Operational Risk Specialist Resume Samples

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A Crooks

Arlie

Crooks

784 Berry Forks

New York

+1 (555) 235 0482

784 Berry Forks

New York

Phone

p +1 (555) 235 0482

Experience Experience

Boston, MA

Operational Risk Specialist

Boston, MA

Toy, Ratke and Nolan

Boston, MA

Operational Risk Specialist

Make significant contributions in the development of analytical tools used in the assessment of collections risk and policy
Support on Internal and External audits regarding Operational Risk Management for the Bank
Participating in the Group Legal OR Working Group, preparing materials and minutes
Participating and supporting regulatory reporting framework; with specific focus on regulatory matters & impacts in the region
Analyzing tests and performance using SAS and decision tree (CHAID/ CART)
Monitoring, assessment and testing of control activities performed by functional teams through a Risk and Control Self-Assessment (RCSA) discipline
Identify potential business risks, operational and regulatory process deficiencies and improvement opportunities

Chicago, IL

Operational Risk Specialist for Regional

Chicago, IL

Waelchi-Leannon

Chicago, IL

Operational Risk Specialist for Regional

Assess an institution’s maturity and risk portfolio related to information security, IT governance, and business continuity and resiliency through examination activities
Cultivate and share knowledge with colleagues about current operational risk management techniques and practices used in supervision and the financial services industry
Develop and contribute to cross-firm analyses in areas of focus in operational risk including information technology risk
Develop, maintain and enhance relationships with management and staff of supervised institutions, other areas of RCFI, Supervision, and the Bank, other Reserve Banks and Board staff and other supervisory authorities
Analyze current industry practices, conditions, and trends and identify inherent / emerging risks as financial products/markets evolve
Prepare and deliver
Make recommendations for additional controls and corrective action to improve the efficiency and effectiveness of operations and risk mitigation processes

present

New York, NY

Senior Operational Risk Specialist, VP

New York, NY

Monahan, Mayer and Hodkiewicz

present

New York, NY

Senior Operational Risk Specialist, VP

present

Work with data to develop key risk metrics to monitor where key risks are changing
Assess results of testing performed to determine areas for potential improvement
Participate on ad-hoc working groups to address and resolve new areas of risk within the business areas of responsibility as requested by BURM
Perform independent quality assurance procedures to assess control design and control effectiveness
Coordinate testing activities with related unit management
Develop and customize testing procedures to assess identified control gaps
Document testing results in the system of record

Education Education

Bachelor’s Degree in Finance

University of Oregon

Bachelor’s Degree in Finance

Skills Skills

Strong attention to detail, quality and accuracy
Highly proficient in Excel/pivot tables and PowerPoint
Excellent attention to detail
Working knowledge of applicable systems, policies, procedures, practices and/or actions
Ability to efficiently manage multiple priorities and deliverables
Strong internal drive and ability to take ownership of projects
Advanced knowledge of applicable systems, policies, procedures, practices and/or actions
Strong Presentation skills and an ability to report to and manage senior stakeholders
Ability to analyze a phone call, email, chat session, customer correspondence and/or letters and quickly identify issues
Ability to analyze a telephone call, chat session, email, transaction testing, and/or letter and quickly identify issues/errors

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Operational Risk Specialist Resume Examples & Samples

Preferred candidate will have
Strong organizational skills; able to prioritize tasks, juggle multiple projects and follow through
Self starter who takes ownership and can prioritize and manage initiatives independently
Ability to think broadly, generate simple and creative ideas, and to execute on ideas
Absolute command of Microsoft Excel, PowerPoint and Word
Strong partnering and relationship skills
Ability to work under pressure and deliver under tight deadlines
Positive"can do" attitude

Operational Risk Specialist Resume Examples & Samples

Supporting the Head of Operational Risk Legal in day-to-day OR management tasks
Coordinating the periodic control and risk assessment processes in Group Legal
Designing and producing regular and ad-hoc reports on risk issues and controls
Preparing the quarterly Group Legal OR Dashboard together with a data analyst
Participating in the Group Legal OR Working Group, preparing materials and minutes
Supporting Group Legal OR Managers in risk issue maintenance, set-up and closure
Maintaining work instructions and guidance

Internal Control & Operational Risk Specialist Resume Examples & Samples

Work with all levels of management across multiple locations and/or lines of business to execute the operational risk program in alignment with corporate standards and objectives
Assist in performing risk self-assessments. This entails determining process objectives, working with the process owner(s) and other specific subject matter experts to identify risks, identify the existing controls, rank the residual risk/exposure (based upon likelihood and impact), and review and monitor the execution of action plans that are deemed appropriate to reduce the risk/exposure to an acceptable level. May facilitate or assist in RSA workshops
Assist in implementation and monitoring of Key Risk Indicators (KRIs). This is accomplished through gathering an inventory of current metrics, determining the most significant risks that require monitoring, establishing KRIs for the most significant process, and gathering data (when required) so that reporting can be completed for KRIs
Assist in recording/monitoring the Operational Risk Database. This entails capturing pre-defined financial, operational, inefficiency and increased reputation losses across multiple locations and lines of business, and, under certain circumstances, developing and deploying action plans to mitigate/eliminate a reoccurrence of the loss
Assist in quarterly/periodic operational risk reporting
Representation on certain operational risk related activities and cross divisional meetings, committees, etc

Operational Risk Specialist Resume Examples & Samples

Participation in periodic internal audits through the entire exam life-cycle
Periodic reviews and maintenance of control tools (e.g., system entitlements, desktop procedures, supervisory procedures and check-lists)
Root cause analysis on risk incidents
Five 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
Intermediate level (minimum) Excel skills

Operational Risk Specialist Resume Examples & Samples

2 to 3 years’ experience in financial services
1 year of fraud experience
Demonstrated excellent verbal and written communication skills
Demonstrated strong administrative skills
Excellent analytical, business acumen and report writing skills
Excellent organizational and time management skills
Ability to build and maintain strong, collaborative working relationships with business partners
Ability to use Microsoft Office and Personal Computer Software proficiently
High School Diploma or GED required with 3 to 5 years of related

Operational Risk Specialist Resume Examples & Samples

3 to 5 years’ experience in financial services
2 years of fraud experience
High School Diploma or GED required with 3 to 5 years of related experience

Operational Risk Specialist Resume Examples & Samples

Evaluating effectiveness of current collections policies and strategies
Make significant contributions in the development of analytical tools used in the assessment of collections risk and policy
A good understanding of credit life cycle and collections/recoveries
Ability to work efficiently in a matrix environment balancing between both business and functional interactions and priorities

Operational Risk Specialist Resume Examples & Samples

Learn regulations governing the credit card industry and use knowledge to identify areas of non-compliance
Confirm adherence to Regulatory and Risk Policies through transaction testing, letter reviews, telephone monitoring, chat session and / or email
Communicate with transparency on issues and gaps identified through escalation process for remediation
Provide exam, audit and review support (review sample population of accounts, research questions during review process)
Contribute to new review processes
Gain a thorough understanding of the work and processes performed within the department
This position requires the ability to work independently and in a team environment to meet deadlines
1 year of recent experience at Citi Cards
Knowledge of multiple platforms (FDR, IBS) and portfolios preferred
Excellent Attention to Detail
Flexible and willing to adjust to changes
Ability to work within a team and as an individual contributor
Excellent verbal/ written communication skills across business levels
Ability to analyze a telephone call, chat session, email, transaction testing, and/or letter and quickly identify issues / errors

MYS Ctsm KL Operational Risk Specialist Resume Examples & Samples

Graduates with 1-2 years of work experience with basic understanding of relevant banking practices, corporate policies and compliance requirements
Good command of reading and writing English/Mandarin/Cantonese Language
Good PC skills with ability to pick up new software systems
Cooperative, proactive with high sense of responsibility & teamwork
Ability to work under pressure and in a volatile environment
Attention to details with high accuracy in work
Strive for process improvement
Display the ability to prioritize effectively in order to meet routine processing deadlines
Flexible enough to work as per Business timings

Operational Risk Specialist Resume Examples & Samples

Undertakes assessments of business unit exposures, identifying risks, evaluating their potential impact and reviewing the strengths and weaknesses of the firm's existing controls
Administers defined procedures, analysis and report preparation
Bachelors Degree in Accounting
Two to three years public accounting or internal audit experience preferred
Advanced knowledge of the COSO framework, Sarbanes-Oxley Act, financial reporting risk, internal controls, and US GAAP, with the ability to make control recommendations to successfully mitigate key risks
Advanced knowledge of pertinent business groups and support areas and related risk environment
Advanced in ability of performing industry research of risk events and trends
Advanced in ability of conducting and documenting walkthroughs including process flowcharts
Role model in developing strong working relationships
Role model of participating in team projects and initiatives
Advanced in the use of Microsoft Office and Visio
Role Model in the use of Archer eGRC

Operational Risk Specialist Resume Examples & Samples

Develop an infrastructure for MIS reporting based on the Volker Rule definition of US scope
Assemble reports for senior management and Board for the US perimeter in close coordination with Paris Volcker office
Interact with multiple departments and contributors across the bank, acquiring familiarity with systems and output that can be generated. Will require fast learning on relevant indicators for Volcker Rule compliance and how our business is structured in the US
Coordinate closely with ongoing work at the global level in Paris
Prepare outputs of various KPIs on Volcker Rule effectiveness, including effectiveness of controls framework for review by the second level control teams, ie Legal, Compliance, Risk
Gather, review and analyze reports on metrics from in-scope trading desks
Regularly assess and follow up on anomalies shown via KPIs
Record keeping of meetings
Assist the Compliance department on recommendations to enhance the effectiveness of the Volcker Rule Compliance Program
Compile information on the program in response to regulatory exams
5+ years of experience across an investment bank or other financial institution with focus on regulatory compliance
Prior experience with Volcker Rule related controls and/or metrics
Prior experience analyzing a control framework
Prior risk analysis and control review and monitoring experience
Advanced experience with Microsoft Word, Excel, and PowerPoint
Excellent writing skills
Graduate degree in finance
French

Junior Operational Risk Specialist Resume Examples & Samples

Bachelor s degree or equivalent work experience
Excellent verbal and written communication, organizational and time management skills
Risk and Detail oriented, is preferred
Proficient in Microsoft Word, Excel, Visio and PowerPoint
Ability to work independently as well as on a team, , is preferred
Analytical with the ability to identify trends, is preferred
Demonstrated ability to work on multiple tasks simultaneously within specific timeframes, is preferred
Experience in a brokerage or clearing firm preferred, but not required

Operational Risk Specialist Resume Examples & Samples

Perform quality work within determined timeframes
Interact professionally with other employees, customers and vendors
Work effectively as a team contributor on all assignments
Work independently while understanding the necessity for communicating and coordinating work efforts with other employees, departments, divisions, etc
Work on additional tasks, assignments and projects as needed

Operational Risk Specialist Resume Examples & Samples

Operations Risk Management - risk identification, assessment, monitoring, tracking, reporting and mitigation
Manage the risk identification and escalation process for risk matters within the region
Participating and supporting regulatory reporting framework; with specific focus on regulatory matters & impacts in the region
Providing governance and oversight over annual SSAE 16
Contributing to risk incident post-mortems and deep-dives
Periodic functional risk assessments and reporting to senior stakeholders
Review and enhancement to current risk measurements and indicators in support of operational risks within the region
System entitlements review facilitation
Business Continuity Planning and Information Security Review
Liaising and coordination for Audits (Internal, SSAE 16), external assessments and Regulatory Exams
Facilitate Risk Control Self-Assessments (RCSA)
Drive the Operations Risk program and initiatives globally and regionally, including participating in or leading associated projects
Preferable experience in Investment Management, Operations, Operational Risk and/or Regulatory Reporting
A Risk Manager with approximately 5 years of operational risk experience
Ability to lead and drive initiatives independently
Strong Presentation skills and an ability to report to and manage senior stakeholders
Strong attention to detail, quality and accuracy
High degree of computer literacy, including working knowledge of Windows-based applications such as Word, Excel and PowerPoint
An ability to ‘think outside the box’ and look for creative solutions
Demonstrated ability to work effectively in a team-oriented environment
Proven record of collaborating with colleagues across geographic and functional boundaries
Strong drive for continuous improvement
Relevant prior experience or knowledge of regulatory environment
Relevant prior experience in conducting internal audits for Mutual funds and any exposure to Audit exercises will be an added advantage

Operational Risk Specialist Resume Examples & Samples

Maintain the Bank’s Internal Operational Risk database, ensuring accuracy and consistency of its information: - Identify, classify and register loss events (economic losses and expenses) due to Operational Risk. - Identify simple events, multiple events and events impacting one or multiple business lines. - Include losses due to legal cases and boundary events due to Credit and Market risk. - Collect all the attributes required by the regulation, considering risks types and business defined
Maintain and update the Library of Operational Risks of the AEBM
Responsible of producing the Operational Risk Management regulatory reports of the R28 Series required by the local regulator (CNBV)
Responsible of maintaining and monitoring the Tolerance Levels established for the Bank
Generate relevant information regarding the Entity’s Operational Risk Profile to be presented to the Bank’s Risk Management Committee: - Details of the most relevant Operational Risks. - Information of the control environment (control effectiveness, action plans status, etc.) - Descriptive risk profile heat maps. - Overall assessment of the risk level on the Institution. - Monitoring of the operational losses performance against the established tolerance levels, and report breaches and action plan, as required. - Details of relevant losses events, etc
Create and monitor Key Risk Indicators for the prioritized Operational Risks to proactively identify emerging trends and themes
Responsible of preparing the agenda and consolidate relevant information for the Bank’s Risk Management Committee, ensuring compliance with both internal policies and regulatory requirement for Operational Risk
Support on drafting the required local Operational Risk Management policies, procedures and Manuals, and ensure compliance with both internal policies and regulatory requirement for Operational Risk
Support in documenting key process of the Bank, along with their main risks and controls, using the established risk assessment methodology Process Risk Self-Assessments (PRSA)
Support on Internal and External audits regarding Operational Risk Management for the Bank
English Fluent
Computer proficiency including, Visio, Word, Excel and PowerPoint
Skills for writing policies, manuals, and procedures for Operational Risk
Intermediate knowledge of statistical tools for data analysis
Intermediate knowledge of SAS and/or SQL
Process Oriented
Ability to independently follow up tasks
Experience in Operational Risk Management in a Bank Institution is preferred
Knowledge in regulations applicable for Operational Risk Management (CUB), is preferred
Ability to influence and work with multidisciplinary working groups

Operational Risk Specialist Resume Examples & Samples

Development and coordination of governance routines for Global Banking Op Risk
Enhancing Global Banking Operational Risk reporting to ensure efficiency and effective communication of the team's activities
Ensuring Global Banking Op Risk timely meets its reporting deadlines
Play an active role in key projects impacting Global Banking Op Risk (e.g. End to End coverage)
Help maintain and develop inventories of assessment, monitoring and testing activities
Lead Global Banking Operational Risk Team Meetings
Development and maintenance of Global Banking Operational Risk Coverage Plan, as well as tracking timeliness of completion of coverage activities
Strong internal drive and ability to take ownership of projects
Ability to efficiently manage multiple priorities and deliverables
Ability to effectively influence
Excellent written, verbal, quantitative and presentation skills
Strong Microsoft Office skills. Specifically, PowerPoint, Word and Excel
Risk or other core financial control discipline (e.g. finance, risk, audit, compliance)
Sharepoint knowledge

Operational Risk Specialist Resume Examples & Samples

Complete reviews of calls, files, loans and/or accounts to ensure compliance with NFCU’s quality control standards, regulatory requirements, federal and state laws, and Navy Federal policies and procedure
Identifies potential business risks, inadequacies and improvement opportunities
Perform complete life-cycle analyses and scheduled statistical sampling Identify processing deficiencies and/or communication gaps in product life cycle
Enter findings into the QA system of record, documenting the accuracy and/or deficiency of the documents
Act as liaison to Training and collaborates with training staff to ensure training aligns with regulations and policies
Audit, analyze and report on types of errors within operations
Analyze and assess Navy Federal internal audit reports(s), and identify trends and recommend solutions
Offer recommendations for additional controls to mitigate business risks and improve operating efficiency
Deliver and present timely and detailed risk assessment reports and supporting documentation to business partners
Serve as a resource/SME for federal, state, NCUA, and other areas for applicable Regulations and guidelines that impact Navy Federal operations
Maintain and update Operational Risk procedural manuals, job aides, and tools
Partner closely with Operational Risk Analysts to continuously identify opportunities to improve Operational Risk Program
Performs other duties as assigned or appropriate
Familiarity with Navy Federal products, services, programs, policies and procedures
Familiarity with analyzing and evaluating operational risk

Operational Risk Specialist Resume Examples & Samples

Responsible for quality assurance of flawless execution and documentation of coverage activities as follows
Help maintain and develop inventories of assessment, monitoring and testing activities in accordance with the execution of the GBAM Op Risk Coverage Plan
QA of GB Op Risk Monitoring activities
QA of GB Op Risk Assessments
Tracking and QA of Challenges and Outcomes
Material and agenda preparation, and coordination of the Global Banking Integrated forum
Track progress against success metrics for GB Op Risk team
Artifacts that “prove” program execution
Enhancing Global Banking Operational Risk reporting to ensure efficiency and effective communication of the team's coverage activities
Chair the Global Banking Operational Risk Team Meetings including preparation of materials and coordination
Strong Microsoft Office skills. Speficially, PowerPoint, Word and Excel

Operational Risk Specialist Resume Examples & Samples

Review records of business activities, processes, and procedures for compliance with NFCU’s quality control standards, regulatory requirements, federal and state laws, and Navy Federal policies and procedures
Identify potential business risks, operational and regulatory process deficiencies and improvement opportunities
Make recommendations for additional controls and corrective action to improve the efficiency and effectiveness of operations and risk mitigation processes
Partner closely with Operational Risk Analysts to identify opportunities to improve Operational Risk Program
Maintain effective communication with other business units and support teams to remediate errors and assist with implementation of corrective actions related to non-compliance with policies and procedures
Communicate and deliver review results to business partners and other stakeholders
Maintain clear and organized documentation of review data, status, results, and completion date
Prepare ad hoc reports
Stay abreast of and share industry and regulatory related news and developments with staff
Ability to apply instruction regarding government and financial industry regulations related principles and practices, and company instructions, procedures and policies
Effective skill maintaining accuracy with attention to detail and meeting deadlines
Effective skill to influence, negotiate and persuade to reach agreeable exchange and positive outcomes
Effective research, analytical, and problem solving skills
Experience with managing multiple priorities independently and/or in a team environment to achieve goals
Effective organizational, planning and time management skills
Effective skill in the use of PCs and related software packages
Desired – Working knowledge of state and Federal laws; industry regulations, principles, and practices; and company policies that govern the business unit’s products/services
Desired – Working knowledge of operational and regulatory risk controls, concepts and practices
Desired – Working knowledge of Navy Federal's functions, philosophy, operations and organizational objectives

Senior Operational Risk Specialist, VP Resume Examples & Samples

Typically requires a BA or BS degree, 7+ years’ experience in operations management, internal or external audit or other risk management functions within a financial institution
Ability to use sound judgments to resolve issues and facilitate progress against objectives
Must be highly proficient with Microsoft Power Point, Excel, and Visio
Experience with a variety of reporting tools a plus (e.g., Business Objects)
Must be flexible and able to balance several priorities at once
Demonstrated abilities in end-to-end process flow development, identification and documentation of operational risks and controls, and controls testing
Experience with developing or monitoring key risk indicator (KRIs) metrics
Ability to build relationships with people at all levels
Ability to present and interact with all levels of management including executive leadership
Experience in financial institutions and finance organizations is desired
Experience in public accounting, audit, and/or professional services is desired

Operational Risk Specialist for Regional Resume Examples & Samples

Identify strategies, risk and exposure levels at financial institutions to assess risk management practices and the adequacy of risk management systems. Develop and recommend supervisory actions that are commensurate with risk levels and are based on sound and supportable conclusions
Evaluate whether internal audit has a sufficiently strong “voice” within the organization and whether the quality and clarity of its reporting to the board of directors is appropriate
Assess an institution’s maturity and risk portfolio related to information security, IT governance, and business continuity and resiliency through examination activities
Cultivate and share knowledge with colleagues about current operational risk management techniques and practices used in supervision and the financial services industry
Participate in or lead examinations or inspections which will require coordination and consultation with Federal Reserve management and staff, other supervisory authorities and the supervised institution at various executive levels
Develop and contribute to cross-firm analyses in areas of focus in operational risk including information technology risk
Analyze current industry practices, conditions, and trends and identify inherent / emerging risks as financial products/markets evolve
Develop, maintain and enhance relationships with management and staff of supervised institutions, other areas of RCFI, Supervision, and the Bank, other Reserve Banks and Board staff and other supervisory authorities
Prepare and deliver