivery, enterprise legal and compliance, provider engagement and service operations leadership and teams to ensure that state and federal regulatory requirements are effectively implemented and maintained throughout health care delivery and clinical operations
Responsible for establishing strategy and driving operational needs for risk identification, assessment, management and mitigation. Develops and implements programs and processes to promote a culture of compliance
Oversees management of complex projects to ensure prioritization, funding, operational impacts, timing and resource requirements are achieved. Responsible for compliance risk management recommendations to senior leadership related to in flight and proposed projects
Works with direct care and clinical businesses to facilitate implementation and maintenance of proper clinical operations functions and workflows to help minimize compliance and liability risks
Leads development and ongoing maintenance of the CareAllies compliance program and risk management strategy, including best clinical practices, in support of current and future business models to minimize risk across health care delivery businesses and functions
Provides recommendations to leadership to address current and future business models and business objectives based upon the regulatory environment
Directs the development of policies, procedures and processes to support compliance activities, oversees state health care reporting and licensure filings for TPA and UR licenses; facilitates certification and voluntary accreditation projects as needed
Develop clear and accurate communications to senior management presenting complex regulatory information, business implications and risk. Assess processes and business controls to identify process/quality gaps and develop solutions that improve adherence to overall compliance operating model
Coordinate the development of policies, procedures and processes to support audit functions for the CareAllies businesses
Support licensure and accreditation to minimize audit penalties/fines and rework through validating and/or challenging audit findings; developing and managing corrective action plans and results; and driving service improvements to raise quality
Represents enterprise on risk related committees, professional organizations and projects as required
College degree required but Masters or higher level degree preferred
10 years compliance/risk management/managed care related health care business experience
Proven track record and experience managing people and leading teams in health care setting; minimum 5 years’ experience
Ability to analyze and apply complex statutory and regulatory information to CareAllies products and operations
Process improvement knowledge and experience
Successful project management experience in highly matrixed environment, with proven results
Strong facilitation, influencing, negotiating and relationship building skills to work across matrix partner areas
Strong planning/organizing/prioritizing skills with ability to meet changing priorities and critical deadlines
Takes personal accountability for team and organizational re

168

Operational Risk Mgr Resume Examples & Samples

Provide guidance to the NBI sponsoring divisions regarding compliance with the minimum requirements in the Corporate NBI standard
Manage and coordination ERM’s review process of High Risk NBIs among all risk types
Develop and prepare timely reporting within ERM division to support effective ERM’s reviews and timely feedback NBI sponsoring divisions
Prepare analysis to support EOR officers’ decision with regard to granting exemption or exceptions to the NBI standard
Foster and maintain relationships within the 3 lines of defense community – serving as central point of contact/communication regarding the NBI program
Manage the NBI website to ensure the contents are relevant and up-to- date
Support of the NBI tool used by sponsoring divisions as needed
Bachelor’s degree in Finance or related fields plus 8 or more years of work experience in the Financial industry
Strong knowledge of risk management framework
Strong analytical and problem solving skills with high attention to details
Demonstrated time management skills including proven ability to work in a fast paced environment
Working knowledge of Microsoft Office (Excel, Word, PowerPoint, SharePoint)
Ability to effectively work with a diverse group of stakeholders within first and second line functions
Self-motivated, pro-active, and result-driven problem solver
Works independently within collaborative team environment
Master’s degree in Finance, or similar field
Certification such as CFA, CPA, PRM
Capital Markets or mortgage industry working experience

169

CCB Risk-operational Risk-consumer Banking Resume Examples & Samples

Provide an independent and objective view of CB & CWM operational risks, mitigation strategies and emerging risks
Evaluate control related issues including review of internal (RED) and external operational risk losses to determine root cause
Perform Targeted Risk Reviews for certain higher risk processes to evaluate control effectiveness
Provide oversight for Scenario Analysis and Operational Risk Capital components of the Operational Risk Management Framework
Review Risk Control Self Assessments (RCSA), Key Risk & Performance Indicators, and other metrics to identify negative trends and potential control gaps
Identify and assess severity and likelihood of issues for potential escalation and communication to Business Executives and Senior Risk Managers
Provide Risk oversight and guidance as needed during operational process design to ensure compliance with Risk, Compliance and Legal policies and departmental procedures
Bachelor's degree in Business, Finance, Economics, Accounting, is required
An MBA degree and/or professional certification, such as CPA, CIA or CISA are preferred
At least 7 - 10 years experience in Financial Institution Risk, Audit, Compliance or Business Operations
Strong knowledge of bank operations, and/or product support related business experience within a Retail Bank/Consumer Bank
Ability to understand business functions quickly and assess the operational, financial, regulatory or reputation impact of control issues
Excellent communication skills, both written and verbal
Must work well individually, and in teams

170

Head of Operational Risk Resume Examples & Samples

Relevant professional qualification and non-life insurance experience
Previous experience in the Risk function and in particular operational risk preferred
Previous Operational Risk and governance experience
Thorough business and industry knowledge
Advanced knowledge of and ability to use spreadsheet software
Ability to lead/engage in debates on RBC and other Zurich Group initiatives with the management team
Ability to handle complexity and distil out and explain key concepts
Proven ability to communicate the financial implications of risk-reward trade-offs
Knowledge and understanding of General Insurance business and in particular operational risk
Full professional proficiency in English and, at least, another language is desirable
Awareness of principles of enterprise risk management and effective corporate governance

171

Operational Risk Resume Examples & Samples

Identifying and addressing the risks involved with new products, business activities and projects
Identification and investigation of operational incidents
Provide advice to management on product, process or control changes along with approval requirements
Operational risk related reporting to senior management and the central Risk Management Group

172

Operational Risk Systems Manager Resume Examples & Samples

Self-starter with ability to design, develop, and implement a wide range of business intellignce solutions (Cognos, Tableau, SSRS etc) and ETLs
Analytical, reporting and system support for operational risk tools in IBM OpenPages, particularly RCAs
Testing, launching and administering IBM OpenPages (Operational Risk module) and Cognos framework reporting. Tasks include but not limited to: user account set-up and maintenance, testing of system functionality and design, creation and on-going maintenance of reports, user training and troubleshooting
Building relationship and supporting local administrators in the Bank's subsidiaries
Manage and maintain ORMS libraries, data and reports on an ongoing basis in coordination with others in the department
Manage ORMS features to establish a management reporting schedule, including downloading data to perform advanced analytics
Manage and support user administrative functions to meet the needs of Bank

173

Cb-operational Risk-VP Resume Examples & Samples

Lead and manage a team of control testers who are responsible for executing required Risk and Control Self Assessment (RCSA) testing across the Commercial Banking business
Perform periodic staff performance reviews and creatively collaborate on development plans
This position will interact with all levels of management. Candidate must be an effective communicator possessing both excellent written and verbal communication skills
Financial Services experience with an emphasis on risk, control, and regulatory
Strong Control Testing knowledge
Prior people management experience a plus (required for “People Manager” role)
Strong knowledge/background on internal control principles, operational risk management, audit, compliance, or operations preferred
Demonstrated experience in risk and control self-assessment, including risk and control testing, process mapping, and data analysis skills
Excellent organizational, project management, time management and multi-tasking skills - ability to remain flexible and productive through shifting priorities and deadlines
Strong analytical and creative thinking skills, and orientation to detail
Very high level of professionalism and sense of urgency
Demonstrated ability to manage expectations, achieve deadlines and deliver quality results and meet tight deadlines within a team environment
Self-motivated and confident decision-maker with the ability to demonstrate leadership, challenging and influencing change where necessary
Proven ability to build strong partnerships with key stakeholders, and collaborate with business and functional experts to provide RCSA guidance and to recognize risks, control gaps and design enhancements
Support a teamwork/team spirit environment and present a professional attitude/image within department and in all company interactions
Strong computer skills required; proficiency in Microsoft Office applications (Word, Advanced Excel - including macros, PowerPoint); knowledge of MS Project, MS Access and Visio a plus
Minimum 10 years total experience and 3-5 years experience in a leadership position responsible for Testing, Program / Project management; operational risk management and / or control oversight experience is preferred

174

Mass Affluent Operational Risk VP Resume Examples & Samples

Ownership of the Risk Control Self Assessment identification process, control testing and regular reviews
Manage and perform risk-based Quality Assurance, including periodic self-audits to assess the adequacy and effectiveness of internal controls
Lead role in addressing any issues and corresponding action plans for Audit-related items
Provide senior management with key metric reporting as needed
Oversight of all business entitlements including role maintenance as well as new role creation
Management of Business Continuity plans
Oversight for policy & procedure governance; development of metrics to measure adherence where applicable
Represent the business for all WM Operational Risk and Compliance initiatives and remediation efforts
Partner across multiple teams including the Complex Management team, Complex Risk Officers, and Field Operational Risk
5-7 years of experience in Risk management roles
Strong understanding of operational risk governance frameworks
Ability to establish governance protocols for risk oversight and monitoring
Knowledge of operational risk-related regulatory guidance, including risk and control self-assessments
Demonstrate leadership skills within a team environment
Extremely organized with high level of attention to detail
Experience within the brokerage or other financial services industry

175

Digital Operational Risk Manager Resume Examples & Samples

Maintain our core activities in Operational Risk
Providing constructive advice to the business on the management of risk
Proactively set standards and test key controls
Identify and deliver improvements to current processes, including education and awareness needs to the business
Facilitate the identification and management of regulatory responsibilities
Representing and contributing to relevant Group governance forums
Deliver insight that makes the complex, simple

176

Operational Risk VP Resume Examples & Samples

Manage ORD projects by ensuring on time delivery and the right level of quality
Ensure the team executes against plan and reports status / escalates challenges
Act as an liaison and primary communication channel between ORD and IT on requirements development, status communication, issue resolution, project execution and prioritization
Develop and maintain strategic program roadmap, project plans and milestones
Lead project working groups, workshops and meetings
Manage gathering of business requirements, functional specification reviews, creation of test plans, co-ordinate testing and signoffs
Participate in IT sprint planning sessions and lead project prioritization sessions
Adopt project management processes including risk and issue management, dependency management, status reporting, and change control
Provide pre and post implementation support, including training materials development and user education
Ability to manage multiple projects utilizing industry standard project management practices
Experience in managing all stages of a project lifecycle, including planning, requirements gathering, analysis, designing, documentation, testing and rollout
Experience with typical industry standard processes and templates for business requirement documentation
Strong analytical skills and experience in dealing with complex data sets
Capable of communicating clearly and concisely to various levels of audiences and to both business and IT
Excellent problem solving skills
5-7 years of relevant management experience
Experience within a financial institution or consultancy
Education degree in Finance, Economics, Computer Science, English major or any other related field
Knowledge of System Development Lifecycle (SDLC)

177

Operational Risk Resume Examples & Samples

Internal and external operational risk event review and analysis
Conducting scenario analysis (hypothetical tail risk) for operational risk capital calculation purposes
Facilitating the Risk and Control Self-Assessment (RCSA)
Strong knowledge of and experience with Legal and Compliance divisional responsibilities within an investment bank / broker-

178

Product Control Operational Risk Resume Examples & Samples

Identify, assess and work with the line and enabling functions, to mitigate operational risks
Develop and implement control standards and guidelines with PC line and enabling functions
Perform/initiate/support risk assessment and mitigation initiatives, as appropriate
Support the PC training program
Experienced individual with a minimum of 5 years involvement in financial industry
Qualified accountant
Solid PC skills especially Excel, Word and PowerPoint, as well as comfort with manipulation and presentation of data
Solid communication and organizational skills
Solid analytical and problem solving skills
Control mindset
Solid interpersonal skills - ability to influence others
Self-starter who is able to work independently

179

Digital Operational Risk, Executive Director Resume Examples & Samples

Obtaining a thorough understanding of the Digital business and new Digital initiatives in order to advise on current and emerging operational risks
Building trust and establishing open lines of communication with Digital business leaders and control stakeholders such as legal, compliance, and risk managers in order to facilitate agreement regarding business objectives, constraints, and paths forward
Taking a leadership role in the annual RCSA, identifying control gaps, facilitating control remediation projects, and developing policies and procedures
Partnering with functional support teams in order to control specific risks such as information security, business continuity, third party vendors, fraud and regulatory, and to handle operational risk incidents
Developing metrics and key risk indicators (KRIs) in order to assess and report informative data to the business, management committees, and other stakeholders
Representing the Digital Operational Risk unit in meetings with senior business, functional, and risk management stakeholders
Advising the business on standards for accepting certain risks, on the process for gaining firm approval of new products, and on possible improvements to the control suite
Driving long-term planning around upcoming third party exams (e.g., internal audit), project management for remediating control gaps or for improving documentation, and performing the annual RCSA
Evaluating resource needs and constraints
At least 12 years of experience in financial services risk management roles, with direct-to-consumer and wealth management experience preferred
Experience managing teams and in building new organizations or new processes
Demonstrated flexibility in a changing business environment and in dynamically deploy skills as needed
Comfort working closely with various senior business, functional, and risk management stakeholders
Successful track record of people management and team development
Experience dealing with and presenting to regulators and auditors
Bachelor’s Degree; MBA, CFA, or ORM Certificate a plus

180

CCB Risk-operational Risk Oversight Resume Examples & Samples

Coordination and distribution of all senior management reporting including BD1, BD5, DRPC, ORO MBR and Town Hall decks
Work with finance on Headcount and Budget creation and reporting
Creation and maintenance of deliverables calendar
Monitoring key control items for compliance such as access control, privacy sweeps, record retention, user tools and training
Maintenance and testing of resiliency program
Management of various special projects as needed
5 years communications or similar role
2-3 years of banking or financial services environment
Excellent organizational and presentation skills
Strong executive presence and comfortable interacting with senior leaders
Ability to collaborate with business and functional experts to provide clear communications
Ability to build relationships with the Business and other Risk and Control partners

181

CCB Risk-operational Risk Oversight Resume Examples & Samples

Adherence to the Firm wide RCSA standards and program
Coordination of all stages of the RCSA program including control testing and documentation
Management of all applicable Processes, Activities, Risks and Controls within the Firms Operational Risk system of record as well as oversight of any Issues and Action Plans
5 years Controls or similar role
6 years of banking or financial services environment

182

Operational Risk Oversight Resume Examples & Samples

Significant Event Review - Review significant events over a defined economic threshold, including but not limited to, examination of event and resolution, back-testing against RCSA results, metrics, escalations and reporting, and scenarios
Independent Challenge - Independent Challenge of the Cybersecurity RCSA program including adherence to the RCSA Standards and independent review of residual risk results. The scope covers Risk Aggregation Units, RCSAs, key applications and select infrastructure components
Key Performance Indicators & Analytics - Governance of Key Performance Indicators including analysis of trends, outliers and underlying drivers; also includes support for the quarterly Firmwide Qualitative Operational Risk Appetite process
Continuous Monitoring - Perform oversight of operational risks through participation in Control Committees, senior level workstreams, major change management programs, point-in-time issue escalation, industry and regulatory meetings, internal strategic efforts and review of internal operational risk events
Targeted Risk Assessments - Perform assessments of select areas with high or increasing operational risk. TRAs may be conducted on
15+ years experience in technology with recent experience (5+years) focused on Cyber Security, financial services experience highly desired. Knowledge of the JPMC technical environment and standards is advantageous
Broad and deep knowledge of current and emerging technologies and threat vectors is required
Ability to understand complex technical systems and the business processes they support and synthesize the corresponding risks and controls and recommend adjustments if required
Excellent analytical and problem-solving skills, inquisitive nature and comfort challenging current practices
Adept at developing relationships with senior business executives with a reputation for partnering across organization lines to mitigate risks
Bachelor’s Degree in Computer Science, Computer Engineering, Information Security or related field; post graduate degree a plus
CISSP, CCSP, CISA, CISM, CRISC, CGEIT, CSX-S or CSX-E a plus
Fluency in a major Asian language a plus

183

Head of Operational Risk Resume Examples & Samples

Provide management with independent and objective end-to-end Operational Risk oversight in line with the Enterprise Risk Management Framework and Operational Risk Framework
Understand business processes, model, key drivers and risk
Identify risk using data, dashboards and metrics
Analyse risk information and provide advice and recommendations on emerging risks, trends and early detection of control failures
Set trigger benchmarks and actions, and monitor improvements through DDM
Develop and promote a risk-smart workforce and environment thus ensuring that Business has the capacity and tools to be innovative while recognizing and respecting the need to be prudent in protecting the Bank and its customers’ interest
Support an effective risk culture, where there is an open, proactive and constructive dialogue relating
B-degree in Risk Management (NQF level no. 6)
3 years Operational Risk environment experience
3 years’ experience as an Operational Risk Officer / Manager or Business Risk Office

184

Director, Operational Risk Resume Examples & Samples

Development, maintenance, communication, and oversight of SLF’s implementation of the Operational Risk Appetite statements for non enterprise service risk categories
Development, maintenance, and implementation of the Operational Risk Reporting for both internal and external operational risk events
Responsible for the collection, challenge, analysis and reporting of operational risk events to the Operational Risk and Compliance Committee to be included in the reporting to the Risk Review Committee of the Board
Act as the Corporate Business Group co-ordinator for the Operational Risk Project. This includes: the development of a Corporate project plan, the implementation component status reporting, performing training, ensuring a strong change management program is in place and providing communication to the Corporate Operational Risk Offiers and the Corporate Subject Matter experts
Develop a process to collect, investigate and report on relevant external operational risk events
Ensure the integrity of the data used for the reporting of operational risk events
Maintain and continue to improve the enterprise wide operational risk event reporting process and sharepoint tools. Ensure continued alignment of the process with other operational risk process (updates for policy changes, taxonomy changes, new Sun life reporting structures)
Provide training to the organization on the process
Monitor and benchmark SLF operational risk practices against industry standards and best practices
Excellent analytical skills, attention to detail and direct experience with data aggregation
Direct operational risk management experience within a major Federally Regulated Financial Institution, preferably in the Corporate Operational Risk department in a methodology and/or reporting function is preferred
Understanding of products, practices, and operational risks at Sun Life
Technical operational risk management knowledge would be an asset
Advanced degrees in Finance or relevant quantitative subjects

185

Digital Operational Risk Wealth Management Resume Examples & Samples

Obtaining an understanding of aspects of the Digital business and new Digital initiatives in order to help advise on current and emerging operational risks
Assisting and managing staff toward completing the annual RCSA, identifying control gaps, facilitating control remediation projects, and developing policies and procedures
Helping manage and prepare for upcoming third party exams (e.g., internal audit) and driving related action plans
Tracking and reporting on risk issues and action plans to ensure remediations are completed by target dates
Preparing monthly/quarterly metrics dashboards to inform senior management of status on key operational risk metrics and incidents
Understanding of digital wealth management business
Demonstrated flexibility in a changing business environment and in dynamically deploying skills as needed
Comfort working with business, functional, and risk management stakeholders
Experience dealing with regulators or auditors
Proficiency in MS Office applications (e.g., Word, Excel, Powerpoint, Visio, Project)

186

Operational Risk Review & Challenge Manager Resume Examples & Samples

Develop a risk prioritized approach for delivering validation and challenge activities (including quality control checks, control testing expectations (sub-testing), and business line specific reviews)
Program documentation will collectively include: Goals and objectives of the validation and challenge program. Develop and maintain the Operational Risk Validation and Challenge Program documentation
Finalize and report on validation and challenge activities (including Review and Challenge sessions) Governance and follow up on issues
Document standards for validation and challenge internal activities
Lead the design and maintenance of a risk-based validation and challenge work program(s) to monitor the business line and corporate functions 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)
8 or more years of experience in operational risk management, internal audit or related field

187

Operational Risk Review Resume Examples & Samples

Provide a mechanism for the second line of defense to review and validate or challenge that the coverage of the commercial lending and deposits business processes and associated risks are complete (e.g. across MUFG legal entities and operational risk sub-types) and risk ratings are appropriate
Evaluate whether the integrated operational risk and third party risk management framework is used in the management of its commercial lending and deposits business activities
Ensure that the business units have developed business processes and manages the risks associated with third parties throughout the full life-cycle of the relationship including: planning, due diligence, contract execution, transition execution, ongoing monitoring and termination of the relationship
8 or more years of experience in Operational Risk management, Internal Audit and/or related field. An MBA is helpful but, not required
6 or more years of Commercial Lending and Deposit business line experience directly or within a related risk management or audit field is required

188

Operational Risk Manager Internal Title Resume Examples & Samples

Identify, quantify and report the top operational risks
Manage operational risk models to ensure data quality and accuracy
Liaise with business owners to assist in the identification of new or changing operational risks; collect loss data metrics
Assist business owners in understanding the impact of operational risks, including those associated with third parties, and in the development of risk reduction strategies
Develop and deliver analysis and reporting for dissemination to Company and AXA Group management
Identify and escalate issues to management on a timely basis, dependent upon criticality and impact to the Company
Act as a subject matter expert for operational risks associated with third parties; assist in driving adequate risk treatment efforts
Maintain current knowledge of new regulations, industry trends, markets, and third party risks, and report potential and/or actual enterprise impact to management

189

Operational Risk Review & Challenge Resume Examples & Samples

Execution of a risk-based validation and challenge work program to monitor MUAH's affiliate’s fulfillment of its operational risk management responsibilities (including third party risk management, and other sub-operational risk program elements to be incorporated over time)
Understanding of operational risk management programs and practices, including new product risk
5+ years’ experience in operational risk, third party risk management, internal audit or related field
Familiarity with operational and third party risk regulatory requirements and industry practices

190

Operational Risk & Controls Specialist Resume Examples & Samples

Assist in the development of Quality Control Audit and Compliance monitoring scripts in accordance with GT policies and procedures
Obtain and review monthly evidence to support compliance reviews for SDLC, Operations, and Security control requirements across GT
Independently perform monthly QC Audit and Compliance Reviews and report to management on status and outstanding issues
Monitor the timely remediation of FIC, Internal Audit, and Operational Risks control gaps/deficiencies
Produce monthly metrics and dashboards for reporting to leadership teams
Enhance existing processes, controls, and supporting tools that make all facets of Audit monitoring and testing more efficient
Provide information requirements for FIC, Internal Audit, and External Audit (PwC) as needed to support audit plan and annual testing requirements
Audit (CISA) Certification or ITIL Foundation Certification preferred but not required
BA/BS in Business Administration, Information Technology, or equivalent
Strong interpersonal skills to communicate effectively with both IT and Business subject matter experts
Ability to analyze data to identify IT process and control issues
Foundational understanding of IT processes and controls including system development life cycle (SDLC), Operations, Security including Identification & Authentication, Monitoring Privileged IT Users, User Account Management
Fluency in English (both spoken and written) is a must
Insurance, IT or Financial industry experience preferred but not mandatory
Strong knowledge of Microsoft Office products (Excel, PowerPoint, Access, Project, and Visio)

191

Risk Manager, IT Operational Risk Resume Examples & Samples

Promote the IT risk agenda and activities in the region through U.S. Wide communications, IT risk awareness training, and partnering with the businesses on cultural change
Provide clear and comprehensive reporting to the U.S. Head of Operational Risk, U.S. Committees, Senior Management and Regulators (as required) to adequately present the bank’s IT Risk Profile inclusive of trending, recommendations, and mitigating factors
Collaborate with the lines of business by acting in a consultative capacity to advise on IT risks that influence their business and ability to meet established strategic objectives, while maintaining oversight and objective challenge
Challenge the output of the first line in the IT Risk & Control Assessment (RCA) process for the U.S., covering Legal Entities, Processes and Business Lines
Challenge investigation of IT Incidents to define root causes, and provide input into remediation actions
Stay informed on the bank’s Data Leakage Prevention (DLP) programs, review breaches for the U.S. and identify methods to reduce the potential for data leakage
Design, Implement and Promote Risk Reduction Tools
Oversee the effectiveness of the Third Party / Vendor Management Program within the U.S. in relation to IT Risk, inclusive of due diligence, reporting and compliance with regulatory expectations
Manage IT Risk related Interactions with Regulators and Auditors
Experience of investment banking in a financial institution and exposure to multiple products
Strong expertise in IT Risk Management (e.g. Cyber Security, Logical Access, Data Leakage)
Industry certifications desirable (e.g. ISACA)

192

Manager, Global Operational Risk Resume Examples & Samples

To support the management and delivery of the risk and control identification and assessment program that is conducted in significant units across all Support/Control Functions
Conducting due diligence and other research in order to assess and challenge key risks raised by business units
Play an active role in the department's quality assurance program
Maintain relationships with the business units operational risk managers and applicable corporate support areas to remain current on new developments and emerging risks within the industry; and
Support the Director, Operational Risk in the review, assessment and enhancement of the Bank's operational risk management tools and methodologies including KRIs, Scenario Analysis, Business Environment Surveys, as required
Facilitate self-assessment workshops in strategically identified business units or processes
Manage documentation of operational risk management practices in support of the Advanced Measurement Approach

193

Operational Risk Framework & System Manager Resume Examples & Samples

Demonstrate a sound knowledge of Operational Risk methodologies and frameworks (experience of the standardised or advanced approaches to operational risk would be a bonus)
Leverage the links with other risk disciplines to ensure a joined-up enterprise-wide approach to risk management is embedded across the bank
Translate the Operational Risk Framework requirements into simple language that can be used for training packages and into technical requirements to develop the system
How to design effective and impactful Operational Risk MI that supports our colleagues to identify, quantify and manage risks and controls as well as provide meaningful risk information to our leadership team and the Board
Understand customer-facing and support functions, and how they operate so that the Operational Risk Framework helps create FANS for life

194

Operational Risk Mgr Resume Examples & Samples

Manage projects, analyzes processes & controls, and manages data quality. Evaluate risk and return measures/reports and interprets results
Possess strong institutional knowledge. Knowledgeable about different markets, products, strategies, analytical tools, financial and risk databases and associated risks
Assess the spectrum of risks and how those risks arise from all new product offerings for respective coverage groups
Identify reputational risk and its operational /financial cause/effects. Manage situations that create risk and legal liabilities for Citi
Anticipate and respond to client needs
Lead and coordinate focused or allocated resources for analysts/specialist groups
Use tools and techniques to effectively identify and assess trends and risks
Identify issues and outlines scope. Probe beyond symptoms to determine the underlying causes of problems
Develop goals and executes strategies within a department
Oversee and reviews recommendations (consumer, issuer, acquirer and vendor) and proposed by analysts’ recommendations to ensure appropriate risk management
Understand and reviews risk processes to ensure the execution of the documentation needed to protect the bank’s reputation and economic capital
Understand applicable US and local regulations, guidelines and practices
Institute measures for strong control environment for business/product group
Take a proactive approach in managing risk as appropriate
Manage control structure through effective use of the Managers Control Assessment
Understand businesses processes, risks and can identify control issues
Understand the ARR process
Support diversity by actively building and cultivating strong connections and partnerships across the business/region

195

CCB Risk-operational Risk Resume Examples & Samples

Provide independent, objective view of the Business function control environment, mitigation strategies and emerging risks
Maintain awareness of risk and control issues within the business whether self-identified or from internal /external audit
Maintain strong business relationships with internal clients and deliver presentations to senior audiences

196

Operational Risk Manager KYC Resume Examples & Samples

AML Program Management
Project Management and Administration
Metrics Tracking and Reporting
Minimum of 7 years working experience with at least 5 years in the financial services industry
Ability to operate effectively and efficiently in a fast-paced organization, with attention to detail and accuracy while keeping multiple initiatives progressing at once

197

Operational Risk Review & Challenge Resume Examples & Samples

Execution of a risk-based validation and challenge work program to monitor HR and Finances' fulfillment of its operational risk management responsibilities (including third party risk management, and other sub-operational risk program elements to be incorporated over time)
As part of the ongoing monitoring of HR and Finance, the VP is expected to
Review the results of internal audits and examinations
Review monthly MIS and related financial or risk reports, as available (focusing on potential areas of increased risk)
Review impact of new or expanded products or services implemented
Review technology or business process changes or projects in process, along with associated HR and Finance policy and procedure modifications
Review changes to the organizational structure, including turnover and key vacancies
Review progress in action plans to address issues (identified from all sources), as well as new management self-identified issues
Stay abreast of key external industry issues impacting HR and Finance (e.g., regulatory, competitive landscape, key challenges, etc.)
(2) Shared Staff team: for providing requirements for support in control testing and QC tasks, along with the review and evaluation of results
Develop strong professional relationships with the HR and Finance Risk and Control teams, and Line of Business leaders to ensure trust and transparency amongst the lines of defense
10+ years’ experience in operational risk management, internal audit or related field
Familiarity with operational risk regulatory requirements and industry practices

198

Head of Operational Risk Identification Resume Examples & Samples

Effective, efficient and integrated management of risk identification, such that: risks and resolutions to risk over-exposures are appropriately identified, measured, managed, monitored and reported
Clear, concise and aligned risk tolerances developed across the business, reviewed and challenged appropriately so that it aligns to the Risk Appetite Statement
Clear and concise risk profile reporting that meet the objectives of the stakeholders (Directors, Executives and / or Committees)
Supporting and working closely with the Director of Operational Risk in facilitating discussions at boards, committees and clients so that risk exposures, issues, consequences and remediation are clearly understood
Working closely with the Head of Operational Risk Reporting and supporting risk teams to develop clear and commercially aware recommendations to manage heightened or out of appetite operational risks back within appetite
Working closely with the Emerging Risk, Capital and Stress Testing team and other supporting risk teams to provide the operational risk information and input on industry best practice necessary to develop the appropriate scenarios representing Aviva Investors’ risk profile in the internal capital adequacy assessment process
Manage a well regarded team of operational risk identification in second line of defence whose specific expertise are valued and respected by all lines of defence and who have clear career development plans in place to fulfil their potential
Form part of and represent Aviva Investors on relevant industry bodies, forums and developments across the industry
Deep knowledge of the asset management industry and the risks associated with this. This includes knowledge of financial instruments and a trade lifecycle
.Deep knowledge of operational risk identification, measurement, management, monitoring and reporting practices across the asset management and other financial sectors
Knowledge of the workings of the FCA and other global regulators, in particular an understanding of their key concerns and how this translates into their objectives in overseeing operational risk management
Has a good appreciation of working globally and is sensitive to cultural diversity
Extensive relevant experience and strong asset management background
Has leadership experience with particular focus on attracting and developing technically specialised teams working in the asset management sector

199

VP, Senior Operational Risk Scenarios Manager Resume Examples & Samples

Ensure robust scenario analysis that creates awareness and form key inputs into the CCAR/DFAST forecasts and capital calculation
Contribute to the Operational Risk Capital and Stress Testing Methodology and ensure it meets Regulatory expectations
Understand internal and external Global Operational Risk events and trends and ensures that are incorporated in the Scenarios where applicable
8-10+ years of experience in Risk or Finance
2-5 years of Operational Risk experience
MBA or graduate degree in Finance or Economics
Financial Risk Manager Certificate preferred
CCAR experience preferred

200

Head of Enterprise Operational Risk Aggregation Resume Examples & Samples

Risk experience
Audit or controls testing experience
Experience as a team leader
Experience and confidence interacting with senior managers
Proven track record developing senior management reporting

201

Head of Operational Risk & Transformation Resume Examples & Samples

Facilitate risk assessments including framework, stakeholder involvement, process and risk register documentation and co-ordinate Key Control Testing and aid in testing as required
Review detailed analysis on the root causes of incidents and recommended mitigation strategies to improve processes or controls
Lead programs of work ‘task forces’ and Virtual Teams drawn from across the Bank to deal with opportunities to improve both processes and capabilities to deliver better outcomes for customers
Proactively identify improvement opportunities through Operational Risk Activities, client feedback and in collaboration with Business Unit Managers
Co-ordinate contingency planning, including Business Resumption and Crisis Management planning, infrastructure and procedures
Provide ongoing direction and effective communication to staff to achieve individual and strategic business objectives
Leads a culture of ‘Transformation’ across the whole of ANZ championing process excellence, innovation, curiosity, and continual improvement
Provide guidance and coaching to Business Units Managers
Effectively lead the team by living the Bank’s values and providing an environment where people can perform, grow and breakout
Ensure that all incidents raised are logged in the appropriate systems within required timeframes. Progress systematic analysis of causes and opportunities for improvement and ensure mitigation actions and improvements are taken
Sense of curiosity and critical thinking
Demonstrated capacity to build relationships and stakeholder management
Analytically minded and have strong data analysis skills
Proven skills with an ability to lead and drive efficiencies and continuous improvement
Sound knowledge and understanding of technologies

202

Quality & Operational Risk Executive Resume Examples & Samples

Ensure OMS related to CF areas are effectively implemented and deployed across organization
Support logistics safety, quality incident and notice of violation including investigations and drive corrective action plans implementation
Minimum 3 years working experience in Logistic Field
Knowledge of Logistic safety operation
Knowledge of Warehouse quality management
Knowledge of compliance standard e.g. ISO and related law and regulations
Proficiency of ERP system ( JDE , SAP, or Oracle ) and MS office
Knowledge of import regulatory will be advantage
Good in interpersonal and communication skills

203

Quality & Operational Risk Executive Resume Examples & Samples

Safety & Ethical conscious
Must demonstrate ability to multi task and work in a fast pace environment with minimum supervision
Have an excellent interpersonal skills and understand the importance of influence level
Team working – supportive of team members

204

Operational Risk Mgr Resume Examples & Samples

Support large scale risk and/or consumer projects that span multiple NA Consumer businesses, including project ideation, business requirements, testing, implementation, and validation
Manage creation and documentation of corrective action plans
Develop status communications to a variety of stakeholders including senior leadership, including standardized project documentation, dashboards, templates, reporting, and presentations for high risk/large scale initiatives and processes to provide management and business owner insight into project and process status
Provide updates, as instructed, for regulators on project status including progress against milestones, risk identified, and any potential impacts
Monitor communications relating to issues being managed by other areas such as technology, information security and continuity of business to identify emerging risks
Leverage strong business process orientation and facilitation skills necessary to work with the multiple partners and lines of business
Utilize strong project management disciplines and routines with clear accountability for the key stakeholders through testing and implementation
Strong communication skills, both written and oral, with all levels of the organization, with a focus on senior audiences
Detail oriented with strong organization and project management skills
Bachelor’s degree in Business, Finance, Marketing, Technology or related work experience. MBA and/or Regulatory
5+ years of business experience in audit, control, compliance or regulatory management in the banking or credit card industry
Project management experience with the proven ability to develop project plans and drive a diverse group of

205

Global Markets Operational Risk Manager, VP Resume Examples & Samples

Help assess the effectiveness of established operational risk management controls
Assist in the completion of annual risk and control self-assessments
Produce regular reports on the operational risk environment
Identify, document, and monitor risk events, losses and issues requiring attention
Monitor, track, and report on remediation activities related to control deficiencies
Develop and monitor key risk metrics
Work closely with external parties to facilitate the testing of controls
Support product risk assessments and new product initiatives
Provide ad-hoc support for West Coast risk team as needed
An understanding and adherence to the Bank's Risk Vision
Knowledge and application of operational risk management policies, programs, and techniques
The ability to recognize and proactively address risk
Experience in and knowledge of activities supporting operational risk management including regulatory expectations and industry best practices is required
FX Sales and Trading
Interest Rate Derivatives
Swap Dealer regulation is highly desirable, preferably within the associated areas of operations, risk management, regulatory environment, or accounting systems

206

Director Operational Risk Resume Examples & Samples

Development, training, communication, piloting and oversight of SLF’s implementation of the Risk and Control Self-Assessment program
Development, training, maintenance, and implementation of Key Risk Indicators
Leadership of the Corporate Operational Risk Management Communications program, including Case studies
Provide training to the organization on the various Operational Risk tools and processes
Participate in quarterly reporting to Management
Manage various Forums with Operational Risk professionals across the Enterprise
Excellent analytical skills and attention to details
Strong writing skills and direct experience writing policies and guidelines
Effective communication, negotiation, and conflict management skills
Effective change management, through impact and influence skills
> 7 years’ experience in the Financial Services industry preferably in risk management or data aggregation
LI-AN1

207

CCB Risk-operational Risk Oversight Resume Examples & Samples

Provide oversight of LOB RCSA activities to verify conformance to RCSA standards
Identify unmitigated or partially mitigated business risks which can result in material financial, operational regulatory or reputational risks for the firm
Participate in CCB wide working groups as assigned
Monitor the inherent risk profile of the business, the control environment, and the residual risk ratings; and provide guidance on risk mitigation and process improvement activities
7+ years Risk Management or other related experience required; in a banking or financial services environment preferred

208

Operational Risk Director Resume Examples & Samples

Manages evolution and oversight of Huntington's risk management practices by using an enterprise framework and comprehensive approach specific to Huntington's business process
Responsible for the hiring and performance of 2-3 risk colleagues
Provides policy guidance and ensures that 1st line third party risk policies and standards address the bank's internal and external requirements
Performs independent risk assessments and risk management process reviews to ensure they are performed efficiently and effectively
Works with the Chief Operational Risk Officer as a 2nd line liaison to auditors and regulators
Identifies metrics and key performance indicators to enable the measurement of third party risk and control performance in meeting business objectives. Monitors pertinent key risk indicators and investigates and reports on adverse movements or aggregation of risk across segments. validates alignment of risk appetite to tolerance thresholds
Assesses and recommends tools and techniques to automated information systems control verification processes
Presents and participates in Board; Executive; and Management level committees as assigned
Collaborates with audit/business segment/corporate risk to assess quality and completeness of action plans and target dates
Identifies potential and emerging threats and vulnerabilities, and assembles risk scenarios to estimate the likelihood and impact of significant events to the bank. Engages in research, networking, and draws on industry experience to anticipate key risk issues

209

Newton, Operational Risk Assistant Resume Examples & Samples

Develop general business skills such as writing, presenting, excel, minute taking and time management
Develop commercial and regulatory awareness within the investment management industry
Gain insight into how an asset management business operates, from placing a trade order, to confirming the trade with a broker and settlement of the trade in the market
Understand how the Risk function provides input and influence to these processes
Conduct monthly data validation and analysis of key risk indicators and departmental metrics
Conduct monthly data analysis and reporting
Write minutes and follow up action points for committees and ad-hoc meetings
Assist with updates to internal Risk policies and procedures
Assist with resolution of day-to-day issues in an efficient manner and within any agreed service levels
Be a resource for department-wide projects and assist team members where necessary
LI-NEWT

210

Field Operational Risk Control Team Assistant VP Resume Examples & Samples

Supervise the definition and execution of test scripts across a wide variety of Wealth Management Field operational areas, including risk, service, branch management and home office functions; targeting controls that support inherent high and critical Field Management risks
Support a variety of operational risk management initiatives and special projects, including testing quality assurance review, targeted risk assessments and remediation projects
Prepare metrics reporting (including monthly and quarterly analysis) and disseminate trending reports to Field Management partners
Work with Partner teams to analyze Quality Assurance (QA) testing processes and identify opportunities for internal team efficiency gains
Familiarity with the wealth management branch structure and/or branch operations is a plus
Must be comfortable working closely with various business and information security functions

211

Director, Operational Risk Oversight Resume Examples & Samples

First line of defense in managing operational and regulatory compliance risks
Implement and maintain the Operational Risk Management Framework and associated processes, including generating and reporting key metrics
Implement and maintain the GBM Regulatory Compliance Program modeled after the Bank’s eRCM Framework
Work with all stakeholders to ensure appropriate processes and controls are in place to manage operational risk. Proactively address operational controls gaps and identify opportunities for streamlining or automating processes and controls
Work with regional ORO units in the execution of the group’s mandate
Escalate and work towards resolving all day-to-day operational risk matters
Work with GBM business line management, and support/control units to appropriately manage operational and regulatory risk
Regulators and Internal Audit
Facilitate GBM internal audit and regulatory reviews
Coordinate the remediation of open audit issues and regulatory findings
Work with all stakeholders to ensure appropriate processes and controls are developed to ensure compliance with regulatory requirements
Monitor and test front office compliance with regulatory requirements
Transaction Related Oversight and Record Keeping
Manage the recordkeeping process for Investment Banking; this includes Information Control Logs, Engagement Letters and Non-Disclosure Agreements
Review Pitch Books
Identify any issues that warrant referral to the Bank’s Reputational Risk Committee
Data and Confidentiality Oversight
Key contact to determine appropriate access to Salesforce.com Private Side information
Review and test Shared Drive accesses
Sign off on physical access requests
Ensure deal terms are within policy
Provide guidance on allowable interactions on public side, private side and research
GBM Policies and Standards
Manage the development and execution of GBM policies and standards for Investment Banking, Equity Capital Markets and Corporate Banking
Work with stakeholders such as Compliance in the development of policies and procedures to ensure GBM requirements are appropriately articulated
Other
Work with GBM business lines to provide the required support for business development and strategic initiatives to ensure operational risks is appropriately mitigated
Provide coaching and training to team members
Provide the required support and training to regional ORO units
Provide input and assist in developing and executing the strategic direction of the group
Preferred: University degree, MBA, or CFA
At least 5 years’ work experience in a compliance or capital markets audit role
Well-versed in capital market products as well as possess strong knowledge of activities within the front, back and middle offices as well as exchanges

212

MYS Ctsm Pg-operational Risk Manager Resume Examples & Samples

Review and update the trade risk framework and initiatives to develop and evolve the assessment of risk, use of KRIs, understanding of additional metrics to give a comprehensive view of the trade risk and control environment
Perform reviews and initiatives to address all key control weaknesses and to ready the business to proactively meet emerging risks
Oversee management reporting and assist in organizing periodic discussion forums with all key partners and stakeholders; to monitor and manage the risk & control framework and implementation
Proactively manage stakeholders, partners, vendors to bring about successful and sustainable improvement in the trade risk & control environment
Continuously review and evaluate the trade business in relation to regulatory requirements and emerging trends. Ensure that Citi meets its external and internal regulatory and audit requirements without issue
Support audit, regulatory, compliance, and business monitoring reviews
Strong trade product knowledge
Ability to demonstrate knowledge of core controls
Operational and risk and control mindset with the ability to identify control weaknesses in an operational environment
Candidate must have 5+ years of successful operations experience, with demonstrated knowledge of risk and controls
Project Management and Change Management experience preferred
Knowledge of compliance, regulatory, and Citi policies
Technological proficiency with strong Excel and PowerPoint skills

213

Enterprise Operational Risk Manager Resume Examples & Samples

B.S. in finance, business, economics, operations engineering / management, process control
Minimum of 10 years’ insurance/financial services experience with relevant risk management or audit experience
Expertise and experience in risk governance and US regulatory frameworks
Ability to influence across reporting lines

214

Wealth Management Operational Risk VP Resume Examples & Samples

Governance
Standard processes and procedures
Planning, scheduling and monitoring guidance
Documentation and retention requirements
Linkages to existing policies and procedures related to Incident Reporting, Lessons Learned, Issue and Action Tracking, and RCSA
7-10+ years of related experience in Financial Services preferably within Wealth Management, with involvement in Operational Risk Management
Experience with operational risk disciplines and processes, risks and controls
Background in process re-engineering preferred
Excellent analytical, critical thinking, and organizational skills
Ability to draw conclusions and provide recommendations in a clear, concise, and constructive manner, both orally and in writing
Ability to manage projects by ensuring on time delivery and the right level of quality
Ability to work effectively in groups
Strong analytical and problem solving skills (critical thinking ability)
Ability to work in a small team environment, building and maintain a network of contacts and coordinate with a large number of stakeholders
Fully versed in Microsoft Office suite, emphasis in Excel and PowerPoint

215

Risk ORC CB SEA Operational Risk Director Resume Examples & Samples

CB organization with risk booked in APAC entities
CB financing metiers/product lines as risk taking units, with P&Ls, risk and resources management ownership
Functions supporting the front-to-back activities of relevant CIB financing métiers activities such as Coverages, ITO financing solutions, Client Management etc
Territories level: Singapore and South East Asia (Country Heads, COOs, local CB business, coverages, function heads and OPCs) for local assessments and oversights
APAC Regional Business and Functions located in SG including Regional Heads of TBA, CDL and CB ITO for critical assessment of regional control framework of 1st LoD
Regional supervision and co-ordination of thematic controls on specific topics as assigned from time to time
University graduate with at least 20 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) in Corporate Institutional Banking
Preferred candidates should possess robust knowledge of banking products in the area of Corporate Institutional Banking

216

Head of Operational Risk Resume Examples & Samples

Broad capital markets product knowledge
Strong understanding of Operational Risk
Strong understanding of Capital Markets processes (Settlements, Deal Origination & Flow, Accounting,) and related controls
Working knowledge of the financial industry regulatory environment and compliance norms
Strong experience working as part of project initiatives
15+ years of Banking Industry experience preferably with roles both within Risk and various production (1st Line of Defense) teams

217

Assistant VP Digital Operational Risk Resume Examples & Samples

Obtaining an understanding of aspects of the Digital business and new Digital
At least 3 years of experience in financial services risk management roles, with direct-to-consumer and wealth management experience preferred
Demonstrated flexibility in a changing business environment and in dynamically deploying skills
Self-starter with a can-do approach and delivery focused mind set
Detail-oriented and accurate
Proficiency in MS Office applications (e.g., Word, Excel, PowerPoint, Visio, Project)

218

Head of Operational Risk Resume Examples & Samples

15+ years of Banking industry experience
Broad Capital Markets Product knowledge
Solid understanding of Operational Risk
Working knowledge of the Financial industry Regulatory environment and Compliance norms
Excellent communication skills written and verbal)
Previous experience working within Risk and Various Production teams

219

CCB Risk-wholesale Operational Risk Oversight Resume Examples & Samples

Complete deep dive reviews across a defined area of CSo
Execute a periodic Independent Challenge of the RCSA program
Partner with the Business & Control on the assessment of Operational risks, including fraud, legal, compliance, technology, finance and other risks
5+ years of Business or Commercial Banking experience required
Excellent interpersonal and communication skills, including ability to negotiate, compromise and demonstrate diplomacy in sensitive situations and to interact effectively with senior management
Ability to analyze data and present to management towards improving the Control environment in the business

220

CCB Risk-operational Risk-framework Lead Executive Director Resume Examples & Samples

Influence and manage the creation of value add firmwide Operational Risk practices, including periodic risk assessments
Generate reporting to provide line-of-sight into Operational Risk practices, with escalation of relevant risks and mitigants; reporting audience typically includes Executives and Committees
Partner with cross-line of business teams to guide projects and ensure all business deliverables and tasks are completed
Present recommendations in a business-friendly way that identifies issues, details impact and strategies for resolution
Build consultative relationships with senior management across lines of business and functions to drive strategic decisions by preparing and delivering well designed presentations with concise recommendations
Create materials to be used for presentation at working group and senior management meetings, providing sufficient information to enable signoff on a deliverable
Foster relationships with the Controls organization to ensure completion of work is as aligned as appropriate, while maintaining a distinction between the first and second lines of defense
8 - 10 years experience leading, designing and executing complex programs spanning business-lines within the financial services industry– ideal areas include: Consumer Banking, Operational Risk, Credit Risk, Finance, Regulatory/Compliance
Strong business acumen and relationship management skills
Exceptional interpersonal leadership and influencing skills with ability to achieve goals without direct control over resources
Experience working with and influencing senior management to drive strategic decisions through developing concise recommendations and preparing and delivering well designed presentations
Highly disciplined, self-motivated, and delivery-focused individual who works independently
Excellent problem-solving and communication skills (verbal and written)
Strong familiarity with analysis software, such as Excel, Access, MS Project, Visio, SharePoint, etc

221

Operational Risk Identification Manager Resume Examples & Samples

You work closely with first line of defence
Degree educated with relevant professional qualification
Excellent understanding of the asset management industry and the risks associated with this

222

Operational Risk & Permanent Control Manager Resume Examples & Samples

Performing Risk Assessments on the underlying activities (risk mapping, quality of associated controls etc.), to be reviewed every 12-18 months
Documenting control plans for each activity, performing control testing, reporting results, organizing regular reviews to set action plans for remediation where relevant
Monitoring and analysis of historical incidents and related action plans
Following up on the implementation of audit findings / recommendations assigned to the COO scope
Coordinating outsourcing initiatives (CIB incl. BP2S) and SLAs execution / review / update
Providing regular feedback to management on risks / controls of their respective operations, including the organization of various Committees
Implementing regionally- or globally-driven initiatives, working closely with the regional OPC and RISK ORC teams

223

VP-operational Risk & Controls Resume Examples & Samples

Certified Internal Audit (CIA), CISA and related certifications are preferred
Master’s degree is mandatory (eg. CA, MBA, or other disciplines), supported by Bachelor's degree or equivalent experience in accounting, finance and business
10 to 12 years in the financial services industry (preferred) /others; including background in operational risk management, audit, compliance, or operations
Relevant risk management experience and awareness either gathered through a risk or audit role, although would consider other relevant experience
Working knowledge of operational risk frameworks (e.g. RCSA practices, loss event databases, KRIs) in a regulated environment (i.e. Basel II standards, FFIEC guidance, etc.)
Demonstrated experience in risk and control self-assessments, including process documentation, and data analysis skills
Working experience in developing, tracking, analyzing and reporting on key risk indicators
Self-motivated & confident decision-maker with the ability to demonstrate leadership, challenging and influencing change where necessary
Collaborative team player able to develop meaningful and effective working relationships with fellow colleagues
Effective communicator with excellent written and verbal communication skills
Strong analytical and documentation skills, as well as orientation to details
Ability to manage multiple assignments and meet tight deadlines within a team environment
Strong people & relationship building skills
Flexible and creative thinker
Sound business judgment and objectivity

224

VP Operational Risk Resume Examples & Samples

Framework: Ensuring that the constituents parts of the Group Operational Risk Framework are effectively embedded across the relevant business and functions
Independent Challenge – Provide robust and independent challenge to markets senior management [D/MD population] to ensure that Operational Risks are appropriately identified, assessed and mitigated within the wider risk appetite. This includes challenging the effectiveness of the business’ strategic risk assessments and risk management processes, to ensure the operational risks they are exposed to are kept within appetite
Risk management - Ensure that relevant Markets and Capital Markets businesses and supporting functions establish a control environment that seeks to manage operational risk appropriately. This entails identifying current and emerging risk which are then managed, monitored, reported, reviewed and documented accordingly
Assurance – Provide assurance through thematic reviews both reactive (incident/mgmt. request) and proactive (as result of own analysis as to potential exposure)
Expert Guidance – provide ops risk guidance and support of framework as appropriate
The role is key to the delivery of the Operational Risk strategy and is expected to influence at an executive level with exposure to
Framework – Creating a business ownership and risk management culture, including risk identification, assessment, mitigation and measurement processes
Challenge – Provide robust independent challenge to the 1st line
Substantive experience gained in the financial services business relevant to markets / capital markets businesses within area being covered
Previous risk experience gained in line roles within an Investment bank
Ability to operate at an executive level, provide informed challenge and build strong and effective working relationships
Experience of delivering risk management insight and analysis of impacts from an internal and external perspective
Preferred – Degree and/or MBA

225

Cbna-gcg-country Consumer Business Operational Risk & Control Head Resume Examples & Samples

Consumer Business Control Governance and Line-of-Sight
End-to-end Process Management (including Third Party and Inter-affiliate)
Risk Identification, Analysis, and Management (including risk domain coverage of 22 Globally Identified Front-to-Back Consumer Bank Risk Domains1)
End-to-end Regulatory Compliance Process Review
Risk and Control Governance over "Digital"
Manager’s Control Assessment (MCA) Coordination
Issue and Corrective Action Plan (CAP) Process Oversight, Coordination And Validation

226

Liquidity & Operational Risk Development Manager Resume Examples & Samples

Build up and supervise the development team with hands-on approach. Ensure development activities per target state architecture that includes Big Data components (specifically the Hadoop stack), Data Analytics, Microservice architecture, PaaS & IaaS models
Review and enforce development guidelines for the team to follow; key development practices such as pair programming as appropriate, Test Driven Development
Significant experience in Hadoop, up-coming software frameworks that deliver Microservices in the Processing, Data Management space; Open Source platforms & tools; Spring frameworks; UI/UX tools & methods
Implement comprehensive DevOps practices including Continuous Integration/ Continuous Deployment, Release Automation, Blue & Green deployments
Prior knowledge and experience on Pivotal Cloud Foundry PaaS, Angular JS would be highly desirable
Oversee design & development of applications on legacy technology stack and drive the move to OpenSource components and a modern software architecture
Manage regular communication with key stakeholders to ensure seamless and an integrated working model across locations, updates on the teams and book of work in keeping with Agile methodology

227

VP Field Operational Risk Resume Examples & Samples

Supervise team execution of Risk and Control Self-Assessment (RCSA) testing across a wide range of functional areas, including: Alternative Investments, Capital Markets, Consulting Group, Financial Planning and Infrastructure Risk, Institutional Wealth Services, Retirement Solutions and Traditional Investment Products and Services
Manage team resources and partner with key stakeholders (including business control units, control owners and operational risk leadership) to define test plans, execute testing, conduct test quality assurance, communicate test results and define control remediation plans if/when control gaps are identified
Monitor and report on team metrics to identify patterns, trends and areas where increased management attention is warranted and to ensure timely completion of strategic objectives
Engage in a variety of strategic operational risk management initiatives and special projects, including targeted risk assessments and remediation projects
Develop and maintain operational risk team procedures, risk management tools and data repositories to facilitate effective activity execution and continuously identify opportunities to improve team efficiency
At least eight (8) years of Financial services experience (familiarity with wealth management operations is preferred)
Risk, compliance and/or internal audit Experience
Managerial experience
Strong proficiency with Microsoft Excel, Word and PowerPoint (familiarity with MS Access is preferred)
Must be comfortable working closely with various business, risk, compliance and audit functions
Excellent written and verbal communications skills required

228

Operational Risk-icg Business Coverage Risk Manager Resume Examples & Samples

Represent Operational Risk at senior level governances such as Business Risk Reviews and Business, Risk, Compliance and Control Committees
Interface with regulators and Internal Audit
Establish minimum risk standards for a product
5+ years relevant industry or risk management experience and/or accreditation. Citi experience in Operations & Technology, Finance, Business Management or Compliance preferred

229

Operational Risk Mgr Resume Examples & Samples

Support establishment of Payment Risk Management Framework and Risk Assessment Methodology that conforms with industry leading practices, standards and specifications
Support maintenance of Corporate policies, procedures and standards for corporate payment process, including addressing application questions from business areas
Develop and oversee operational controls testing program
Maintain assigned Corporate Payments Process/System flows and risk/control matrices, for all processes linked to bank accounts either managed by Freddie Mac (in corporate capacity or fiduciary capacity) or on behalf of Freddie Mac
Support periodic corporate aggregation assessments of unmitigated payment risks across the company
Support review of changes that impact payment processes or systems before release to a production environment to ensure that the risk and controls have been adequately assessed from an end-to-end view
Support maintenance of resiliency/disaster recovery plan for end-to-end payments processes; and
Support training Freddie Mac staff about payments fraud; industry trends and appropriate safeguards and tips
7-10 years of operational risk/process management and/or audit experience
Previous big four experience and/or relevant professional certifications (CPA, CFA, Six Sigma green belt/black belt, CIA, etc.) a plus
Familiarity with the COSO internal control framework

230

Head of Operational Risk-it Resume Examples & Samples

Communicating & Influencing - genuine two-way communication to achieve consensus and progress – Level 4
Problem Solving & Decision Making - making timely, quality decision – Level 4
Banking & Regulatory Environment – Level 4

231

Operational Risk Managment Resume Examples & Samples

Proficient in MS Powerpoint, Word and Excel
Proficiency in MS project is a plus
Good interpersonal skills and able to multi-task
Able to write and speak reasonably well
Ability to work independently as well as in a team
Understanding of Banking products is preferred
1-2 years in audit/compliance role is preferred

232

Deposit Operational Risk Manager Resume Examples & Samples

Overseeing the payments risk areas including consumer payments, treasury services, and internal funds transfers
Establishing and maintaining a sustainable and effective due diligence and ongoing treasury review process that includes appropriate testing, escalations for late reviews and workflow efficiencies
Serving as the escalation point for all payment processing, higher risk customer escalations, and other risk issues
Documenting operational risk assessments of all deposit products and presentation of risk assessment results to the designated committee of the Bank and incorporating risk assessments into the Bank’s enterprise risk management risk model
Consulting with stakeholders on initiatives and programs that may impact the payments systems, operational risk direction and responsible for providing risk control requirements to the initiative
Assisting stakeholders and business units with policy and procedure development
Documenting workflows, value chains and making recommendations for improvements and controls
Monitoring daily business and regulatory events that may impact the payment system and providing analytical insight and recommendation about the event for the bank to be aware of or take action upon
Documenting and presenting deposit operational risk management training based on subject matter expertise (SME) to business owners specific to the risk of the line of business (e.g. payments risk including consumer and treasury risks, fraud prevention and other emerging deposit risks)
Responsible for leading the deposit operational risk group in communicating quarterly reporting on status of operational risk program
Responsible for creation and ongoing sustainability of the fraud prevention and investigation unit
Documenting fraud events, reviewing trends and implementing controls for lines of businesses that are susceptible to higher risk fraud attempts
Documenting the Bank’s fraud risk assessment, fraud policy and procedures and ensuring these are incorporated into the Bank’s operational risk program

233

Operational Risk Prf Resume Examples & Samples

Obtain understanding regarding basics of SOX and operational testing
Obtain understanding of Freddie Mac’s SOX and operational testing process via on the job training and by reading Company’s testing guidance
Perform test of design of SOX and operational controls
Perform test of operating effectiveness of SOX and operational controls
Able to use Microsoft Office, specially Excel in daily test work documentation
Able to work in a collaborative team environment
Able to interact within the team and different business areas
2-4 years of experience in Accounting or Finance related positions
Bachelor’s degree in Accounting, Finance or related field
Be proficient in MS Office (Excel, Word and PPT)
Experience using Adobe PDF
Experience with perphial devices such as printers, scanners and copiers

234

Operational Risk Cybersecurity Threat Oversight Resume Examples & Samples

1st Line: Business Units/Infrastructure Groups - Own their operational risk & are responsible for its management
As a key leader in the 2nd line cybersecurity risk team, drive strategic and tactical evolution necessary to maintain effective and efficient cybersecurity threat identification, assessment, and management
Integrate and coordinate 2nd line cybersecurity threat and risk governance activities; provide direct support to ORD leadership and the Chief Risk Officer
Build and maintain strong positive relationships with the existing cybersecurity risk community in 1st line of defense, with a focus on the cybersecurity threat assessment and management areas
Provide meaningful challenge to 1st line identification, assessment, and management of cybersecurity threats, including mapping to vulnerabilities, and associated mitigating controls
Work with 1st line of defense cybersecurity risk and control owners in assessing inherent and residual levels risks based on a structured risk framework based on specific and general cybersecurity threats
Coordinate with ORD colleagues who cover Business Units and Infrastructure Groups in discussing impact of cybersecurity threats on business and support processes
Participate in Operational Reviews such as cyber threat identification, assessment, and management forums
Contribute to scenario analysis workshops to assess risk impacts based on specific threats
Monitor industry developments in the management of cybersecurity risk, threat intelligence, and threat management
Work with key stakeholders to evaluate specific threat-based responses and prepare for senior management review
Identify and evaluate risk management practices related to the systems and information supporting Firm activities
Maintain and or oversee relevant policies and procedures related to cybersecurity processes executed by 1st line of defense
Review cybersecurity risk issues as well as internal and external incidents in order to help inform the 2nd line of defense independent view of the overall cybersecurity risk posture of the Firm and its underlying legal entities
Work with 1st line of defense management in discussing and resolving control gaps, risk trends, risk issues and incidents
Provide monthly and quarterly cybersecurity risk reporting, including updates on relevant top operational risks and emerging risks
Bachelor’s Degree minimum; Masters degree preferred
15+ years’ worth of cybersecurity, information security, or other security risk related work experience, preferably in part focused on the financial services industry
Current Top Secret Clearance preferred

235

Group Operational Risk Manager Resume Examples & Samples

Experience in control function (audit, operational risk…) in insurance or financial environment
Ability to master a groupwide operational risk tool and train local administrators/users
Knowledge of internal and external requirements (regulators, rating agencies) with regards to the risk management and assessment within the frame of Solvency II
Actuarial / financial competencies
Ability to manage local and international correspondent’s network with enthusiasm and commitment
Strong communications skills to liaise with a wide range of correspondents at various level of management
Rigor and reliability especially in the production and validation of Group Operational risk capital charge
Ability to produce synthetic reporting to Executive Management
5 years minimum ideally in risk management / audit in insurance or bank industry

236

Digital Operational Risk Resume Examples & Samples

Working with the business and functional support teams in order to remediate control gaps, respond to operational risk incidents, and earn approvals for new products or risk acceptances
Preparing monthly/quarterly metrics dashboards to inform senior management of
At least 8 years of experience in financial services risk management roles, with direct-to-consumer and wealth management experience preferred
Team player with a track record of partnering with colleagues and mentoring junior employees

237

VP-field Operational Risk Resume Examples & Samples

Contribute to key strategic operational risk priorities such as the monthly business risk review, Risk & Control Self-Assessment, and data remediation projects
Conduct Financial Advisor and Client Service Associate error reviews with appropriate support teams such as Risk, Operations, IT and the Field
Oversee the policy governance process for Field Management, including centralization, ownership designation, and content reviews
Coordinate with Complex Office teams to prepare for Compliance Branch Exams and Internal Audits
Develop new metrics and key risk indicators (KRI’s) with business management, internal audit and compliance
Represent Field Operational Risk in technology prioritization meetings and forums when relevant
Develop Business Requirement Documents, Use Cases, Test Cases and training materials for improvements impacting field facing systems
Conduct data analysis to help identify trends and root causes branch exam and audit findings, and develop projects to remediate repeat exceptions
Partner work closely with Technology and Operations to oversee project implementation
5-10 years of experience within Operational Risk or Wealth Management Operations
Must be familiar with Wealth Management branch structure and/or Branch Operations

238

Market Operational Risk & Excellence Manager Resume Examples & Samples

Previous experience in the Financial Industry with specialization in audit management, compliance or operational risk assessment roles
Previous experience in internal process and control framework re-engineering
Previous experience in operational risk assessments and relative corrective actions/project initiatives
Strong interpersonal skills and proven ability to work efficiently with a wide range of internal and external stakeholders across different functions and international markets
Strong communication skills are critical for the role
Excellent knowledge of Microsoft Office Package (Excel, Power Point, Access, Visio/Flow charter)
Excellent communication skills, both spoken and written

239

Operational Risk Prf Resume Examples & Samples

Under normal supervision, perform design and operation effectiveness testing of controls over significant accounts, disclosures and processes, as part of the company’s SOX compliance as well as Operational Risk Management Framework
Document test execution, ensuring that all appropriate risks are identified and documented
Analyze, document, and monitor issues identified, including root cause analysis, control failure identification, level of significance assessment for deficiencies and remediation plans
Maintain a current level of expertise relating to professional standards and emerging industry and technical developments, including US GAAP, COSO, PCAOB and emerging technologies and best practices
Minimum of 2 plus years of service of previous experience in public accounting or internal audit; other relevant experience may be considered
Bachelor degree in Accounting, Information Systems, Computer Science, Business Administration or related field
Audit and SOX 404 with Big Four Accounting Firm and/or corporate internal audit functions
CPA or other relevant professional certifications (i.e., CIA, CISA) preferred

240

Operational Risk Dir Resume Examples & Samples

Serving as a trusted advisor on risk issues and emerging risks
Providing leadership in the establishment of I&CM divisional risk objectives (including risk appetite)
Providing input on the development of corporate risk policies and standards
Driving development of I&CM divisional procedures to meet evolving corporate risk policies and standards
Developing, reporting and monitoring I&CM risk metrics (e.g., KRIs, KPIs)
Preparing Board and management reporting pertaining to risk governance topics
Representing I&CM on cross-divisional risk working groups and forums
Promoting a culture of risk awareness and accountability within I&CM
Managing and/or performing special projects or assignments in support of I&CM risk governance
Minimum of 10-12 years of risk management, compliance, audit and/or finance experience
Bachelor’s degree in relevant discipline
Strategic and project management capabilities coupled with strong business and financial acumen
Experience developing and managing policies, procedures or standards
Demonstrated ability to build a strong network of relationships and collaboration with peers, internal business partners and senior leaders
Demonstrated ability to work effectively independently as well as in team environment, including with matrixed reporting structures
Demonstrated ability to exercise sound judgment and maintain confidentiality
Demonstrated strength in working in a fast-paced environment
MBA or other advanced degree
CPA or other professional certification
Understanding of the risks inherent in capital markets processes and functions

241

Operational Risk Resume Examples & Samples

Management and maintenance of the firm?s insurance programs corporately and across various businesses including but not limited to the Investment Management Division, Merchant Banking Division, J Aron & GS Bank USA
Insurance programs include but are not limited to various firmwide and divisional management liability programs (D&O, E&O, Fraud, EPL), Cyber Security, Trade Credit, Reps & Warranties, Commodities/Cargo Liability & Political Risk/Violence
The management liability portfolio of programs (inclusive of various D&O and E&O programs, Employment Practices Liability, Fidelity/Fraud, Cyber, Fiduciary etc.) represent $2.3B in limits procured, $38mm in premium spend annually and ~200 insurance contracts; this discipline has grown extensively in recent years due to new programs being put into effect (i.e Asset Management E&O, various 40Act Fund D&O programs, EPL and CyberSecurity & Privacy Liability). Allocation of candidate?s time can be expected to be weighted more heavily to support of these programs
Management of the firm?s captive insurance company, Pearl Street Insurance Company
Drive compliance with ongoing regulatory demands, inclusive of vendor management initiatives, service level agreement documentation & management, quarterly key performance indicator (KPIs) evaluations & various regulatory required committee/board presentations, inclusive of but not limited to the Firm?s Risk Committee and the Physical Commodities Review Committee
Evaluate and mitigate operational risks with a particular focus on the evolving footprint of GSBank
Management of the framework for utilizing various insurance programs in operational risk capital and stress test processes in coordination with other segments of the Operational Risk department
At least 10-15 years of insurance and risk management industry work experience
Financial institution / asset management firm knowledge/experience preferable
Interest in financial markets and risk management, motivated by learning and continuous improvement
Ability & desire to learn new insurance products when/as necessary
Ability to interact with and build relationships with people from different departments and levels of seniority
Excellent communication & presentation skills
Ability to analyze, evaluate and form independent judgments

242

Head of Operational Risk Capital Resume Examples & Samples

The jobholder is required to contribute to maintaining an excellent relationship with the Regulators and industry bodies in respect of Operational Risk
Extensive knowledge of the global regulatory environment for the financial services sector and experience in working with Regulators
Strong analytical, planning, problem-solving, financial, and technical skills
Strong communications,, interpersonal. negotiating and influencing skills
Able to cope with pressure and tight deadlines
Able to conceptualize the operational impact of business change

243

Operational Risk Mgr Resume Examples & Samples

Assist in building knowledge and understanding of objectives, risks, and controls to enable increased Company responsibility for SOX and operational testing
Perform administrative tasks, including resource allocation and scheduling, management and audit committee reporting, and assisting with the annual planning process
Manage and oversee design and operation effectiveness testing of controls over significant accounts, disclosures and processes, as part of the company’s SOX compliance as well as Operational Risk Management Framework
Performing the Level 1 review of work papers, ensuring that all appropriate risks are identified and documented
Leading, as needed, status meetings with key stakeholders in the SOX 404 testing program, including ORM, Finance, the independent auditor, and internal audit
Assist in preparing quarterly reports with status of the 404 testing program
Act as the primary liaison with external SOX consultants
Evaluating performance, and appraising customer satisfaction
Minimum of 8 plus years of service of previous experience in public accounting or internal audit; other relevant experience may be considered
A Bachelor degree in Accounting, Information Systems, Computer Science, Business Administration or related field
Extensive audit and SOX 404 with Big Four Accounting Firm and/or corporate internal audit functions
Strong people management and organizational skills
Demonstrated ability to manage complex projects
Financial Services industry experience preferred
Experience with infrastructure, information security or computer operations risk management

244

Senior Assoc, Operational Risk Resume Examples & Samples

Help implement and embed the operational risk framework and processes for defining, assessing, measuring, monitoring and reporting risks for the various Corporate Centers, e.g. Business Area Risk and Controls Self-Assessment, Supplier Risk Management, Incident Loss Reporting
Actively engage with the First Line of Defense to document identified risks, controls, issues/findings/incidents/losses, develop KPI/KRI risk metrics, evaluate mitigation solutions, execute control validations, and monitor and consult with deal owners on vendor relationships that they manage
Work with Corporate Centers to perform targeted process “deep dives” as required to assess control strength and identify gaps or weaknesses and be capable of articulating and challenging identified risks, controls, issues (control deficiencies) and proposed mitigation actions. Conduct independent analysis of business area control plans and KRI/KPI validation
Build relationships with the stakeholders in Corporate Centers to actively promote a culture that is sensitive to identifying, measuring, mitigating and monitoring their risks
Develop strong working relationships with colleagues in other Control Groups such as Compliance, Audit, and Information Security to leverage synergies to help ensure we are being efficient and effective in focusing the ‘First Line of Defense’ on the key risk issues
Experience in the financial services or the life insurance industry is required; 5-10 years’ experience is preferred
Risk focused experience gained through work in Operational Risk Management, or Compliance, or Internal Audit, or Sarbanes Oxley (SOX) is required; 5-10 years’ is preferred
Experience with Operational Risk Management and related concepts, e.g., vendor management, IT security, internal and external fraud is preferred
Strong project management skills and ability to oversee multiple projects to completion
Proficiency in Excel, Word, Power Point. Knowledge of GRC Archer a plus

245

Operational Risk Mgr Resume Examples & Samples

Leads and coordinates focused or allocated resources for analysts/specialist groups
Identifies issues and outlines scope. Probes beyond symptoms to determine the underlying causes of problems
Understands and reviews risk processes to ensure the execution of the documentation needed to protect the bank’s reputation and economic capital
Manages control structure through effective use of the Managers Control Assessment
Understands the Internal Audit and ARA process
Bachelors degree, Masters degree preferred

246

Senior Operational Risk Anlyst Resume Examples & Samples

Escalates material issues to appropriate management levels for transparency and active risk management. As assigned within the corporate operational risk framework takes action to maximize effectiveness of Control Programs, such as Third Party, Information Security, Business Continuity, Records, Fraud, etc. as well as changes in management
As needed, works with other risk functions to develop and implement controls that mitigate excessive risks
Operational Risk Department: Assigned responsibility for broad areas of the Bank's Corporate Operational Risk Management function, ensures assigned areas are well designed, looks for and implements continuous process improvement, is a subject matter expert in their areas, and able to communicate/educate others on the process
Business Group Operational Risk Support Assigned specific LOB OR activities. Undertakes complex assessments of business unit exposures, identifying risks, analyzing and evaluating their potential impact and reviewing the strengths and weaknesses of the firm's existing controls. Requires collaboration and partnering within ORD and across business lines/support groups
High School - Not Applicable
Bachelor’s Degree in Business Administration) or the equivalent combination of education and experience - Required
Required License(s) or Certifications - Preferred
Requires deep knowledge of job area typically obtained through advanced education combined with experience. Typically viewed as a specialist within discipline. May have broad knowledge of project management
Requires 7 years minimum prior relevant experience

247

Operational Risk Initiatives Senior Manager Resume Examples & Samples

Implementing a communications strategy including identifying tools and implementing a clear vision to informing senor ORM management and the global teams of upcoming events, industry practices and critical ORM focus points
The communications strategy will include creating a quarterly newsletter that enables ORM senior managers to communicate globally with the organization about key events and professional goals as well as the coordination of town halls
Working with Functional Learning and Development to building a training program for operational risk managers
Working with Functional Learning and Development to create programs covering ORM Framework components Citi-wide
Documenting Procedures regarding the roles and responsibilities of the organization
Managing ORM’s book of work regarding 2nd line oversight of Citi-wide Key Initiatives
A presentation resource to support the Head of ORM
Knowledge/Experience (What knowledge/ experience of the role or the industry does the individual need, e.g. relevant work experience, industry and/or product knowledge)

248

Manager, RJF Operational Risk Managment Resume Examples & Samples

Assists in the development and execution of risk and control consulting activities for assigned area of responsibility in accordance with internal standards, relevant government statutes and regulations
Oversees or leads engagements from planning through reporting and produces quality deliverables in accordance with both department and professional standards
Directly manages junior staff and performs human resource management activities, including identifying performance problems and developing plans for remedial action; evaluating performance; and interviewing and selecting staff
Attracts, develops, and retains talent within the Risk Management organization and the Firm
Establishes strong relationships with senior leaders and related control groups, with particular focus in the Asset Management business segment
Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or executive management partners
Analyzes complex problems, researches and organizes solutions and effectively presents recommendations to Sr. Management
Works with business process owners and internal/external auditors to evaluate control deficiencies, and develop risk-based solutions to address concerns
Interprets, applies and recommends changes to organizational policies and procedures. Maintains currency in relevant risk management processes and procedures
Holds entire team accountable for meeting deliverables, adhering to internal criteria and utilizing consistent methodology
Uses judgment to provide an overall opinion on the business unit’s control environment and communicates findings to management. Identifies opportunities for improvement in the design and effectiveness of key controls and mitigation strategies
Executes an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends
Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model
Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
Stays up-to-date with evolving industry and regulatory changes impacting the business
In-depth understanding of risk management practices and methodologies, including risk assessment and a solid understanding of internal control and mitigation strategy concepts
Specific subject matter expertise of Private Client Group or Asset Management products and services
Advanced investment and asset management concepts, practices and procedures used in the securities industry
Managing employees, either directly or indirectly through risk management engagements
Demonstrated ability and success in interacting with and influencing senior leadership, including executive management
Experience in managing against deadlines associated with a risk management engagement
Strong analytical skills particularly with regard to assessing the probability and impact of a control weakness
Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner
Enthusiastic, self-motivated, effective under pressure and willing to take personal risk and accountability
Proven ability to multitask as well as assess and change priorities
Ability to work well individually, and in teams, share information, support colleagues and encourage participation
Plan, assign, monitor, review, evaluate and lead the work of others
Coach and mentor others
Balance conflicting resource and priority demands
Incorporate needs, wants and goals from different business unit perspectives into risk management engagements and recommendations
Lead others in providing a high level of customer service
Bachelor’s Degree and a minimum of five (5) years of experience in a related field

249

Director, Operational Risk Mgmt Resume Examples & Samples

Bachelor’s Degree required; a concentration in engineering or finance discipline with heavy math/statistical focus is preferred
Prior experience supporting risk or compliance processes or functions is required; 7-10 years’ experience is preferred
Experience in individual financial services (consumer banking, wealth management, investment management, insurance, and/or and product management) is required
Experience with business process design is required
Experience with change management principles is required
Experience with Incident Loss programs including both internal and external data is required
Experience with Scenario Analysis is required
Experience with financial modeling and analytics is preferred
Project Management is preferred

250

Operational Risk Mgr Resume Examples & Samples

Bachelor’s degree in Finance, Accounting, IT, Management or related field of study
Demonstrated experience in employee management
History of enterprise-level project work experience with increasing responsibility
Understanding of Risk Management methodologies
Application support – preferably direct experience with eGRC technology
Experience with configuring and supporting eGRC platforms
Self-motivated, pro-active, and result-driven problem solver with excellent analytical and communication skills (both written and verbal)
Ability to multi-task and exhibit initiative to work across teams and collaborate effectively

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