Regulatory Risk Manager Resume Samples
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Regulatory Risk Manager Resume Samples
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ST
S Thompson
Stefan
Thompson
618 Heller Fall
Chicago
IL
+1 (555) 935 6649
618 Heller Fall
Chicago
IL
Phone
p
+1 (555) 935 6649
Experience
Experience
Dallas, TX
Regulatory Risk Manager
Dallas, TX
Hamill-Cormier
Dallas, TX
Regulatory Risk Manager
- Developing and maintaining weekly management control dashboards and regulatory reporting to ensure awareness and visibility to key trends and emerging risks
- Collaborating with business line customer care group to ensure Consumer Complaint Compliance
- Supporting regulatory exam process through the documentation and sizing of potential issues and risks identified during the reviews
- Validating reporting to ensure accurate and consistent Issues and metrics reporting within established SLAs
- Developing and maintaining a comprehensive calendar of regulatory, internal audit, compliance, and other reviews and identifying overlaps or control gaps
- Collaborating with the CBI Compliance group for all aspects of regulatory compliance
- Coordinating with Centralized HMDA unit ensure HMDA compliance
Los Angeles, CA
Ccar RWA Forecasting & Analytics Regulatory Risk Manager
Los Angeles, CA
Halvorson, Schowalter and Hansen
Los Angeles, CA
Ccar RWA Forecasting & Analytics Regulatory Risk Manager
- Calculating Risk Weighted Assets projections for Wholesale exposures using Basel III Advanced and Standardized approaches
- Define and Perform attribution analysis of various risk parameters used for RWA forecasting
- Contribute to the creation of Senior Management-ready materials, particularly CCAR presentations to Lines of Businesses, Independent Risk Management, Finance and Regulators
- Partnering with Model Validation Group (MVG), Model development and relevant stakeholders to address the model action items and recommendation provided by the MVG
- Calculating Risk Weighted Assets projections for Securitization exposures consisting of both Banking and Trading book using Basel III Advanced and Standardized approaches
- Performing quantitative analysis and assess relevancy of the key risk weight parameters such as Delinquency, Tranche parameters forecasted by the Model development teams
- Continuously improve subject matter expertise relating to Basel III regulatory guidelines and financial products in the business areas to become a trusted advisor to the work stream leads, acting as a partner in delivering RWA analysis and articulating them in presentations to seniors in a crisp and concise manner
present
Philadelphia, PA
Mortgage Lending Servicing Quality Monitoring Regulatory Risk Manager
Philadelphia, PA
Becker-Grimes
present
Philadelphia, PA
Mortgage Lending Servicing Quality Monitoring Regulatory Risk Manager
present
- Assist in management of audits performed by regulators with respect to mortgage servicing
- Ensure personal development plans (PDPs) are developed and put into place for all associates
- Assist Mortgage Lending Servicing Quality Monitoring Manager in maintenance of policy and procedure manuals
- Promote effective communication with business partners to achieve optimum feedback and improve the value of the recommended actions to the line of business
- Provide guidance on sampling methodologies utilized to assure samples are reflective of servicing processes
- Participate and provide leadership in Mortgage Lending and Bank initiatives and serve on select oversight committees, including those related to Credit Risk and Compliance Risk
- Conduct analysis to understand the root cause and provide early warning of problem areas in order that corrective action is taken to avoid unnecessary risk or expense
Education
Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
Loyola Marymount University
Bachelor’s Degree in Business
Skills
Skills
- Excellent written and verbal communication skills including the ability to effectively communicate and collaborate with offsite teams
- Strong project management skills and ability to oversee several reports/projects at once
- Working knowledge of Asset & Wealth management functions, compliance regulations as well as general knowledge of risk and controls
- Ability to consistently produce high quality work, fine-tuned to the audience
- Ability to work in fast-paced environment with multiple deliverables and ad-hoc requests
- Exceptional knowledge in data quality methodologies, this includes route cause analysis, implementing solutions and monitoring progress
- Strong ability to comprehend complex Risk and Financial systems and processes
- Highly organised and able to work to tight deadlines
- Strong interpersonal skills and ability to communicate effectively both verbally and in writing
- Strong interpersonal skills and the ability to foster a collaborative environment
15 Regulatory Risk Manager resume templates
Read our complete resume writing guides
1
VP-business Analyst / Regulatory Risk Manager Resume Examples & Samples
- Experience modeling market risk (VaR), derivatives exposures and/or securitization exposures
- General familiarity with Basel regulatory capital requirements
- Basic understanding of consumer and institutional banking products
- Citibank specific knowledge in products and systems are desirable
- At least 5 years of banking experience is required
- Strong modeling/programming skills and experience, especially in C/C++, VBA and Excel
- Experience with quantitative methods, Monte Carlo simulations, and statistical analysis
- Be organized, disciplined and detail oriented
- Ability to multi-task and set priorities
- Team player - ability to both lead a team and be a member of a team
- Keen interest in banking and finance, especially in the field of risk and capital management
- Educated to postgraduate level, with an excellent academic record in a quantitative field, such as mathematics, physics, statistics, or similar
- MSc level qualification is required; PhD or equivalent level is preferred
2
Regulatory Risk Manager Resume Examples & Samples
- Substantial experience in business analysis, technology project management and systems testing in the Financial Services industry. Prior work in Risk Management is a substantial plus
- Excellent written and verbal communication skills including the ability to effectively communicate and collaborate with offsite teams
- Proficiency in Microsoft Project, MS Word, Excel, PowerPoint and Visio
- Ability to perform data analysis in Excel and related tools
- Bachelor's degree with 5 or more years' experience
- Self-starter who can work without detailed oversight but provides appropriate level of communication to management, and can identify risks and escalate in a timely manner
- Experience with Quantitative Analytics, Machine Learning, Data Science related tools and technologies an added bonus
3
Business Analyst / Regulatory Risk Manager Resume Examples & Samples
- Strong analytical skills where one can look at and understand large sets of data and utilize the information found in that data to identify problems or resolve issues
- Strong background in systems design and integration along with the ability to propose and deliver automated solutions to existing manual processes
- Excellent analytical skills both on re-engineering existing business processes and redesigning data flows
- Ability to work with business and technology to design, execute, test and deploy technology solutions
- Provide project management support and report issues, status and resolutions to core program team
- Participate in user testing and quality assurance as well as be responsible for the transition from a manual to automated systemic solution and ensure continuity between quarterly submissions
- Strong understanding of financial and risk reporting and prior regulatory reporting experience desired
- Strong organizational skill with ability to track, plan, monitor, and report on multiple projects and issues as well as attention to detail around each of these abilities
4
Regulatory Risk Manager Resume Examples & Samples
- Innovation in Market Risk Systems
- Ensure market risk systems initiatives meet Business, Regulator, Audit and Credit Policy requirements and resolve flagged issues
- Improve Stability and Lower Cost through the Market Risk Project Management Office
- Track and maintain change requests so that changes and the evolution of requirements are traceable
- Minimum 5 years of hands on program management experiences in top financial services organizations
- Proven analytical and problem solving skills with in-depth understanding of financial models, especially interest rate, FX, Equity, Commodity, Credit Derivatives models and the latest developments in the Basel III, CVA and CCAR
- Undergraduate degree in quantitative field such as Math, Physics, Computer Science is essential
5
Regulatory Risk Manager Resume Examples & Samples
- High level competency in translating business requirements and issues into IT solutions, including opportunity identifications, requirements documentation, delivery, support and analysis
- Experience in Basel II Retail requirements, processing and reporting
- Exceptional knowledge in data quality methodologies, this includes route cause analysis, implementing solutions and monitoring progress
- Experience in system architecture, design, SDLC, analysis, testing and support
- Knowledge of Global Consumer Bank (GCBC) data warehouse is a preference
- Deep knowledge of project management tools and practices
- Minimum of 5 years’ experience of financial services required
- Bachelor’s degree required, an MBA is a plus
- Self-driven, results-oriented with positive outlook and clear focus on high quality and achieving business unit objectives
6
Regulatory Risk Manager Resume Examples & Samples
- Serve as the FRA Lead and point of contact for all SFT CCAR deliverables
- Work with Risk Management, Analytics, Technology and the Capital Planning Group to build the submission and get approvals
- Working with Finance/LEA to define the population based reconcile with financials
- Liaising with FRA partners and Technology to acquire missing pieces of SFT data
- Building documentation around the submission including assumptions, defaults used
- Provide management updates on status and issues on the SFT work stream
- Building a strong knowledge base of Secured Financing Transactions by rigorous data analysis and interaction with Finance and Risk
- Must have ability to analyze complex and voluminous data
- Must have working knowledge or Databases (Oracle and Access) and Excel
- Knowledge of Counterparty Credit Risk, Exposure Calculations, Risk Monitoring & Reporting, Requirements Gathering and Project Management
- Must have knowledge of Financial Risk systems and Capital Market Products
- Must have excellent analytical, writing, communication and presentation skills
- Must have working knowledge of commonly used reporting tools, Power point, Excel
- Must be able to interpret complex data issues and liaise with Technology teams for resolution
- Must have experience in strategic planning, execution and change management
- Must have excellent relationship building skills
7
Alternative Assets & Investments Senior Regulatory Risk Manager Resume Examples & Samples
- Play a key leading role in all risk infrastructure and regulatory initiatives on behalf of AA&I Risk
- Work on CCAR and other stress testing initiatives and manage the AA&I Risk submissions
- Liaise with the Basel Interpretative Committee, Finance, Businesses and other risk managers to ensure the proper interpretation of Basel rules and ensure correct Basel classifications for the equity investments portfolio
- Form a close partnership across stakeholders in Finance, Bank Regulatory, Audit & Compliance, Technology and Risk Management teams to assist in responding to regulatory requests and MRA’s that relate to equity investments
- Provide ad-hoc support to management inquiries with respect to equity investments exposure numbers. Diagnose problems and recommend solutions / fixes
- Partner with Finance, Risk Systems and Technology to automate processes and integrate equity investments exposure into the overall Risk / Finance systems framework
- Identify potential process improvements and capabilities to increase consistency, transparency, and reliability of equity investments data
- Support the overall integration of AA&I Risk into the ICG Risk Organization. Identify opportunities for synergies and cross-utilization of ICG Risk resources
- Risk management experience, with knowledge of private equity and/or credit risk
- Solid understanding of CCAR / stress testing and Basel III
- Familiarity with Risk and Finance systems is a plus
- Ability to manage multiple tasks concurrently in an efficient and effective manner with minimal supervision
- Strong analytical and problem solving skills required along with a high attention to detail
- Enthusiastic, self-motivated, ability to work under pressure
- Excellent communication and interpersonal skills to communicate with internal stakeholders and regulators, both verbally and written
- Ability to build strong relationships with key internal stakeholders
8
Regional Regulatory Risk Manager Resume Examples & Samples
- Managing known and emerging regulatory risks
- Assessing and providing appropriate responses to regulatory requirements and changes
- Identifying, remediating and driving gaps against regulatory rules
- Prioritization of improvements, including participation on IT Prioritization Committees
- Training appropriate staff on Regulatory Requirements and Upcoming changes
- Lead regulatory preparations for exams and discussions
- Represent Equities on both internal and external forums where appropriate relating to regulatory matters
- Participate in Production, Operation and other Governance committees as required
- Ensure written supervisory procedures are appropriate for US
9
Equities Regulatory Risk Manager Resume Examples & Samples
- Identify key regulatory risks and initiatives to proactively prepare EMEA Equities for upcoming regulations or regulatory challenges to the industry as well as manage, coordinate and mobilise regulatory risks within Equities, working in partnership with Regulatory Relations, Compliance, IT and the COO function
- Identify the key regulatory concerns of our client base and ensure we can address them as well as review our current business practices in the light of current and upcoming regulatory change and highlight areas where change should be considered as well as review and assess our processes, procedures and infrastructure in order to ensure they are fit for purpose with the recommend changes where required
- Work with our supervisors in order educate them on both internal and external requirements
- Work in partnership with Regulatory relations to prepare Equities Management and the business more broadly for key regulatory meetings and inspections and to ensure responses to regulatory requests are consistent and high quality
- Participate in appropriate Equities committee meetings to ensure relevant parties are aware of and engaged in appropriate regulatory risk initiatives as well as operate as a central focal point for EMEA Equities wide regulatory risk
10
Regulatory Risk Manager / Senior Manager Resume Examples & Samples
- The Regulatory Risk Manager/Senior Manager will be held accountable for
- Advising senior management, head of compliance and other risk management functions about strategic changes and regulatory developments
- Advising the regional head of compliance (with business-embedded compliance) about new product/business approvals (relating to equity and fixed income securities trading businesses, funds management, lending, equipment leasing, investment banking, etc.)
- Leading the review on behalf of Compliance of transformative acquisition or restructuring proposals
- Assessing the impact of material regulatory developments throughout the Americas and assist in implementation of new policies, procedures and controls across relevant businesses (e.g., Dodd Frank OTC Derivatives regulations)
- Coordinating the review of material outsourcing, key workplace technology, and other high impact initiatives
- Providing support to other Compliance teams in analyzing complex compliance and regulatory risks
- 5+ years of experience in a private practice or as in-house counsel providing advice on regulatory and other compliance matters impacting financial institutions
11
Regulatory Risk Manager Resume Examples & Samples
- Document and report company policy and procedure violations perpetrated both by associates and guests in a formal written report. Must collect, process and maintain any evidence in conjunction with the apprehension of individuals detained
- Assist store management in giving new associate orientations, shoplifting prevention training classes and performing store procedural and safety audits
- Assist store management in identifying safety concerns, including education and awareness
- Assist store management in completing risk assessments, including action plans to minimize guest and/or associate accidents
- Conduct surveillances of associates and conduct preliminary investigations of suspected internal theft or fraud as assigned by the District Manager or Manager of Investigations
- Complete weekly asset protection audits
- Complete monthly stockroom audits
- Assist in completing monthly safety inspections
- Assist in CCTV troubleshooting, repairs and/or replacement
- Assist in EAS troubleshooting, repairs and/or replacement
- Follow company policies and procedures and maintain a safe work environment
- Perform other related duties and special projects as assigned by the District Loss Prevention Manager
12
Mortgage Lending Production Quality Monitoring Regulatory Risk Manager Resume Examples & Samples
- Provide leadership to ensure quality monitoring of mortgage loan retail, correspondent, and home loan direct production are performed with adherence to federal regulations (e.g. Appraisals, Bank Secrecy Act/Anti Money Laundering - USA Patriot Act, Fair Lending, Flood Determinations and Insurance Requirements, loan disclosures and terms in the closing process, loan disclosures and terms in the application process, Loan Officer Rules and Compensation, Loans to Executive Officers, Directors, and Principal Shareholders, Product Offering, Transactions with Affiliates, and Underwriting) that comprehensive management reports are produced and distributed on a scheduled basis, and any issues identified during monitoring are remediated promptly
- Provide leadership in developing real time quality monitoring program for mortgage lending production
- Identify, compose, and ensure follow up of action plans identified during quality monitoring ensuring to escalate any issues that are not being remediated promptly
- Ensure Mortgage Lending Production Quality Monitoring Regulatory Risk Analysts are well trained in areas of federal regulation and detection of mortgage fraud
- Assist Mortgage Lending Production Quality Monitoring Manager in review and interpretation of proposed and existing regulatory guidelines
- Conduct defective product analysis to understand the root cause and provide early warning of problem areas in order that corrective action is taken to avoid unnecessary compliance risk or expense
- Direct and ensure that correspondent lending center audits are performed as appropriate and deemed necessary
- Provide guidance on regulatory requirements to underwriting managers, processing managers, group and regional mortgage managers, Credit Risk Management and senior Mortgage Lending management
- Participate and provide leadership in Mortgage Lending and Bank initiatives and serve on select oversight committees, including those related to mortgage production, appraisal management, compliance and fraud mitigation
- Assist in management of audits performed by regulators and internal/external auditors with respect to mortgage loan production
- Provide guidance on sampling methodologies utilized to assure samples are reflective of mortgage production mix
- Conduct research and analyses and maintain knowledge of emerging mortgage production-related industry actions and concerns and report findings to appropriate senior management
- Facilitate and actively participate in monthly forum for underwriting managers, processing managers, group and regional mortgage managers, Credit Risk Management and senior Mortgage Lending management to provide results and remediation needs for quality monitoring
- Ensure department policy and procedures are developed and maintained as needed
- Promote effective communication with business partners to achieve optimum feedback and improve the value of the recommended actions to the line of business
- Ensure development plans are developed and put into place for all associates
- Ten years of mortgage experience, quality monitoring/assurance/control, underwriting, risk management, and regulatory compliance
- Five years management experience preferably in quality monitoring/assurance/control, underwriting, risk management, and regulatory compliance
- Strong knowledge of all applicable laws, regulations, and company audit policies and procedures and the ability to effectively interact with all levels of senior management, Fannie Mae, Freddie Mac, FDIC and CFPB
- Demonstrated proficiency in basic computer applications, such as Microsoft Office products
- MBA supplemental education and experience in residential mortgage lending, including audit, quality control, underwriting or regulatory compliance
- Strong knowledge of the Unifi mortgage loan origination systems and overall mortgage production processes (Mortgage loan origination, processing, underwriting, closing, and government insuring)
13
Mortgage Lending Servicing Quality Monitoring Regulatory Risk Manager Resume Examples & Samples
- Provide leadership to ensure quality monitoring of mortgage servicing are performed with adherence to federal regulations (e.g. Regulation X: RESPA, Regulation E: Electronic Funds, Regulation Z: Truth in Lending, HPA: Homeowners Protection Act, Flood Disaster Protection Act, and SCRA (Service members Civil Relief Act) and that comprehensive management reports are produced and distributed on a scheduled basis and any issues identified during monitoring are remediated promptly
- Provide leadership to ensure that scheduled servicing-related quality monitoring reports are accurately completed and distributed to appropriate management in a timely manner
- Assist Mortgage Lending Servicing Quality Monitoring Manager in maintenance of policy and procedure manuals
- Identify, compose, and ensure follow up of action plans identified during quality monitoring ensuring to escalate any issues that are not being remediated promptly by partnering with the appropriate line of business to resolve
- Conduct analysis to understand the root cause and provide early warning of problem areas in order that corrective action is taken to avoid unnecessary risk or expense
- Participate and provide leadership in Mortgage Lending and Bank initiatives and serve on select oversight committees, including those related to Credit Risk and Compliance Risk
- Assist in management of audits performed by regulators with respect to mortgage servicing
- Provide guidance on sampling methodologies utilized to assure samples are reflective of servicing processes
- Conduct research and analyses and maintain knowledge of emerging mortgage servicing-related industry actions and concerns and report findings to appropriate senior management
- Ensure Mortgage Lending Servicing Quality Monitoring Regulatory Risk Analysts are well trained in areas of federal regulation
- Facilitate and/or actively participate in monthly forum for Mortgage Servicing Performing and Non-Performing management, Credit Risk Management, Compliance, and Senior Mortgage Lending Management to provide results and remediation needs for quality monitoring
- Ensure personal development plans (PDPs) are developed and put into place for all associates
- Bachelor’s degree or equivalent education and related training
- Ten years of mortgage experience, quality monitoring/assurance/control, mortgage servicing, risk management, and/or regulatory compliance
- Five years management experience preferably in quality monitoring/assurance/control, mortgage servicing, risk management, and/or regulatory compliance
- Strong knowledge of all applicable laws, regulations, and company audit policies and procedures and the ability to effectively interact with all levels of senior management, FDIC and CFPB
- Demonstrated ability to drive team performance and efficiencies
- Ability to support multiple tasks with varying levels of complexity, importance and involvement
- Must exhibit a keen attention to detail and the ability to quickly comprehend information
- MBA supplemental education and/or experience in mortgage servicing, including audit, quality control, and/or regulatory compliance
- Strong knowledge of the MSP servicing system and overall mortgage servicing processes e.g. Acquisition/transfers, Customer Service, Escrow Administration, Payoff, Payments, Investor Reporting, Collections, Loss Mitigation, Foreclosure and Bankruptcy
14
Svp Regulatory Risk Manager Resume Examples & Samples
- Represent FRA in data quality technical releases in a strategic data warehouses and dimension impact on Data Quality. Support planning for solutions to DQ problems – be they technology or process changes
- Support tracking of the solutions to final implementation via the issues management and resolutions process (IMR)
- Serve as SME in investigation of root cause of data quality (DQ) problems that cause material exceptions per Risk’s DQ Scorecard
- Perform ad-hoc analyses to explore potential problems raised by business partners and peer group Subject Matter Experts
- Strong ability to comprehend complex Risk and Financial systems and processes
- Experience in intensive data analysis with the aid of spreadsheets & business intelligence tools like Hyperion, Cognos, Business Objects, etc
- Excellent interpersonal skills: ability to interact successfully with business partners, operations, technology and finance teams to optimize results
- Ability to provide clear direction and influence decisions, regardless of reporting lines
- Ability to juggle multiple tasks simultaneously, perform well under pressure and meet strict deadlines, taking direct responsibility for analysis/deliverables
- Excellent communication skills, both written and oral, with fluent English
- Self-driven, results-oriented with positive outlook and clear focus on high quality and achieving business unit objectives. Willingness to take direct responsibility for analysis/deliverables
- Ability to consistently produce high quality work, fine-tuned to the audience
15
Regulatory Risk Manager Resume Examples & Samples
- Knowledge of Derivatives Products, i.e. Equity, Credit, Rates, Commodities, FX Derivatives
- General understanding of Front Office (Sales & Trading) Processes
- Good understanding of counterparty credit risk management
- Good Presentation Skills, including presentation preparation
- Able to quickly grasp and master new requirements and related knowledge
- Willingness to ask questions, challenge the process and seek out answers
- Ability to present to senior levels of management
16
Regulatory Risk Manager Dodd Frank Resume Examples & Samples
- Data analysis – analyzing, validating and documenting required data elements
- Track and maintain change request documentation to ensure that all additional requirements are traceable
- Lead peer reviews and inspections of requirement documentation
- Familiarity with Dodd Frank or other regulatory requirements is a plus
- Quantitative background is a plus
- Strong background in project management and experience defining and documenting business requirements
- Capable of doing end to end analysis to identify gaps and synthesizing ambiguous information into manageable strategic deliverables
- Manage tight deadlines or unexpected requirement changes
- Well organized and good attention to detail
17
Regulatory Risk Manager Resume Examples & Samples
- Assist with the strategic direction and tactical plans to develop and implement a Regulatory Risk Review Group. The Group will conduct compliance quality assurance on all lending products including mortgages, securities-based loans, and tailored loans prior to loan close
- Conduct day-to-day regulatory compliance reviews prior to loan closing
- Oversee a team of at least two individuals who conduct day-today compliance reviews
- Monitor regulatory developments and industry trends in compliance and serve as a Compliance advisor the Senior Operational Risk Officer
- Develop and implement Management Reporting and Escalation processes for lending compliance
- Liaise with lending teams and bank management to address any issues
- Coordinate activities with second line of defense compliance team
- 7+ years of relevant experience in Bank Compliance
- Evidence of strong leadership capabilities or previous management experience
- Strong organizational, project management and reporting skills
- Strong interpersonal skills and ability to communicate effectively both verbally and in writing
18
Mortgage Regulatory Risk Manager Resume Examples & Samples
- Work with the Mortgage Division of MSPBNA to monitor and assess mortgage compliance and operational risks
- Assist in the identification of regulatory compliance risk in key mortgage related processes and services performed within MSPBNA and its outsource provider
- Lead efforts to identify and manage key compliance risks in the mortgage business
- Ensure MSPBNA and the Bank’s key outsource provider processes have appropriate controls to mitigate compliance risks
- Conduct regular monitoring and assessments of processes, controls and procedures and manage reports summarizing results of monitoring and assessments
- Monitor mortgage compliance trends in the mortgage business
- Bachelors Degree in Finance or Accounting or a related discipline
- Experience in Residential Mortgage Lending (5-7 years)
- Strong knowledge of regulatory mortgage compliance requirements
- Experience with mortgage related regulations and loan documentation a plus
- Strong analytical, organizational skills and problem solving abilities
- Strong project management and communication skills
- Data analysis and reporting skills
- Ability to work both independently and with team members, under tight deadlines.-Ability to work in a matrixed organization; leveraging resources across the organization to complete deliverables
19
Regulatory Risk Manager Resume Examples & Samples
- At least 10 years of experience in the financial services industry
- Experience in systems, infrastructure and processes
- Propose and implement system and reporting process improvements
- Ability to manage projects and initiatives to solve process related issues
- Management of critical regulatory processes with absolute deadlines
- Excellent verbal and written skills and ability to create documentation and present to senior management
- Strong understanding of reporting and processes that support reporting activities
- Experience in database design and expert in SQL, Access and Excel
- Ability to understand and work with complex problems
- A background or related experience in technology is required
20
Regulatory Risk Manager Resume Examples & Samples
- MS or Ph.D. in statistics, quantitative finance, econometrics, economics or other quantitative field
- Knowledge of Securities Financing Transactions, products, e.g. Repos, Sec Lending, Margin Loans
- Knowledge of Basel calculations, e.g. EAD, RWA, Capital
21
Regulatory Risk Manager Resume Examples & Samples
- Business analysis – coordinating with business and IT partners on requirements gathering, determining and verifying the business requirements
- Data analysis – analyzing, validating system feeds and calculated results
- Ensuring that all risks and issues are communicated effectively
- Familiarity with stress testing methodologies such as CCAR is a plus
- Strong background in project management and experience in defining business requirements
22
Regulatory Risk Manager Resume Examples & Samples
- Define business architectural vision and scope
- Establish governance framework including working groups and prioritization process. Identify and communicate key project risks, define mitigation strategies and manage to resolution
- Analyze data and present key metrics leveraging the tools
- Knowledge of Derivatives Products, i.e. Equity, Credit, Rates, Commodities, FX Derivatives or Loans and Leases is a plus
- General understanding of counterparty credit risk management
- Understanding of a Firms financial reporting, e.g. Balance Sheet, Income Statement, etc., is a plus
- Familiarity with Dodd Frank, Basel, or other regulatory requirements is a plus
23
Regulatory Risk Manager Resume Examples & Samples
- Execute Retail Data Trace project to ensure that the Critical Data Elements beginning from source systems and data fields and ending in the submission files are complete, accurate, reliable, and in compliance with the Requirements
- Development of variance and trend analysis and further resulting deep dives into specific areas of interest
- Work with various businesses, Analytic and Risk to understand the impact of various data trace issues around regulatory critical data
- Develop a strong working relationship with Global Consumer Businesses, Consumer Risk, teams and Finance
- Experience in Retail Regulatory requirements, processing and reporting
- Knowledge of Global Consumer Bank (GCBC) data warehouse is a plus
24
Regulatory Risk Manager Resume Examples & Samples
- Strategic Standard Risk Management Solutions to measure, monitor and control Global Credit and Fraud Risk across the credit life cycle, and
- Standard, centralized retail risk modeling, analysis and risk aggregation solutions
- Must have at least 10 years of retail risk and management experience with 5+ years focused in Regulatory and/ or risk modeling domain
- Experience in SDLC, and testing strategy is a plus
- Highly developed communication & presentation skills. Excellent project management skills
- Strong Leadership Skills: Provides leadership in the resolution of cross business/geography issues. Engages business and functional managers to mitigate risks
- Client Relationships/Business Partnerships: Navigates organizational complexity; demonstrates organizational savvy. Builds partnerships across functions and regions; collaborates well with others. Ability to operate effectively in a dynamic team environment, and promote an inclusive, transparent and responsive atmosphere
- Proven performance in roles requiring conceptual thinking and strong, creative analytic skills
25
Regulatory Risk Manager Resume Examples & Samples
- Bachelor's Degree in Business Accounting, Finance, or related business field
- Previous experience in audit, preferably within financial institutions, identifying key risks and testing controls
- Working knowledge of Asset & Wealth management functions, compliance regulations as well as general knowledge of risk and controls
26
Regulatory Risk Manager Resume Examples & Samples
- Retail Basel & Consumer Risk Reporting/MIS Tools
- University degree in business, finance, accounting or related field, or equivalent work experience
- At least 5 years of experience in retail risk management
- Experience in the design, implementation and governance of geographically diverse initiatives
- Experience in the design, implementation and governance of cross-functional risk programs, frameworks and processes across the credit life cycle
- Understands retail risk management business processes, controls, and priorities – and is adept at quickly assessing impacts, limitations, and gaps within IT infrastructure on key retail risk business activities (e.g, regulatory reporting, modeling and analytics)
- Familiarity with principles of information technology software development & change management methodologies (Agile, Waterfall)
27
Regulatory Risk Manager Resume Examples & Samples
- Bachelor's degree in Technology, Business, Finance, Accounting or related field, or equivalent work experience
- Must have 3-5 years of risk process experience, preferably in the ICG/CCB space
- Proven experience in the design and implementation of cross-functional risk programs, frameworks and processes
- Experience in strategic planning and project management
- Excellent teamwork, communication, assertiveness and project management skills
- Ability to operate effectively in a dynamic team environment, and promote an inclusive, transparent and responsive culture
- Excellent work organization, engagement and responsive follow-up skills
- Must be able to work with all levels of management and external vendors
- Ability to communicate complex issues with absolute precision and clarity, work independently and handle multiple tasks simultaneously
- Experience working with complex systems with many integration points with other systems
- Experience in reviewing complex Business and Functional Requirement Documents
- Must have excellent Powerpoint skills
28
Regulatory Risk Manager Resume Examples & Samples
- This area includes general applications and/or application components pertaining to standard retail risk practice areas, including non-Basel regulatory reporting (e.g. CCAR/FR Y-14x, FFIEC-031), LLR, Fraud, Loss Mitigation, and others
- At least 13 years of experience in retail risk management
- Good understanding of key retail/consumer credit risk performance metrics, macroeconomic indiacators, and general banking concepts
- Understands retail risk management business processes, controls, and priorities and is adept at quickly assessing impacts, limitations, and gaps within IT infrastructure on key retail risk business activities (e.g, regulatory reporting, modeling and analytics)
- Must demonstrate perfected Engligh (spoken and written)
- Ability to communicate complex issues with absolute precision and clarity
- Experience in the design, implementation and governance of geographically
- Diverse initiatives
- Strong project management skills and ability to oversee several reports/projects at once
- A PMP certification would be a definite asset
- Provides leadership in the resolution of cross business/geography issues
- Able to eliminate chaos and confusion
- Focuses and guides the priorities of others
- Makes well-reasoned decisions under pressure
- At minimum, candidates are expected to demonstrate additional qualifications and proficiencies pertaining to assigned R‑RSSG delivery programs
- Qualifications spanning several delivery programs are highly desirable, but are not required to apply
- Good understanding of requirements relating to FRB-mandated CCAR reporting forms (FR Y-14Q, FR Y-14M, FR Y-14A)
- Good understanding of requirements relating to other regulatory reporting forms bearing relevance to retail banking exposures (FR Y-9C, FFIEC-031, FFIEC-101)
- Knowledge of pre-existant Citigroup computer applications used in Retail CCAR and Retail Basel (CitiRisk, GCBC)
29
Regulatory Risk Manager Resume Examples & Samples
- Analysis to support Treasury Risk Systems projects
- Determine whether Treasury risk systems initiatives meet Business, Regulator, Audit and Policy requirements and resolve flagged issues
- Perform targeted business analysis to validate, verify and document requirements with Treasury Risk
- Support key decisions with detailed analysis
- An understanding of financial models, especially interest Treasury and bank products and the latest developments in Basel III and CCAR preferred
30
Regulatory Risk Manager Resume Examples & Samples
- Knowledge of key Citi systems (RRTS, CitiRisk, GCBC, BAL, Pearl) required
- Strong organizational skills; background in operations management a plus
- Data analytics: Expert proficiency in Excel, Access a must. Strong SAS programming skills, familiarity with R beneficial
- Basel Analytics: Extensive Knowledge of Retail Basel – ability to explain variance in RWA by looking at pool level parameter movements. Ability to determine root cause for variance and identify outliers
- Detail oriented with the ability to multi-task and work independently
- Analytical problem solving ability; an ability to ask insightful questions, break analytical challenges into workable components and draw meaningful conclusions
- Knowledge of the Citi Retail Basel data specification a plus
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Regulatory Risk Manager Resume Examples & Samples
- CitiRisk ORM, CitiRisk Retail Common Functions, and Legacy Applications
- Retail CCAR 14A/M/Q, FDIC, LLR, Special Projects
- Retail Risk Modeling & Analytics & Core Data Quality
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Regulatory Risk Manager Resume Examples & Samples
- Bachelor’s Degree or higher
- 5+ years of financial services experience, with concentration in residential mortgage lending preferably in a Compliance role
- Knowledge of OCC, FRB and CFPB banking regulations with experience including but not limited to
- Ability to manage multiple tasks concurrently in an efficient and effective manner
- Strong organizational project management and reporting skills
- Ability to work both independently and with team members under tight deadlines
- Ability to execute in a fast paced, high demand environment while balancing multiple priorities
- Ability to build effective business partnerships across the Bank, WM and Firm
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Regulatory Risk Manager Resume Examples & Samples
- Globally implement common data, reporting, technology
- Integrate infrastructure activities
- Drive straight through data processing
- Produce more effective and efficient processes and governance
- Enable a foundational reporting infrastructure across Citi businesses and global functions by ensuring consistency within the Finance and Risk disciplines
- Realize operational, organizational and financial benefits
- Work closely with Risk, Enterprise and Global Consumer Technology teams to manage all aspects of the solutions delivery, for assigned scope, with priority focus on program and project management & governance
- Lead and/or provide support on critical Regulatory initiatives including CCAR, FDIC & Basel with end to end ownership
- Facilitate regular program meetings, including weekly meetings, Operating Committee meetings, etc
- Prioritize work and resolve routine conflicts and issues
- Track project status, proactively manage issues and provide updates to stakeholders
- Ensure Key stakeholder management and communication is in place
- Manage and provide credible challenge to plans, risks, issues and changes
- Manage audit readiness and perform as change audit coordinator as required
- Perform analysis of Critical Success Criteria, KPI/KRIs and non-financial benefits realization
- Manage closure phases, gather best practices and lessons learned
- Drive resource planning and funding process
- Adhere to CPMC approved PM procedures and tools as applicable. Identify and escalate gaps in aligned Projects and Programs
- Must have at least 5 years of Consumer/Retail Risk and team management experience with some understanding of regulatory domain including CCAR, FDIC, & Basel
- 8-10 years of PMO or PM experience with large complex strategic programs
- A desire to expand knowledge of Citi Finance and Risk processes, data and platforms as well that of enterprise wide Product and Geography organizations
- Exceptional verbal and written communication skills and ability to interact at senior levels of the organization
- Project Management and analytical skills
- Ability to work effectively with project teams/leaders across all functional areas and levels
- Ability to manage multiple priorities simultaneously
- Ability to quickly understand, dissect and solve complex problems
- Must be a quick study and highly effective under pressure in a fast-paced, changing environment
- Proficient in MS Office Suite (Project, PowerPoint, Excel, Word) and experience with SharePoint configuration and maintenance a plus
- PMP certification preferred
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Global Payments Regulatory Risk Manager Resume Examples & Samples
- Complete annual and ad-hoc regulatory requirements, with a focus on Recovery & Resolution planning by
- 5+ years related experience including cash management & payments
- Risk Oriented Individual
- Ability to manage multiple competing priorities with demonstrated experience in executing against tight deadlines and managing issue escalation
- Proficient with PowerPoint, Word and Excel
- Graduate Degree, preferred (not required), with distinguished academic achievement, high level of personal integrity, interest in banking as evidenced by related work experience, proven dedication to excellence, leadership qualities and a flexible, creative, innovative personality
- Project management training preferred
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Ccar RWA Forecasting & Analytics Regulatory Risk Manager Resume Examples & Samples
- Define and own the model risks and ensure that the Models are applied appropriately, that is incorporating the limitations and other restrictions on model use and ensure all model risk management action points are addressed
- Responsible for testing of functional soundness of Models following an evaluation of each of the Functional requirements of the approach including
- The required output and whether business/ risk drivers reflect the specific business needs
- Closely partner with various model development groups and Independent Risk Managers for Models to influence key decisions with respect to conceptual soundness of modelling approach, testing of assumptions, referential data development, variable selection, segmentation, documentation completeness, and support for all model decisions
- Review and ensure completeness of Model documentation based on internal risk management policies, model validation and governance standards
- Contribute to the creation of Senior Management-ready materials, particularly CCAR presentations to Lines of Businesses, Independent Risk Management, Finance and Regulators
- Review risk exposure calculations and forecasts for CCR and Trading RWA for Basel, CCAR and DFAST requirements
- Assist in the annual and mid-year CCAR production cycle in order to conduct required sensitivity analytics in order to assist in validating model soundness
- Define and establish quantitative analysis (such as sensitivity analysis) for analyzing the changes in forecasted RWA changes with respect to major risk factors and macroeconomic variables used in the Models as applicable
- Partnering with Model development teams, analyze macroeconomic variables and articulate their inter-relationships with the Model forecasted risk parameters. Document the inter-relationship in a business-friendly language in a crisp and concise manner
- Comprehensive understanding of CCAR requirements and processes –abreast with the latest CCAR guidelines, understanding the data, oversee the submissions, synthesize the submissions, coordinating with other work streams
- Familiarity with derivatives terminology and possess some analytical modelling ability. Knowledge of advanced Credit risk and Market risk models impacting CCR and Trading RWA
- Full understanding of the lifecycle of Securities Financing Transactions and Derivatives (bi-lateral and cleared transactions) notably IR and FX derivatives and involved in attribution of valuation movements using sensitivity based analysis
- Knowledge of valuation of a wide range of derivative instruments, particularly, Interest Rate, FX; which should have entailed modelling the instruments in analytical systems
- Strong attention to detail, willingness to "roll up sleeves" and produce a polished, high quality, accurate product; tireless work ethic with ability to work well under pressure
- 2 - 7 years’ experience in related quantitative field
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Ccar RWA Forecasting & Analytics Regulatory Risk Manager Resume Examples & Samples
- Calculating Risk Weighted Assets projections for Securitization exposures consisting of both Banking and Trading book using Basel III Advanced and Standardized approaches
- Performing quantitative analysis and assess relevancy of the key risk weight parameters such as Delinquency, Tranche parameters forecasted by the Model development teams
- Define and Perform attribution analysis of various risk parameters used for RWA forecasting
- Develop a strong working relationship with the Businesses, Finance, Technology, Audit, Independent risk across the organization
- Comprehensive of CCAR requirements and processes –abreast with the latest CCAR guidelines, understanding the data, oversee the submissions, synthesize the submissions, coordinating with other work streams
- Strong understanding of US Basel III regulatory guidelines and hands on experience with RWA calculations with specific reference to Securitization
- Working knowledge of SSFA, SFA processes and calculations for different types of securitization exposures with asset classes like RMBS, ABS, CMBS, CLO and CDO
- Ability to define, articulate and re-engineer complex processes and procedures, with appropriate controls, and think both strategically and tactically while driving meticulous execution
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Regulatory Risk Manager Resume Examples & Samples
- Provide an independent assessment on Basel compliance and control framework
- Prepare and review reports necessary for Basel compliance
- Conducts interviews with subject matter experts, management and regulators to assess documentation requirements that enhance compliance with Basel regulations to mitigate legal, regulatory or financial risk
- Fosters open communication and information sharing within the organization to ensure that managers are knowledgeable of documentation-related responsibilities, goals, initiatives and their established deadlines
- Partners and interacts with senior management, lines of business, constitutes, internal and external auditors and regulatory agencies to ensure comprehension and compliance of policies, procedures, processes, regulations and/or related documents
- Knowledge of organizational politics and political tactics; ability to effectively navigate formal and informal communication and decision-making channels
- Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls
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Regulatory Risk Manager Resume Examples & Samples
- Key role in assessing and interpreting data and information requests that are related to production of risk matters including Risk Framework, ICAAP, Risk Appetite, Risk Plan etc. Direct the approach to answering questions and involve appropriate Risk functions in CEP or broader Citi team as necessary
- Manage and track completion of all risk deliverables, draft responses, review and provide quality / consistency checks on output, including highly detailed data templates
- Highly analytical and logical approach to problem solving
- Strong IT skills, particularly excel / databases / query languages and powerpoint
- Courses in risk management, regulation or relevant computer applications. Competencies
- Highly organised and able to work to tight deadlines
- Sufficient grasp of relevant detail to question uncertainties
- Express complex issues simply
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Regulatory Risk Manager Resume Examples & Samples
- To work with the CEP Chief Risk Officer and Risk Function Heads in ensuring risk requirements and best practices are in operation
- Key role in assessing and interpreting data and information requests that are related to production of risk matters including Risk Framework, ICAAP, Risk Appetite, Risk Plan etc
- Direct the approach to answering questions and involve appropriate Risk functions in CEP or broader team as necessary
- In-depth experience of regulatory requirements and industry best practice in respect of the risk management of a licensed banking legal vehicle
- Significant interaction with a wide range of senior bank and risk management colleagues, as well as external stakeholders such as regulators / auditors
- Holistic understanding of the various risk processes and functions
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GTB Regulatory & Risk Manager Resume Examples & Samples
- Lead and participate in the annual GTB risk and control self assessment processes across the region
- Assist the business in identifying and analyzing risk and control incidents and events
- Provide training and education around risk and control environment
- Proactively identify areas of risk and control processes that need enhancements
- Ensure that all functions of GTB are aware of risk, compliance and control trends, both within the Americas and globally (i.e. those that impact Americas)
- Ensure a risk, compliance and control mindset, framework and methodology exists within GTB Americas including on regulatory matters and emerging trends
- Work in close cooperation with other team members, business and infrastructure areas including Compliance, Legal, Finance, Risk, GTO and Treasury
- We are seeking a candidate with a strong work ethic, excellent communication skills (both written and verbal), strong organizational and data analysis abilities
- Confidence to interact with senior management and ability to work with peers at all levels, both regionally and globally
- Strong risk and control background is essential
- Excellent project management, organizational skills, networking and people management skills
- Experience in Compliance, audit or at a regulatory authority is preferred
- Knowledge of the Americas financial sector regulatory landscape
- Working with internal and external auditors
- Excellent coordination and facilitation skills
- Strong interest and understanding of risk, control and regulatory issues
- Excellent organisational and coordination skills with the ability to work on multiple projects at the same time
- Excellent working knowledge of all MS Office products (especially Powerpoint and Excel)
- Team player, collaborative and at the same time able to work independently
- Ability to multitask, deliver within tight deadlines and prioritize work
- Ability to think about issues, understand their implications and provide actionable solutions including the ability to think laterally and challenge the status quo
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Regulatory Risk Manager Resume Examples & Samples
- Project management and general administrative assistance including documentation/issue tracking
- Well organized; project manager experience
- Technical focus
- Familiar with tech use case documents and specifications
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Regulatory Risk Manager Resume Examples & Samples
- 10+ years of experience in business analysis preferably in the banking domain
- Knowledge of Risk Management and Basel is preferred
- Should have worked on regulatory requests OR strategic programs in the past
- Strong ability to partner with Business & Technology stakeholders to ensure successful delivery of project objectives
- Great communications capability (oral and written)
- Good knowledge of Microsoft office tools, data base concepts and reporting tools for data analysis
- Capability to take-on new initiatives
- Takes ownership of the work assigned and works towards the project objectives
- Manages tight deadlines or unexpected requirement change
- Should be a team player and if required can lead initiatives
- Capability to manage stakeholder expectations
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Regulatory Risk Manager, VP Resume Examples & Samples
- Analysis to support Trading Book Risk Systems projects
- Determine whether Trading Book risk systems initiatives meet Business, Regulator, Audit and Policy requirements and resolve flagged issues
- Perform targeted business analysis to validate, verify and document requirements with Trading Risk
- Work with our Technology partners to analyze requirements in support of long-term and tactical project plans. Identify and communicate key project risks. Work with Risk and Finance on testing and roll-outs
- Analyze business and regulatory requirements, assist with development needs, develop necessary project plans, identify and communicate key project risks and manage open issues to resolution
- Ensure that all risks and issues are communicated effectively
- Minimum 5 years of experiences in top financial services organization
- An understanding of financial products and the latest regulatory developments, particularly the Volcker Rule, strongly preferred
- Must be able to communicate and interact effectively with clients, project managers and IT stakeholders
- Undergraduate degree in quantitative field such as Finance, Economics, Math, Physics, Computer Science is best. Graduate degree preferred
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Large Corporate Regulatory Risk Manager Resume Examples & Samples
- The Leveraged Lending group will monitor and provide reporting and analysis for all 3 distinct Leveraged categories (those within the constraint, those meeting the interagency guidance definition for leveraged lending, and those meeting the FDIC definition for leveraged Lending). For the constrained credits there are $11.4 billion in commitments (182 credits) across all 36 Wholesale Lending Divisions and also Community Banking. Interagency defined leveraged credits total 52.9 billion ( 1,143 credits) and are growing 1-2 billion per quarter. These are also across all 36 Wholesale Lending Divisions and Community Banking. FDIC defined Leveraged lending totals $31.4 billion (859 credits) and are also growing 2 billion per quarter. Monitoring and reporting as well as analytical review and Enterprise Valuations are performed by this group within Wholesale Portfolio Risk Management
- The Shared National Credits group will provide Quality Assurance of Underwriting and monitor results and recommend policy revisions. Shared National Credits total $117 billion .. Across all 36 Wholesale and 5 Commercial Real Estate Divisions and Community Banking. There are 1,835 credits . Credit Approvals will be reviewed for consistent underwriting. For example Interest rate Sensitivity, Liquidity Analysis, Debt repayment Capacity Analysis, and Maintenance Capital Expenditure analysis. The Group will analyze the exam results to modify policy where needed. For example more analysis was implemented in policy for Debt Repayment Capacity, Incremental Facilities, and Maintenance Capital Expenditures based directly on the Shared National Credit Exam
- Bachelor's degree, or equivalent work experience
- 15 or more years of experience in credit, lending or approval experience in Syndicated credits and leveraged lending
- Applicable certifications
- Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Considerable knowledge of the business line’s operations, products/services, systems, and associated risks/controls
- Expert knowledge of Risk/Compliance/Audit competencies
- Ability to manage job scope and complexity of assigned business at the departmental and/or division level
- Strong leadership and management skills of processes, projects and people
- Excellent written and verbal communication skills
- Strong analytical, problem-solving and negotiation skills
- Proficient computer skills, especially Microsoft Office applications
- MBA preferred
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VP, Regulatory Risk Manager Resume Examples & Samples
- Building and monitoring project plans to drive project execution
- Develop and communicate clear and actionable deliverables
- Tracking deadlines, deliverables, resources and timelines throughout the project for various work efforts within the RWA GPO
- Synthesize project progress and metrics for senior management consumption
- 5 or more years experience
- Excellent proficiency in Microsoft Office – particularly Excel, PowerPoint (create decks for Senior Management), and Word (writing and editing procedural and technical documentation)
- Ability to organize and structure projects, processes, and communications
- Ability to establish and leverage cross functional relationships to help drive project governance, execution and closure
- Superior analytical skills including the ability to synthesize results and connect key points across topics
- Formal project management experience a plus (PMP a plus)
- Familiarity with financial services regulatory environment a plus
- Experience in Basel and CCAR regulatory requirements environment
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Regulatory Risk Manager Market Risk Resume Examples & Samples
- Ensure clear understanding and support the team in managing Citi’s compliance to the strategic design and implementation of the FRTB rules by partnering with Treasury, Finance, Trading Book Risk Management, lines of Business, Market Risk Analytics, Model Risk Management, Finance and Risk Infrastructure and Technology. This will involve developing and implementing several new projects on upcoming regulations like FRTB and strategic solutions to improve current processes around Basel calculations and ensure compliance with Basel regulatory requirements
- Refining existing methodologies and introducing sophisticated techniques for RWA projections of Trading Book RWA estimation based on the new FRTB rules
- Daily/monthly analysis and reporting of market risk exposure covering all components of Market risk
- Streamline business processes and systems to comply with regulatory risk frameworks and assist management in operating more efficiently and effectively
- Through complex data and business analysis, gather and organize capital optimization and regulatory reporting data and develop and implement solutions to improve data quality, efficiency, risk management and regulatory capital optimization
- Work on CCAR initiatives and reporting for market Risk
- Contribute to other initiatives within the group if required (regulatory issues, improvement of the overall internal and regulatory (Basel III) exposure calculation process and development of tactical and strategic reporting tools, ad-hoc senior management reporting etc.)
- Lead optimization projects for certain financial portfolios around Basel III rules, Standardized Specific Market Risk, Value at Risk, Stressed Value at Risk, Incremental Risk Capital, Correlation Trading and Trading Book Securitization
- Experience must include exposure to market risk, securitizations, securities and derivatives regulatory risk frameworks
- Financial or regulatory reporting
- Exposure to regulatory environment (Basel III/CRD IV)
- Strong data analysis and management reporting/presentation skills
- MS Excel/Access (ideally also VBA and SQL but not essential)
- Excellent stakeholder management skills. Ability to interact with remote business and technology partners as well as managing multiple priorities if needed
- Self-starter, proactive team player
- Requires a Bachelor’s degree in Finance, Economics, Accounting, Business Administration or a related field and 3 years of experience in a position involving advanced regulatory reporting supporting the financial services industry
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Regulatory Risk Manager Resume Examples & Samples
- Analyze, provide recommendations, and submit for approval regulatory segment assignments as per Basel rules and Citi-defined categories
- Trouble-shoot issues that arise during the Month End processing and recommend solutions
- Document and maintain procedures, create FAQ and training material suitable for audience of varying levels by simplifying complex content
- Package related concepts and insights and present to stakeholders including internal and external auditors in persuasive, articulate and compelling ways
- Perform complex research as needed
- Participate in Business Requirements Documentation processes requiring the incumbent to review Regulatory standards and changes, Citi Controls and Reporting Requirements as needed, liaise with Technology to translate those compliance requirements into functional requirements
- Provide support to management in the enhancement and maintenance of processes and procedures related to Regulatory Segment assignments to ensure adequate controls are in place
- Manage multiple workstreams with varying timelines and complexity with authority
- Partner with other teams (i.e. AMC, FRO, Risk Management, Regulatory reporting and Interpretive office at Citi) to create Design briefs and set expectations for deliverables
- Lead and participate on global scale projects, interacting with senior management across all Lines of Business
- 5 or more years experience in banking/financial services industry
- Strong knowledge and comprehension of Basel regulatory requirements and regulatory reporting in general
- Superior analytical skills including the ability to synthesize results for senior management consumption
- Excellent proficiency in Microsoft Office – particularly Excel data analysis and reporting, Word, PPT
- Excellent communication skills: both written and verbal
- Ability to perform detailed research and analyst the results
- Self-starter/Independent thinker – ability to work independently, progress work, and bring it to the collaborative table
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Ccar RWA Forecasting & Analytics Regulatory Risk Manager Resume Examples & Samples
- Responsible for calculation and reporting of forecasted Supplementary leverage Exposure
- Partnering with Model development teams, analyse macroeconomic variables and articulate their inter-relationships with the forecasted risk parameters. Document the inter-relationship in a business-friendly language in a crisp and concise manner
- Bachelors degree in Finance, Accounting or related field
- 6+ years’ experience in related field
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Regulatory Risk Manager Resume Examples & Samples
- Supporting regulatory exam process through the documentation and sizing of potential issues and risks identified during the reviews
- Interacting with the exam team and other key business stakeholders to outline key actions and deliverables for regulatory inquiries, projects, or issues
- Developing and maintaining a comprehensive calendar of regulatory, internal audit, compliance, and other reviews and identifying overlaps or control gaps
- Developing and maintaining weekly management control dashboards and regulatory reporting to ensure awareness and visibility to key trends and emerging risks
- Documenting and maintaining regulatory relations internal policy and processes
- Establishing and managing project routines to monitor regulatory project progress and issue remediation
- Facilitating management and other forums to drive out required decisions and escalate and address any risks and roadblocks
- Maintaining project documentation including project plans, task lists, deliverables, and management and regulatory presentations
- Driving consistency in solutions across Citi businesses, where appropriate
- 5+ years of direct, relevant experience in retail banking or financial service control, compliance, audit, or regulatory management
- Bachelor's degree or relevant experience required, advanced degree preferred
- Project management experience with the proven ability to develop project plans and drive a diverse group of stakeholders to achieve milestones and deadlines
- Detail oriented, with proven ability to question and identify opportunities within existing processes and business practices by leveraging previous experiences and knowledge of the financial service industry
- Strong relationship management skills with ability to deepen relationships and build partnerships across the business and key functional support areas like Audit, Compliance, Control, CAO, and Independent Risk
- Deep functional knowledge of the financial services industry and applicable rules, regulations, and processes
- Self-starter with ability to work independently throughout multiple levels in organization
- Strong communication, reporting, presentation and influencing skills
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Regulatory Risk Manager Resume Examples & Samples
- University/College Graduate with major in computer, information technology or mathematics
- Extensive experience/knowledge in credit risk management and/or system processes with minimum 8 years in systems/technology or consumer risk management with project management experience
- Technical Knowledge
- Knowledge in consumer risk management credit cycle processes and lending product operations
- Proficiency in SAS programming skills
- Sound functional/technical knowledge in VisionPlus (Cards) and/or, Systematics-Advanced Loans System is a plus
- Able to handle multi-task
- Able to interface with various levels of management in Global/Region/Business and across functions
- Travel within the region
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Regulatory Risk Manager Resume Examples & Samples
- Assist in the development and maintenance of the regulatory closing process
- Work with RWA work stream leads and other internal groups to ensure the effectiveness of the RWA reporting
- Review and understand the regulatory reporting requirements (FFIEC, Y9C, 14A/Q) and be able to articulate them to work stream partners
- Understanding the models and results they generate
- Partnering with RWA work streams to document results and articulate RWA impact on regulatory reports. Document the results in a business-friendly language in a crisp and concise manner
- Work with work stream leads to make adjustments to results where needed
- Develop and perform analysis of various reporting elements to explain the story behind the reported numbers
- Facilitate reviews with senior managers and stakeholders by creating presentations that demonstrate that cleanly and succinctly explain the RWA results
- Continuously improve subject matter expertise related to Basel III and financial products in the business areas to become a trusted advisor to the work stream leads, acting as a partner in delivering RWA analysis and articulating them in presentations to seniors in a crisp and concise manner
- Assist in the preparation and coordinate of all Business engagement presentations across all exposures (Counterparty Credit Risk, Wholesale, Equities, Securitization, etc.)
- Develop a strong working relationship with the Work stream leads, Businesses, Independent risk and model developments team across the organization
- Identify areas of opportunity to improve current processes
- BA in Business, Finance or Economics or related field, MBA is a plus
- 5+ years of financial services experience, preferably working in risk management, Basel or regulatory reporting fields
- Good understanding of Basel and CCAR requirements and processes – abreast with the latest reporting guidelines, understanding the data, oversee the submissions, synthesize the submissions, coordinating with other work streams
- Good understanding of regulatory requirements. Preferably relating to FRB-mandated CCAR reporting forms (FR Y-14Q, FR Y-14M, FR Y-14A), FR Y-9C, FFIEC-031, FFIEC-101)
- Experience in Risk or Regulatory Reporting is preferred: Basel, CCAR, DFAST, Market Risk, Credit Risk are all highly desirable areas of expertise
- Solid Microsoft Excel skills and the ability to quickly develop advanced knowledge of MS Excel and Access (or other database front end query applications) and the ability to work with large amounts of data
