RCA Consultant Resume Samples
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RCA Consultant Resume Samples
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BS
B Stanton
Bria
Stanton
71323 Hulda Greens
San Francisco
CA
+1 (555) 662 6207
71323 Hulda Greens
San Francisco
CA
Phone
p
+1 (555) 662 6207
Experience
Experience
Los Angeles, CA
RCA Consultant
Los Angeles, CA
Kozey-Blanda
Los Angeles, CA
RCA Consultant
- Leading and/or participating in ongoing meetings with the business units
- Work with business lines to insure completeness in loss reporting. Assist in determining root causes for losses and go forward preventative measures
- Investigate and assess alerts relating to potential money laundering risks in the organization such as OFAC and High Risk
- Manage Customer Reimbursements reporting and tracking for CBSS
- Ensure efficient identification, monitoring and reporting/escalation of activities and transactions considered suspicious
- Provide ongoing regular reporting to Enterprise Financial Crimes Compliance
- Build effective working relationships with key stakeholders including auditors and senior and executive management
present
Boston, MA
RCA Consultant
Boston, MA
Schimmel, Prosacco and Abernathy
present
Boston, MA
RCA Consultant
present
- Aggregating and providing executive level reporting on QA planning and testing results on an ongoing basis
- Responsibility for reporting, testing/monitoring, exception/resolution activities and providing guidance
- They may lead reporting, testing/monitoring, exception/resolution activities and providing guidance
- Develop and implement reporting, testing/monitoring, and exception/resolution activities
- Working with QA and QC testing teams to ensure controls are sufficient to inform testing
- Leading and/or participating in ongoing meetings with the business units and ORM
- Identifying control-related key indicators, and monitoring and reporting them monthly
Education
Education
Bachelor’s Degree in Knowledge Related
Bachelor’s Degree in Knowledge Related
New York University
Bachelor’s Degree in Knowledge Related
Skills
Skills
- Demonstrated attention to detail, great quality of work, ability to produce clear, concise work products
- Ability to learn and become proficient with new technology quickly
- Basic knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Considerable knowledge of applicable laws, regulations, financial services and regulatory trends that impact their assigned line of business
- Basic knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Strong problem solving ability coupled with the ability make decisions autonomously
- Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact the financial industry
- Considerable knowledge of Risk/Compliance/Audit competencies
- One to two years of experience in quality control, quality assurance, compliance testing or audit roles for financial services company
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1
RCA Consultant Resume Examples & Samples
- Provide oversight to insure consistency of internet and mobile content for consumer and small business products
- Expand existing content management practices to insure consistent product information and presentation across all sales channels
- Draft, update and maintain content related policies and procedures
- Determine and roll-out processes to ensure consumer and small business content is reviewed on a timely basis
- Re-tool process and data base for tracking links to third party web sites. Process internal requests for external web links. Determine efficient periodic process for maintaining and validating existing links
- Execute quarterly content reviews with business line owners
- Provide guidance and suggestions to business lines on opportunities to improve consistency of content across channels
- Work effectively with Compliance and business lines to determine best practices approaches for presenting products
- Eight or more years of professional work experience
- Experience with consumer and or small business banking products and the regulations that apply to those products
- Strong process facilitation and organizational skills
- Ability to manage multiple tasks/initiatives concurrently
- Self-directed. Able to reach out to and effectively work with internal partners
- Able to effectively communicate with a variety of internal parties including Audit, Compliance and many business line partners
2
RCA Consultant Resume Examples & Samples
- Direct or indirect experience with AML regulations and the Bank’s AML standards
- Knowledge of the various GCTS products
- Possess knowledge of Risk/Audit/Compliance competencies
- Strong oral and written communication skills, planning and implementation skills
- Strong PC literacy in word processing, spreadsheets, databases, and presentations
3
RCA Consultant Resume Examples & Samples
- Bachelor's degree At least 2-3 years applicable experience
- Knowledge and experience with the industry, products, policies, operations, systems, and procedures related to third party monitoring
- Understanding of Wealth Management & Securities Services associated risks/controls
- Proven ability to manage stressful situations
4
RCA Consultant Resume Examples & Samples
- One to two years of experience in an applicable risk management environment
- Basic knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Basic understanding of the business line’s operations, products/services, systems, and associated risks/controls
- Basic knowledge of Risk/Compliance/Audit competencies
5
RCA Consultant Resume Examples & Samples
- Proficient computer skills, especially Microsoft Office applications (Excel)
- Mortgage experience
- Experience working within a shared email box
6
RCA Consultant Resume Examples & Samples
- Lead and facilitate the business change due diligence process which deals primarily with foreign market reviews
- Cover the AML functions related to the airline business for all our Elavon markets in Europe, North America and Latin America
- Manage the AML risk of the business by strong adherence to applicable policies across various lines of businesses
- Work with all of our markets to develop applicable policy and procedures intended to ensure that our business remains compliant with all relevant financial crime regulations, legislation and best practices
- Acts as a liaison between the Global Airlines team and various risk management groups to facilitate effective, efficient program engagement
- Manages submission of business change risk assessments
- Ensures all internal approvals are obtained in accordance to policy and agreed service levels
- Disseminates compliance requirements
- Tracks, monitors and ensures risk mitigation requirements are completed and properly evidenced
- Documents work performed and conclusions reached
- Maintains accurate and complete records and controls
- Completes reporting to Airlines management in a timely and accurate manner
- Updates and maintains the foreign market approvals matrix, department risk procedures and other documents as needed to ensure current processes are clearly defined and consistent
- Oversight of policy changes and administration processes for AML
- Represents Airlines business on all AML related escalation issues
- Develops a working knowledge of the company’s key operations; and
- Responds to audit or exam inquiries on behalf of Airlines team
- Bachelor's degree, or equivalent, relevant work experience
- Five to seven years of related experience in risk management, compliance, due diligence/underwriting, AML
- Demonstrates a proven commitment to provide excellent customer service
- Strong process facilitation and project management skills
- Strong understanding of Sanctions screening process and Transaction Monitoring and SAR process and wider AML regulatory framework in NA & International
- Hands on experience in processes and systems for risk management in the area of Screening and Transaction Monitoring
- Ability to self-identify issues and effectively own risk management for the business
- Excellent oral and written communication skills, including internal communications to the Elavon Senior Leadership team and US bank
- Project management/coordination experience that facilitates the successful delivery against a complex agenda of tasks
- A proven ability to achieve success in a matrix management structure, successfully navigating around the business and influencing from the Executive level down
- Extensive collaboration skills and an ability to manage through difficult situations in a manner which ensures the business achieves its goals
- Attention to detail, with an ability to analyze and make sense of large amounts of information
- Strong knowledge and discipline around business controls and reporting
7
RCA Consultant Resume Examples & Samples
- Ten or more years of experience in an applicable risk management environment
- Experience working with Sarbanes-Oxley Act and/or Basel Rule
- CPA/CIA/CFSA preferred
8
RCA Consultant Resume Examples & Samples
- Advanced understanding of applicable laws, regulations, financial services, and regulatory trends that impact the Mortgage Servicing Default Management line of business
- Ability to manage a small team of technical writers and risk analysts
- Advanced level of presentation and relationship building skills
9
RCA Consultant Resume Examples & Samples
- Business Knowledge: Understands business line’s products and services. Ability to discuss third party risks and controls specific to the business line and can demonstrate the ability to recognize the relevance of risk trends, issues and potential risk exposure. Understands business ethics concepts and has knowledge of company policies and procedures related to the business line and on the enterprise level. Has working knowledge of corporate structure, hierarchy, and TPRM on an enterprise level
- Identifies key risks and controls of assigned business line and has the ability to convey all elements of the U.S. Bank Third Party Risk Management (TPRM) program to meet internal audit and OCC/regulatory requirements. Provides substantial business line guidance and consistently coordinates with responsible parties to ensure compliance with the requirements of the U.S. Bank TPRM program and applicable regulations
- Relationship Management: Manages Corporate and Business Directed TPRM relationships, as assigned. Manages elements of assigned Third Party risk including: Third Party assessments and reporting, including: audits assessments for completeness and accuracy; risk assessment management, quality reviews,; manages internal service level agreements, maintains appropriate documentation to satisfy internal audit and OCC requirements
10
RCA Consultant Resume Examples & Samples
- Directly interacts with, and partners among assigned lines of business, control partners, RCA consultants, and various management levels in support of exam /audit engagements or priority issue mgmt initiatives.
- Communicates and Interacts at an advanced level with internal and external audit entities covering a broad range of mortgage servicing processes under review.
- Provides exam or issue mgmt tailored expertise to BL’s through all phases of exam/issue mgmt lifecycles.
- Applies advanced interaction skills enabling AIM to act as a central coordinator for issue or exam information exchange across a variety of Bank entities.
- Requires advanced skills in leading multi personnel or dept conference calls, the ability to clearly communicate complex requirements via understandable terms, and at times directly communicating with sr. leadership.
- Advanced knowledge of exam/audit entities, the roles they play and interaction risks associated, combined with the ability to identify and respond to or escalate risks as appropriate.
- Advanced ability to lead communications with 1st through 3rd Lines of Defense and serve as a liaison between AIM and BL’s.
- Broad interaction experience with Risk Management and Control processes and personnel.
- Intermediate to advanced knowledge of Compliance, Legal and Regulatory processes and communication requirements.
11
RCA Consultant Resume Examples & Samples
- Investigations, claims processing, fraud prevention, or AML experience
- Critical thinking and line of sight
- Audit/compliance or law enforcement background
- Trending and data analytics aptitude
- Above average experience with Microsoft Access and Excel
- Experience with AML/SAR investigations or filing applications
12
RCA Consultant Resume Examples & Samples
- Facilitates completion of quarterly prohibited/restricted Credit Risk attestation, in coordination with the business units
- Partners with business units, other RCA Consultants, and RCA Managers to create, implement, maintain, review, and oversee an effective control inventory reflecting operational and compliance risks across Payment Services. Controls must be documented using standardized templates, and provide sufficient level of detail to inform Quality Control (QC) and Quality Assurance (QA) testing
- Works with business units to identify relevant key indicators to supplement control inventory and provide coverage for QA testing requirements (where applicable)
- Five to seven years of applicable risk management experience
- Experience with managing operational and/or compliance risks
- A self-directed and independently-motivated individual who places a high value on organizational skills and maintains strong business acumen
- Ability to work as part of a project team
- Excellent interpersonal, verbal and written presentation, and communication skills
- Advanced computer skills, including Microsoft Office applications
- General knowledge of policies, plans, procedures, products, and regulatory requirements for payment-related businesses
13
RCA Consultant Resume Examples & Samples
- Perform identity verifications using industry research database/tool (Lexis Nexis/Worldcheck)
- Maintain internal records of searches completed (Access database for management reporting metrics)
- Research and adjudicate potential sanctions or politically exposed persons matches
- Document clearly and accurately any conclusions from this research
- Perform various Quality Assurance checks and work with administrators to rectify any inconsistencies or errors identified
- Participate in projects as needed to address gaps in business line processes in order to comply with U.S. Bank corporate risk policies
- Bachelor's degree, or equivalent work experience in financial services
- Four to five years of experience in an applicable risk management environment and/or Trust Administration
- Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact Institutional Trust & Custody
- Familiarity with AML/CIP/KYC and sanctions basics a plus
- Proficient computer skills, especially Microsoft Office (specifically advanced Excel functions and Access) applications
14
RCA Consultant Resume Examples & Samples
- Perform identity verifications using industry research database/tool (Lexis Nexis)
- Maintain internal records of searches completed (Access database for management reporting metrics)
- Research and adjudicate potential sanctions or politically exposed persons matches. Document clearly and accurately any conclusions from this research
- Perform various QA checks and work with account managers to rectify any inconsistencies or errors identified
- Participate in projects as needed to address gaps in business line processes in order to comply with U.S. Bank corporate risk policies
- Two to three years of experience in an applicable risk management environment and/or corporate trust
- Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact Global Corporate Trust Services
- Able to research independently, think critically and problem solve
- Driven, with initiative and accountability
- Organized, able to work under pressure during high volume times
15
RCA Consultant Resume Examples & Samples
- Analyze business changes entered into the Business Change Inventory (BCI) tool and submitted to the BCRA process for accuracy, completeness and appropriateness
- Review submitted BCRAs to determine nature and extent of due diligence required based on risk factors identified on BCRA records
- Help BCI and BCRA users navigate the tool, properly interpret records, and overcome barriers to project completion
- Support business line engagement with the BCRA Process through fulfilling ad-hoc training requests and acting in an advisory capacity for business line risk and product resources
- Assist BCRA Program Director and Operations Manager in socializing program enhancements, collecting program feedback, and making recommendations to continuously improve BCRA program efficacy
- Develop and test requirements within the Archer application
- Demonstrated initiative, curiosity, and eagerness to learn
- Solid analytical and organizational skills
- Strong PC skills including all Microsoft products
- Ability to understand, interpret, and apply policy
- Experience with risk management or comparable programs
- Comfortable in fast-paced, high-energy environment and able to balance competing priorities to meet deadlines
- Knowledge of BCRA program, and BCI tool
- Relevant professional certifications
- Banking knowledge
- Experience with eGRC Archer platform
- Experience in change management or ongoing management programs
- Familiarity with U.S. Bank risk management culture and framework
16
RCA Consultant Resume Examples & Samples
- Bachelor’s degree or equivalent work experience.
- Three to five years of regulatory or testing experience.
- Intermediate understanding of CPS products / services as well as applicable laws, regulations, and regulatory trends.
- Exceptional technical, logical, analytical and problem solving skills.
- Effective interpersonal, verbal, and written communication skills.
- Excellent attention to detail.
- Effective time management skills with the ability to manage multiple requests simultaneously.
17
RCA Consultant Resume Examples & Samples
- Support WM&SS in an anticipatory posture related to the rapidly changing risk and compliance environment
- Prepare and monitor timeliness of various projects and regulatory reporting
- Participate in business unit projects and/or activities that support compliance with applicable federal, state and local laws and regulations
- Identify gaps and drive the corresponding implementation of solutions that minimize losses resulting from inadequate internal processes, systems or human errors
- Identify and escalate potential risks as appropriate
- Maintain and enhance business unit controls, including policies and procedures
- Maintain effective partnerships within WM&SS and with EFCC
- Develop and implement reporting, testing/monitoring, and exception/resolution activities
- Bachelor’s degree and ten years of applicable experience
- Experience with managing and administering data needs of a risk management function
- Strong process facilitation and project management skills. Strong analytical skills. Effective oral and written communication skills
- PC literacy in word processing, spreadsheets, databases, and presentations is required
- Incumbent has an advanced understanding of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Job scope and complexity of assigned business is broad and very complex. This role has an advanced understanding of the business line’s operations, products/services, systems and associated risks/controls
- They may lead reporting, testing/monitoring, exception/resolution activities and providing guidance
- They are responsible for training lower level and new staff. They typically interact directly with department managers requiring an advanced level of presentation and relationship building skills
- This position will also have occasional exposure to regulatory agencies
18
RCA Consultant Resume Examples & Samples
- Develop Financial Crimes Compliance key risk indicators and key performance indicators for CBSS
- Develop and implement executive and escalation reporting for CBSS
- Oversee the implementation of data governance and data lineage controls for CBSS
- Provide ongoing regular reporting to Enterprise Financial Crimes Compliance
- Build effective working relationships with key stakeholders including auditors and senior and executive management
- Perform ad hoc analysis/reporting and participate in regulatory initiatives or special projects as assigned by senior management
- Understanding of products, customers and expected type of activity in order to effectively identify risk and suspicious activity
- Adept at multi-tasking and meeting deadlines in high-pressure environment
- Strong interpersonal, written, and verbal communication skills
- Professional Certifications (or desire to work towards one): CAMS, CFE, CPA
19
RCA Consultant Resume Examples & Samples
- Work closely with Legal, Audit, impacted Business Lines, Compliance and Risk departments
- Support risk management and compliance functions related to designated Compliance Programs
- Assess compliance regulation and ensure impacted business lines are compliant and programs and controls are fully implemented and consistent
- Identify control deficiencies and develop action plans and drive resolution
- Monitor and track Issues related to Compliance Programs and work with impacted business lines to develop corrective action planning and program and control documentation
- Work on projects and other risk assessment duties as assigned
- Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact the financial industry
- Advanced understanding of compliance regulations and associated risks/controls
20
RCA Consultant Resume Examples & Samples
- Three to five years of experience working applicable risk management environment
- Three to five years of experience in quality control, quality assurance, compliance testing or audit roles for financial services company
- Demonstrates ability to identify and clearly communicate issues, cause, exposure and recommendations
- Strong leadership and supervisory skills
- Intermediate level of presentation (verbal/written) and relationship building skills
- Demonstrates a proven commitment to provide excellent customer service and models skills consistent with U.S. Bank Core Values and Distinctive Leadership Practices
- Intermediate understanding of Default Management operations (including but not limited to: Collateral Recovery, Payment Processing, Third Party Activity and Bankruptcy), products/services, systems and associated risks/controls
- Intermediate understanding of applicable laws, regulations, financial services and regulatory trends that impact consumers
- Comfortable working in a team environment with layers of required review/approval
- Prior leadership of staff
- Intermediate knowledge of statistical techniques desired, specifically relating to statistical inference and sampling methodology
- Strong computer (Microsoft Excel in particular), organizational and analytical skills
- Applicable professional certifications (e.g., C.I.A., C.B.A., C.F.A., C.F.S.A., C.P.A, M.B.A., and/or J.D.)
21
RCA Consultant Resume Examples & Samples
- An intermediate understanding of applicable laws, regulations, financial services, and regulatory trends impacting assigned line of business
- Moderate job scope and complexity of assigned business
- Intermediate understanding of the business line’s operations, products/services, systems and associated risks/controls
- Responsibility for reporting, testing/monitoring, exception/resolution activities and providing guidance
- Training lower level and new staff, as applicable
- Interacting with department managers requiring an intermediate level of presentation and relationship building skills
- Occasional exposure to regulatory agencies
- Three+ years of experience in an applicable risk management environment, demonstrated Risk/Compliance/Audit competencies
- Knowledge of regulations and regulatory changes impacting banking
- Process facilitation, project management, and analytical skills
- Reliable, honest, ethical, and collaborative team player
- Effective influencing skills
- Proficient computer skills, especially Microsoft Office applications, and technology knowledge
- Knowledge of TOS businesses
- Bank product knowledge and experience
- Experience with eGRC Archer tool
22
RCA Consultant Resume Examples & Samples
- Three to five years of experience in an applicable Compliance or risk management environment
- Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact consumer banking collections, recovery and default servicing activities
- Thorough understanding of the business line’s operations, products/services, systems, and associated risks/controls, including but not limited to retail collection of consumer and small business loans, lines, leases, and accounts
23
RCA Consultant Resume Examples & Samples
- Basic understanding of applicable laws, regulations, financial services and regulatory trends that impact consumers
- Operational Collateral Recovery and Operations experience or requisite knowledge
- Collections (Default Management) experience or requisite knowledge and basic understanding of Default Management operations, products/services, systems and associated risks/controls
- One to two years of experience in quality control, quality assurance, compliance testing or audit roles for financial services company
- Basic level of presentation (verbal/written) and relationship building skills
- Intermediate computer (Microsoft Excel in particular), organizational and analytical skills
- Working toward/willing to pursue applicable professional certifications (e.g., C.I.A., C.B.A., C.F.A., C.F.S.A., C.P.A, M.B.A., and/or J.D.)
24
RCA Consultant Resume Examples & Samples
- Engage on business line risk assessments. Understand impacts leading to business lines’ risk ratings
- Consult with business lines on audit findings; assist with determining acceptable risk balanced solutions providing credible challenge when needed. Review remediated issues for completeness and sustainability
- Monitor business lines open remediation issues. Insure progress toward completion is on target and escalate when appropriate
- Work with the business lines on Regulatory & Audit exams to monitor status, conduct pre-assessments as needed, and provide credible challenge as appropriate
- Work with business lines to understand consumer complaints and identify themes/cross business line impacts. Communicate findings and suggestions to business lines
- Work with business lines to insure completeness in loss reporting. Assist in determining root causes for losses and go forward preventative measures
- Understand business lines’ product and process “road maps”. Provide risk guidance on potential enhancements and new products. Engage as needed on corporate change control process to insure change requests are reviewed and processed efficiently
- Monitor regulatory trends
- Work with the business line to understand proposed business changes. Monitor progress on business change risk assessments and complete post implementation reviews to ensure risk mitigation plans are completed and changes have been implemented as planned
- Provide subject matter expert input on risk related issues. Partner with business lines, IT and other areas to determine best risk balanced approach to threats or issues
- Five or more years working in audit, compliance or risk management
- Ten or more years of professional work experience
- Strong understanding of the Lending Services and Operational processes
- Able to effectively collaborate with business line partners, Compliance and other internal areas
25
RCA Consultant Resume Examples & Samples
- Three to five years of experience in financial crimes, risk or compliance, and/or BSA/AML/OFAC risk management
- Fundamental knowledge of BSA/AML/OFAC regulations and compliance
- Strong investigational and analytical research skills
- Excellent written communication skills with the ability to summarize findings and present in a clear and concise manner to peers, direct and senior level management
26
RCA Consultant Resume Examples & Samples
- Reviewing candidates with one to six months of Risk Management experience, but normally require five to seven years
- Basic knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Basic understanding of the business line’s operations, products/services, systems, and associated risks/controls
- Basic knowledge of Risk/Compliance/Audit competencies
- Effective written and verbal communication skills
27
RCA Consultant Resume Examples & Samples
- Lead requirements gathering activities
- Create and document business and technical requirements for eGRC technologies
- Analyze Business Line requirements and recommend technology solutions
- Lead requirement gathering activities for multiple complex engagements a time
- Present finalized requirements to business partner groups
- Become proficient on RSA Archer eGRC Platform solutions and capabilities
- Manage daily workload to ensure assigned timelines are met
- Proven conceptual, analytical, and judgmental skills
- Demonstrated experience analyzing, interpreting, and communicating business requirements
- Demonstrated ability to evaluate complex Business Line requirements and recommend solutions
- Ability to work directly with business partners and management without supervision
- Leadership skills and ability to work well with diverse team members, often in multiple locations
- Familiarity with Agile development practices
- Experience documenting process flows
- Demonstrated experience identifying process gaps and implementing process improvements
- Ability to learn and become proficient with new technology quickly
- The ability to influence and persuade others without authority
- Experience interacting with and presenting to various levels of leadership including Senior Leaders
- A strong ability to multi-task and deliver results in a fast paced environment
- Proficient computer skills with Microsoft Office Suite, specifically Word, Excel, and Visio
- Experience with the RSA Archer Smart Suite Framework
- Familiarity with risk and compliance in a regulated industry, preferably finance
- Experience with WebFOCUS and/or Tableau reporting tools
28
RCA Consultant Resume Examples & Samples
- Manage the CMRA process for CBSS to ensure materials are submitted, reviewed, and tracked appropriately
- Identify key regulatory and compliance risk indicators from materials and appropriately share with appropriate CBSS risk leads
- Ensure appropriate front end risk review of applicable procedures, training, customer facing letters, etc., issued through current compliance management system
- Demonstrate strong regulatory expertise and provide regulatory compliance review of CMRA materials, as needed
- Support CBSS in an anticipatory posture related to the rapidly changing risk and compliance environment, while balancing process efficiencies and customer experience
- Build and maintain an effective CBSS CMRA program including appropriate risk assessment, preventive controls, detective controls, issue management, and management reporting
- Drive and/or manage change across CBSS including regulatory changes, policy changes, and/or business changes
- Review materials to ensure compliance with applicable federal, state and local laws and regulations as well as policy requirements
- Self-identify issues and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors
- Identify, respond to and/or escalate risks as appropriate
- Maintain effective partnerships within CBSS, Corporate Compliance, the Law Department and other key CMRA participants
- Five to seven years of experience in regulatory compliance activities
- Applicable certifications
- Demonstrated strong regulatory knowledge
- Proven experience managing business tasks related to Regulatory Change/ Compliance projects
- Good organizational and project management skills
- Ability to interact effectively with staff at multiple levels in the organization
29
RCA Consultant Resume Examples & Samples
- Advanced understanding of Mortgage Servicing line of business operations
- Ability to review, understand and interpret applicable state/federal laws and regulations impacting Mortgage Servicing lines of business
- Knowledge of Risk/Compliance/Audit/ competencies
- Must possess business acumen to help Mortgage Servicing lines of business proactively identify and address operational changes
- Proficient Microsoft Office application skills
- Knowledge of Mortgage Servicing systems, especially Blacknight Financial (MSP/LPS)
30
RCA Consultant Resume Examples & Samples
- Leads the identification, mitigation, measurement, control, monitoring, and reporting of quality assurance and control environment activities. Responds to and/or escalates risks as appropriate
- Fosters strong collaboration with the business units to create, implement, maintain, review, and oversee an effective risk management framework, with a focus on quality assurance and control activities
- Serves as a functional liaison between the Payment Services’ business units and other Lines of Defense, including Corporate Operational Risk Management (ORM)
- Supervises one direct report
- Seven to ten years of applicable risk management experience
- Experience with quality assurance testing and quality control
- Ability to conduct an analysis of a business need, including scheduling meetings, planning agendas, and conferring with business unit leaders
- Advanced Excel skills required, including data aggregation, pivot tables, analysis, and charts
- Advanced PowerPoint skills required, including executive-level reporting
- General knowledge of policies, plans, procedures, products, and regulatory requirements for assigned business unit
- Prior supervisory experience
31
RCA Consultant Resume Examples & Samples
- Work with CBSS Business Lines, CBSS Risk Managers, and Risk Partners to plan and execute various risk initiatives as assigned
- Work with CBSS Business Lines and CBSS Risk Managers on Regulatory & Audit exams to monitor status, conduct pre-assessments as needed, and provide credible challenge as appropriate
- Provide support to Senior Business Line Risk Managers and Risk Managers within CBSS Risk
- Serve as a functional liaison between the Lines of Business and the Lines of Defense
- Familiarity with multiple CBSS Business lines and their operational processes
- Able to effectively collaborate with business line partners, senior management, Compliance, the Second and Third Line of Defense, and other internal areas
- Proficient in Microsoft Office and Visio
- Ability to manage multiple assignments and deadlines concurrently
32
RCA Consultant Resume Examples & Samples
- Provide support around critical information and how it is used for business processing within the organization. This may be for many systems of record, provisioning points (data warehouses, marts) or business processes
- Ensure that strong controls are in place to deliver data that is fit for purpose within the business line or for assigned system of record, provisioning point or business process(s)
- For data that is not meeting quality expectations, or where there are insufficient controls, ensure clear requirements are defined, and remediation approaches and plans are in place to improve
- Facilitates development of business data flows, documentation of control and completion of control assessment for all high risk reports
- Signoff on accuracy of business data flows, and control environment
- Participate in working groups to advise on recommendations for developing our enterprise data governance capabilities
- Ensure compliance with the enterprise data governance policy and guidance
- Adopt enterprise solutions
- Be knowledgeable about consumers use and needs for the data delivered within the business line in support of internal and external business line functions
- Support manager in development and documentation of KPIs/KRIs, identification of risk and development of remediation approaches and plans
- Be technically knowledgeable to partner effectively with Information Technology team
33
RCA Consultant Resume Examples & Samples
- Support ongoing the capabilities that will improve and sustain the governance, management, protection and value of U.S. Bank’s data assets pushed down to the BL level
- Support ongoing EDG policy implementation to enable compliance with regulator expectation at the BL level
- Support ongoing EDG approaches and guidance materials around core capabilities needed to implement to BL level of data governance capabilities not limited to data quality, common taxonomy, change control, reference data, and master data management, data protection
- Perform analysis and collaborate with business lines to help deliver clear guidance on policy requirements to allow for adoption by business lines
- Collaborate with IT to help provide requirements as they need to develop a more robust and stream lined data architecture and tooling
- Support the business lines in their adoption of the policy and guidance
- Support adoption of enterprise solutions
34
RCA Consultant Resume Examples & Samples
- Partner with the Senior Business Line Risk Manager, Business Line Risk Managers, and Analysts within the line of business on maintenance of a sound continuity-focused, operational risk management framework. Assists with project management, monitoring, reporting, and coordination of procedures used to evaluate and control continuity risk
- Help ensure appropriate identification and response to continuity-related risks within the business, and coordinate efforts to foster awareness and understanding of key risk management concepts
- Helps analyze risk-related matters, and serve as a functional liaison between the line of business and corporate-level risk management resources
35
RCA Consultant Resume Examples & Samples
- Working knowledge of Human Resources related laws, regulations, as well as regulatory trends that could impact the Human Resources assigned line of business
- Understands the Human Resources business lines’ operations, products/services, systems, and associated risks & controls
- Familiar with Risk/Compliance/Audit competencies
- Strong analytical ability, project management and facilitation skills
36
RCA Consultant Resume Examples & Samples
- Execute strategies to assemble transaction information across multiple platforms
- Conduct data exploration, quantitative research and data mining to uncover money laundering patterns
- Formulate monitoring framework and rules with comprehensive performance metrics
- Work with external resources and leverage advanced technology to improve detection effectiveness
- Present findings, highlight de-risking opportunities and identify risk assessment improvement options to team members, stakeholders, and senior management
- Build up analytic infrastructure and standardizing technical logic within S&ER team
- Support data analyses within compliance organization
- Degree in Computer Science, Statistics, Mathematics, Engineering, Economics, or comparable work experience required. Advanced degree preferred
- Strong experience in data research using SQL and SAS/R/Python for data analysis and mining (3-5 years)
- Demonstrated experience with statistical modeling and understanding of various modeling techniques (e.g., regression, factor analysis, clustering, time series analysis, decision tree, non-liner models) (1-3 years)
- Strong experience with data warehouse, relational database structures, or Hadoop framework
- The successful candidate must demonstrate a relentless drive and demonstrable ability to achieve high quality results in a creative fashion while working independently
- Demonstrated attention to detail, great quality of work, ability to produce clear, concise work products
- Strong verbal and interpersonal communication skills needed to work effectively in a team environment
- Ability to collaborate with individuals across business and/or functional lines
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RCA Consultant Resume Examples & Samples
- Provide BCRA risk related oversight, guidance and consultation for CBSS business line
- Conduct initial SBLRM review of new BCRA to assess strategic and reputational risk; recommend due diligence when appropriate
- Monitor progress of all CBSS BCRAs; provide guidance to project owners to ensure timely response to SME risk mitigation recommendations and that BCRAs are approved in a timely manner
- Provide detailed reporting to business line partners, business unit managers, and senior management at the CRO level
- Collaborate with business lines to ensure BCRA requests are complete; understand key approval and anticipated implementation dates
- Work with business lines on BCRA expedite requests; ensure business justification is appropriate
- Attend kickoff meeting conducted for each BCRA
- Engage with BCRA program office to facilitate BCRA approval process
- Collaborate with all the applicable CBSS Risk representatives including EFCC, Compliance, Business Line support, etc
- Proficient computer skills, especially Microsoft Office applications (Excel and Access preferred)
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RCA Consultant Resume Examples & Samples
- Support GCTS’s compliance with the Bank’s AML program
- Perform Lexis Nexis verifications on new customers
- Review customer information to ensure the data meets Bank standards for new account onboarding
- Assist in reviewing the documentation supporting new business transactions
- Provide back-up support to other risk control analyst positions as needed, such as reviewing, monitoring and tracking sanction and PEP related items
- Assist manager in gathering information related to assessments performed by the bank Enterprise Financial Crimes Compliance group
- Strong oral and written, communication skills, planning and implementation skills
- Knowledge of the various GCTS products and services
- Required: Bachelor’s degree
- 2-3 years applicable experience
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RCA Consultant Resume Examples & Samples
- Policies and Procedure reviews, updates and development
- Perform analysis of controls which mitigate regulatory risk identified within the Enterprise Compliance Risk Assessment
- Lead the regulatory change management process for TT&SS and develop governance documents supporting operational changes due to new regulations
- TT&SS Risk and Control Self-Assessment documentation and evaluation
- Lead and or participate in projects, acquisition and integration initiatives, to provide regulatory interpretation, and impact analysis
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RCA Consultant Resume Examples & Samples
- Ability to review, interpret and understand the impact of a regulatory change
- Advanced understanding of Mortgage Servicing Line of Business operations, systems, and associated risks/controls
- Knowledge of QA/Risk/Compliance/Audit competencies
- Proficient computer skills
- Knowledge of Blacknight Financial systems (MSP and Process Management)
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RCA Consultant Resume Examples & Samples
- Provide BCP risk related oversight, guidance and consultation for specified business line in CBSS
- Provide oversight for all Business and Service Continuity assessments, plans, exercises, activations, and training requirements in specified business unit
- Manage Key Performance Indicators/Key Risk Indicators reporting for specified business unit
- Responsible for the resolution of audit findings for business line related to Business Continuity Program
- Ensure continuity plans are developed, maintained and exercised in accordance with the Business Continuity policy, standards and guidelines
- Communicates business and service continuity program requirements, status and information to all program roles
- Liaison to business line readiness managers, planners, technical owners and corporate analyst for all BCP/SCP compliance or project roll-outs
- Strong understanding of and or experience in the business lines supported in CBSS and Business Continuity
- Understanding of the regulations and laws that apply to the business lines supported
- Strong problem solving skills and process orientation
- Strong leadership skills. The ability to negotiate and collaborate between business lines and corporate level risk (Compliance, Audit and Legal)
- Able to work professionally and effectively with a wide variety of internal partners including and business line partners
- Certified Business Continuity Professional (CBCP)
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RCA Consultant Resume Examples & Samples
- Policy and Procedural reviews and changes
- Issues Management program
- Regulatory, internal and external audit coordination
- Service Organization Control (SOC) reporting coordination
- Presentations of reporting, analysis and internal control certifications to senior management
- Risk Appetite statement, standards and measurement
- Participation in Trust Technology and Support Services (TT&SS) Risk and Control Self-Assessment documentation and evaluation
- Provide support for AML/BSA/OFAC and Fraud risk management and other regulatory compliance as needed
- Lead and or participate in projects, acquisition and integration initiatives, to provide regulatory interpretation and impact analysis
- Bachelor's degree, or equivalent work experience in financial or risk related services
- Five or more years of experience in an applicable risk management environment
- Considerable knowledge of applicable laws, regulations, financial services and regulatory trends that impact their assigned line of business
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RCA Consultant Resume Examples & Samples
- Compile and construct presentations for Regulatory and operating committee consumption
- Coordinate Regulatory, internal and external audits
- Coordinate materials for Second Line of Defense or other committee
- Navigate the company to gather and provide Regulatory responses and Governance materials
- Generate reports and documentation as required
- Document and maintain processes
- Review Policies and Procedures changes
- Coordinate with RMF team to align to Corporate Risk requirements
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RCA Consultant Resume Examples & Samples
- Perform quality assurance testing and effectively communicate results up to business line leadership
- Assist business lines with remediation plan development and validation
- Independently perform testing of SOX, RCSA, Basel, ECRA and other operational controls
- Review relevant corporate policies and procedures (i.e. Information Security Policies) to confirm compliance
- Conducts detailed analyses on controls and procedures to support QA testing
- Leading and/or participating in ongoing meetings with the business units
- Aggregating and providing executive level reporting on QA planning and testing results on an ongoing basis
- Understand the Business Line Quality Assurance (BLQA) Policy requirements for QA planning and testing activities
- Travel approximately 25% to Operations Services sites for testing engagements
- Three to Five years of experience in an applicable risk management environment
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RCA Consultant Resume Examples & Samples
- Mortgage underwriting or processing experience
- Experience auditing mortgage loans
- Analytical background
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RCA Consultant Resume Examples & Samples
- Excellent computer skills, including Microsoft Office, specifically proficient in Excel
- Knowledge of credit, accounting, credit policy and financial statement analysis
- Strong ability to analyze credit data
- Ability to manage multiple projects and deadlines simultaneously
- Chartered Financial Analyst
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RCA Consultant Resume Examples & Samples
- Responsible for the reporting of currency transactions and suspicious activity in accordance to the Bank Secrecy Act
- Provide assistance and direction to bankers in regard to currency transactions reporting
- Knowledge of bank’s operational policies, procedures, products and services
- Ability to identify and interpret data and resolve exceptions
- One to three years of clerical experience
- Basic knowledge of banking operational policies, procedures, products and services
- Good analytical skills
- Proficient computer skills, Data Entry, Word and Excel skills
- Important information: This position is recruited for by a remote Kelly office, not your local Kelly branch. To be considered for this position, please use the “SUBMIT RESUME” button below to submit your resume. If you have questions about the position, you may contact the recruiter recruiting for this position (parisjm@kellyservices.com). Your resume must be received via the “SUBMIT RESUME” button included within**
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RCA Consultant Resume Examples & Samples
- Facilitate monthly operational loss management meetings with business unit stakeholders and Corporate ORM
- Maintain CBSS Operational Loss Procedures
- Help maintain the CBSS Operational Loss database to aid in statistical analysis and reporting
- Facilitate reporting for monthly operational loss certification, and related SOX quarterly certifications
- Circulate external operation loss data events to stakeholders to determine potential of related events within CBSS
- Communicate procedural updates to CBSS business units
- Manage Customer Reimbursements reporting and tracking for CBSS
- Ensure business units and CBSS Risk have appropriate desktop procedures
- Support business units in development of procedures to proactively identify gaps
- Work with the business units to ensure proper assignment of operational loss taxonomies and data quality
- Aid in the tracking and correlation of Operational Losses and Consumer Complaints
- Aid in the monthly general ledger and Operational Loss database reconciliation
- Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact Consumer Banking Sales and Support business units
- Strong process facilitation, project management, and analytical skills, including above average capabilities in Excel and PowerPoint reporting
- Experience writing and reviewing procedures
