Risk & Control Resume Samples

The Guide To Resume Tailoring

Guide the recruiter to the conclusion that you are the best candidate for the risk & control job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

Craft your perfect resume by picking job responsibilities written by professional recruiters

Pick from the thousands of curated job responsibilities used by the leading companies

Tailor your resume & cover letter with wording that best fits for each job you apply

Resume Builder

Create a Resume in Minutes with Professional Resume Templates

CHOOSE THE BEST TEMPLATE - Choose from 15 Leading Templates. No need to think about design details.

USE PRE-WRITTEN BULLET POINTS - Select from thousands of pre-written bullet points.

SAVE YOUR DOCUMENTS IN PDF FILES - Instantly download in PDF format or share a custom link.

Create a Resume in Minutes

B Baumbach

Billie

Baumbach

589 Suzanne Rest

Boston

+1 (555) 833 7043

589 Suzanne Rest

Boston

Phone

p +1 (555) 833 7043

Experience Experience

New York, NY

Risk & Control

New York, NY

Kuphal Inc

New York, NY

Risk & Control

Overseeing of weekly and monthly US Entity Control metrics
Track operational processing issues such as manual touch points to ensure mitigating remediation work is tracked
Help build entity specific oversight into the daily sign off of functions leveraging in house tools and reporting
Highlight inter-region functional handover points for a �follow the sun� support model
Work with Operations colleagues to ensure readiness ahead of new business flows
Evolve the policy framework to encompass and be considerate of US only and other cross-border booking entities, in context of the overall global framework
Partnering with internal teams on key long- and short-term projects to set and coordinate execution strategies

San Francisco, CA

Markets Risk & Control

San Francisco, CA

Kiehn Group

San Francisco, CA

Markets Risk & Control

Operate within Budgets and Performance Management guidelines
Working with the business control and Business Management teams in each location to ensure that the controls framework is common and effective in each location and responding to local issues
Working with our control partners to update policies, procedures and controls to reflect changes in the regulatory rules (Dodd Frank, EMIR, MIFID etc) that apply to the global business
Develop and maintain tracking metrics for management reporting and escalation
Working with our control partners (operations, Legal, Compliance, Finance, Risk, IT, HR and Audit) to ensure end to end processes for all clients and trade activity are controlled
Performing deep-dives into producer activities and the economics and risks of products to indentify control weaknesses or gaps in processes and activities and remediating weaknesses
Continually seeks to enhance and standardize the control framework, providing oversight and Ownership of escalated exceptions

present

Philadelphia, PA

Risk & Control Lead

Philadelphia, PA

Zulauf, Brown and Reichert

present

Philadelphia, PA

Risk & Control Lead

present

Ensuring and build a strong process of capturing and tracking control exceptions and share the trend analysis
All mandatory training completed to deadline and understood within given timescales
Work with central NAM CBSU Governance & Oversight team and internal Consumer Business Operations Risk Compliance (CBORC) teams to record and report on quarterly results
Oversee and ensure effective execution of all key R&C programs for the region for key programs including, but not limited to Manager’s Control Assessment (MCA), Continuity of Business (COB), Fraud Management, and Audit and Review support consistent with global risk assessment objectives
Work to establish a culture of control where regional staff understand their role in the control environment and the criticality of a robust control environment
Function as a liaison to and assist the Global and Regional R&C teams in the development of enhanced R&C programs, training, guidance, and communication materials for ESC; assist with the delivery of training and communication within their region as necessary
Lead and drive analysis of multiple risk and control activities to provide transparent, complete and accurate risk profile reporting to senior management which also influences Technology Risk and Control strategy and decisions

Education Education

Bachelor’s Degree in Professionalism With

California State University, Northridge

Bachelor’s Degree in Professionalism With

Skills Skills

Strong investigative and analytical skills, able to quickly identify the core issues
Strong understanding of risk, control and change management
Broad understanding of other risk related policies, such as the Data Protection Act, Disability Discrimination Act, etc
Assist in formulating internal communications/presentations for the various teams within the Ops Control group
Synthesizing and presenting information verbally, visually and in writing to senior management in regular and ad-hoc forums
Acting as a point person for Operations Control on unplanned efforts such as global management or regulator/audit requests
Supporting in the development and implementation of new procedures and training
Organizing and supplying critical tracking and open items (risks/issues/dependencies) to Ops Control management across the priority items in our book of work
Collecting and analyzing data to understand issues and relay appropriate messages
Identifying, analyzing and mitigating risk to improve the overall control environment

Create a Resume in Minutes

15 Risk & Control resume templates

Read our complete resume writing guides

Ops Risk & Control Tokyo Resume Examples & Samples

Responsible for functions including but not limited to project management and execution, enhance business performance, risk management, and global communications
Conduct analysis to identify risk and issues
Create project plan and produce a status report
Execute the project and documents details
Partner with compliance to understand local regulatory requirements
3 to 5 years of relevant experience gained within Banking industry
Familiarity with banking and financial regulations
Strong Project Management skills and ability to execute under tight timelines
Ability to execute independently, meet deadlines and motivate subordinates to execute timely and at a high level of quality
Ability to interact effectively with others across departments, regions and time zones
Outstanding attention to detail and analytical ability
Strong writing skills, with experience in writing operational or regulatory-related procedures
Proactive and self-motivated
Experience in regulatory reporting, risk control is a plus
MS Office (Word, Excel, PPT)
Fluency in English and Japanese required. Cantonese, Mandarin preferred

Markets Risk & Control Resume Examples & Samples

Provide backup to Markets Risk and Control Technology Specialist
Periodically design and develop MS Access database applications
Oversee daily regulatory reporting processes and compliance with internal or regulatory initiatives
Support control initiatives, audits and self assessment testing for assigned businesses
Develop internal relationships and provide support for various Trading / Sales Desks. Coordinate the drafting, completion and distribution of responses to client requests for information
Bachelors degree in Computer Science, Business Administration, Economics, Finance or Accounting
SAS Programming a plus

Gct Risk Control Lead for Cards Resume Examples & Samples

Management of the IT Risk Control Program for Citi Branded Cards and Citi Retail Services, including the development and monitoring of key risk indicators. Responsible for prioritization of work and day-to-day supervision of Risk Control officers as well as coordination with and participation in cross-functional teams. Evaluate application development related processes, standards, key controls and corporate policy requirements through ongoing monitoring methods and proactive risk assessments
Coordinate all activities related to external/internal audits and reviews affecting Citi Branded Cards or Retail Services development units
Drive self-identification of control gaps through collaboration with the development unit teams and assist with the creation of effective corrective action plans to address identified control gaps
Produce periodic IT Risk Control reporting on the status of Risk Control activities and monthly operating reviews for IT areas supported. Advise manager of any significant risks or control gaps when identified
Support enterprise risk initiatives and compliance programs, such as Manager’s Control Assessment and Sarbanes-Oxley
Strong knowledge of IT general controls, Systems Development Life Cycle methodology, industry standards and control frameworks (e.g. COBIT, ITIL, ISO)
Experience in application technology development, application testing, application architecture, IT risk management or compliance related work, preferably in a complex technology environment
Background or experience in supporting credit card issuing or acquiring businesses is preferred
Supervisory experience of directing small teams
Experience working with internal audit and regulatory examiners preferred
Strong analytical skills and the ability to drive risk assessment activities end-to-end
Excellent inter-personal communication skills, including the ability to present to leadership teams
The ability to travel to support job requirements. (Less than 10%)

IT Risk & Control Lead Resume Examples & Samples

Building the interface between Process Management & Improvement Team, the process community and the Process Control Team to achieve a consistent and transparent Process (Measurement) Framework
Defining standardized best practice controls and driving their adoption across the CIO area
Identifying and exploiting opportunities to automate controls and control assessments using specific tools
Collaborating with IT Risk to evolve the Operational Risk control catalog and aligning it with policies and standards, as well as, the needs of the organization
Identifying, assessing and improving key controls beyond the control catalog

CIB Risk & Control Resume Examples & Samples

Define and oversee execution of IT Controls programs(e.g., SOC1, SOX, client audits, etc.), in accordance with defined governance models
Obtain early visibility into potential changes to program scope, effectively negotiating and managing changes identified
Drive global consistency in our approach, execution and reporting across the global technology and information risk function
Coordinate with and facilitate information gathering requests from the firm's external auditors
Ensure quality standards are achieved in development and maintenance of program documentation, coaching team members where appropriate
Deliver consistent and meaningful reporting and metrics
Promote continual process improvement within CIB as well as consistency and quality of execution of IT controls
5-7 years, minimum, IT controls audit experience (external audit experience preferable)
Knowledge of information technology, and auditing of IT general computer controls and application controls
Experience managing development and execution of IT controls testing requirements; specific experience with SOX and/or SSAE16, a plus
Strong project management skills, with proven ability to deliver quality results in a deadline-driven environment
Ability to work effectively in a global team environment and operate in a matrixed organization
A problem solver with proven ability to evaluate processes, controls, identify weaknesses and potential solutions
A strong sense of ownership, commitment to quality and attention to detail
Excellent interpersonal skills - verbal communications, written communications, and an established track record of collaboration
Desktop skills - Microsoft Word, Excel and PowerPoint ; SharePoint skills a plus

CIB Risk & Control Resume Examples & Samples

Support execution of key controls programs (SOX, SSAE16, controls framework development)
Facilitate development, maintenance and delivery of consistent and meaningful reporting and metrics
Manage procedures to acquire and confirm accuracy of technical reference data pertaining to in-scope applications
Collect and monitor data on program performance
Promote development of educational / guidance resources for use by Technology Risk & Controls and Technology personnel
Knowledge of information technology, and auditing of IT application and general computer controls
General understanding of IT infrastructure components (mainframe vs. midrange vs. distributed; application vs. database vs. O/S layers) / terminology
Must be a detail oriented, quality-focused manager; with strong documentation and reporting skills
Proven ability deliver quality results in a deadline-driven environment
Strong analytical skills. A problem solver with proven ability to evaluate processes, controls, identify weaknesses and potential solutions
A strong sense of ownership, commitment to quality and excellent attention to detail
Interpersonal skills - verbal communications, written communications, and an established track record of collaboration
Intellectual rigor, emotional intelligence, high energy and a passion for the delivery of high quality project outcomes

Risk Control Business Manager Resume Examples & Samples

Support in management and continuous improvement of ERCM's governance mechanism and implement and maintain adequate processes and tools
Provide senior management analyses and reporting to create transparency and enable decision making
Prepare and follow up on ERCM management meetings, Risk Methodology Committees and reports
Preparation of briefings and presentations for Group Risk Control (GRC) senior management
Provide support to the Head ERCM in day-to-day operations of the function
Challenge and assist ERCM team heads to assess and facilitate the resolution of control deficiencies incl. tracking of OR and audit issues and provide expert advice
Partner with other risk professionals (other unit's risk managers, Operational Risk Control, internal/external audit etc.), Control and Business functions
University Education (Bachelor's degree or higher)
About 3 years of experience in the Financial-/Banking-/Big 4 Industry (experience in a comparable position in Risk Control, Audit or Compliance is a plus)
Strong conceptual and analytical skills
Very good communication and interpersonal skills with ability to interact with different functions and across different seniority levels
Proficient in MS Office (Word, Excel, PowerPoint)

CIB Risk & Control Resume Examples & Samples

IT Risk management program
Stakeholder engagement skills, including ability to influence senior management
Strong demonstrated knowledge of IT risk management gained as a practitioner
Ability and energy to design and drive change
Strong decision making capability
Ability to gain understanding of regulatory and firm-wide control issues
Strong execution skills for overseeing enterprise-wide risk initiatives
5-10+ years experience in technology or IT risk management, preferably for financial institution and/or strong background in IT Risk Advisory
Demonstrated capability of designing and implementing cross-functional programs; strong project management skills
Track record of implementing successful risk or technology management solutions
Track record of developing and maintaining senior-level stakeholder relationships

Senior Manager, Counterparty Risk Control Resume Examples & Samples

Maintain staff competence bycreating capacityand monitoring theirstaff progress to ensure that professional skill sets are developed and knowledge gaps are addressed through appropriate training and development.All employees should be provided with the tools to perform to their maximum capability and fulfill their potential
Initiate actions to further improve your own and the team’s skills and performance. Continuously look for opportunities for professional development
Carry out regular and proactive resource planning to ensure the team is positioned to deliver against its mandate in the future. Identify and mitigate instances of key person risk
Create and maintain an environment conducive to the timely identification and escalation of issues
In addition to the afore mentioned requirements, Management supervision of the team should also include
Supervising staff, including establishing appropriate managerial review and assessment of the quality of outputs produced based on business standards
Developing and evaluating both hard skills (product and application knowledge) and soft skills (timely sharing of information, demonstrating trust, respect, and understanding with stakeholders)
Managing vacation time and compliance with the Vacation Policy
Effectively manage split / remote teams
Ensuring communication forums are in place. This includes meetings such as team meeting and direct reports
Using cross-functional discussion forums to manage the impacts of change with partners

Head of Market Risk Control Resume Examples & Samples

Demonstrated leadership and people management capabilities
BA degree in business, finance, related field or equivalent. Master’s degree in economics, finance, statistics or equivalent preferred
Proven financial, communications, systems, interpersonal, analytical, and reasoning skills

Traded Risk Control CTB Manager Resume Examples & Samples

Manage all aspects of Risk projects including plan development, stakeholder engagement, scheduling, resourcing, and driving to implementation
Working with risk managers and other internal stakeholders to understand and establish business requirements
Oversee design and development of technical solutions developed by Risk Software Delivery and/or Traded Risk Control
Provide project support as liaison between developers and subject matter experts
Oversee support and incremental enhancements for existing applications and processes already owned by Traded Risk Control
Minimum 5-10 years proven and progressive commercial, investment banking and credit experience or equivalent
Demonstrated leadership, people management, and project management capabilities

Ops Risk & Control Resume Examples & Samples

Supervision of the EMIR TR Team
Oversee daily monitoring of exception and control reports relating to the accurate and timely reporting of EMIR transactions, position events and Positions. The individual will be required to facilitate work across all stakeholders (IT Line operations and Compliance) to ensure investigation of root cause of the exceptions and ensure the appropriate remediation steps are undertaken
Ensuring EMIR risk metric packs are produced on time and to the required standard and assisting with Issues related updates to the EMIR Stakeholder group
Working with EMIR Team, CTB and IT to ensure effective prioritization of issues
Coordinating the responses to ad-hoc Reporting related queries from stakeholders, clients and Delegated Clients
Work with our TSG stakeholders to ensure effective communication and escalation of issues and remediation plans across the groups
Partner with IT, Operations and Compliance to assist in the delivery of new and enhanced systematic controls that address control weaknesses identified from periodic system and control reviews
Provide support to business process and system changes for transaction reporting as a result of regulatory changes by engaging with CTB and IT Teams to ensure smooth delivery of Regulatory updates
Ensure that new product approvals that may impact transaction reporting are tested
Partner with Operations line to provide guidance and support for transaction reporting
Help with the delivery of training on the transaction reporting system and documenting and maintaining a standard set of policies and procedures
Monitoring transaction reports and exceptions and ensuring that product areas are actively resolving outstanding exceptions for their areas on a daily basis
Follow up on issues or questions submitted by Operations teams and seek guidance from Compliance where required
Escalate issues and control breakdowns to Operations management, Compliance and IT where appropriate
Good analytical skills, ability to extract key information and pre-empt management questions on the data presented
Excellent communication skills at all levels and strong organisational ability
Ability to successfully meet deliverables within tight deadlines
Proven relationship management skills and ability to influence others
Control & risk focused, with experience in operational risk
Knowledge of Listed and OTC Derivatives products and systems

Risk & Control AVP Resume Examples & Samples

Ensure Risk and Control Self Assessments (RCSAs) are completed in line with plan
Ensure Risk and Control MI is consistently and accurately reported within, and externally from, the Internal Control team
Proactively engage with stakeholders of all levels including Director and Managing Director level to provide assistance during all stages of the RCSA process
Manage and drive the progress of all RCSA Actions to ensure due dates are met with the appropriate level of assurance to ensure the Design and Operational Effectiveness of the controls and challenge back to the Business where necessary
To manage the development and maintenance of an effective control framework in that prevents value being destroyed and ensures that control failures are mitigated in a timely manner
Take on management and day to day responsibilities for Risk assessment, Risk event monitoring, Policy Management, Reporting & Governance and Independent control testing requirements
Provide support to the Business during BIA visits, including producing Audit Closure packs to close any Observations

Operation Risk & Control Resume Examples & Samples

Ensuring the team achieve tight daily reporting and disclosure deadlines by organising and managing the team’s workload
Building a detailed understanding of each process, ensuring accurate filings to made to the regulators
Identification and implementation of process improvements
Identification, mitigation, escalation and reporting of potential/current risks
Providing support to other members of the team
Close communication with stakeholders including our dedicated compliance team and the business unit
Excellent verbal and written communication abilities
Superb attention to detail, accuracy & quality
Proven management experience. Skills in delegation, organisation and people management to ensure the team works effectively and efficiently
Strong time management and task prioritisation skills. Willing to work additional hours to ensure all deliverables are performed within required timescales
A positive outlook, energy and enthusiasm. Is a self-starter who takes individual ownership for work quality and improvement. Leads by examples working with drive and determination
Ability to work well under pressure, lending control and order to a difficult or pressurised situation
Ability to absorb information and learns quickly
Innovation and creative skills – challenges the existing processes and status quo
Diversified financial services product knowledge – particularly in Equity products
Advanced knowledge of Morgan Stanley trade flows and operational models
Advanced level of regulatory understanding

Rohq-fro Risk & Control Resume Examples & Samples

Analyze, review, monitor and test the overall control environment of the various business units within FRO Manila
Review control design and documentation of operational processes, assess for adequacy and effectiveness and present recommendations for the further enhancement of controls
Provide training and guidance as well as ensure and monitor FRO Manila’s compliance to the Citi Policies (which include among others, COB, Records Management, Fraud, MPP, etc.) as well as applicable regulatory policies Handle and support the implementation, rollout and execution of various Risk & Control Programs (e.g., MCA, eDCFC, Process Reviews, etc.)
Manage and drive Continuity of Business (COB) planning, testing and execution
Manage and coordinate audits and reviews covering the business
Graduate of Business, Accounting or related courses, CPA is an advantage
Minimum of 6 years of experience in audit, operational risk, internal control, risk management, compliance and related functions, preferably in Banking or Shared Services/Business Process Outsourcing
Must have the ability to review/audit various operational processes, analyze control practices for adequacy and test control practices for effectiveness as well as present recommendations for improvement of the control environment
Positive attitude towards learning and engaging in a dynamic global environment where change is a constant
Task-oriented with the ability to perform at both micro and macro levels
Well-versed in developing new ideas and improving current processes
Effective oral and written communication skills
Should be able to potentially present compliance and control related topics to large groups including internal senior business management, auditors, customers and other related parties
Well organized, detail oriented, efficient and able to work independently and think critically
Ability to work with all levels of management and staff and in a matrix environment
Must be able to establish and maintain a rapport with customers, auditors, and senior managers
Good understanding of operational risks and controls, and audit procedures and the ability to independently conduct compliance reviews of products and process
Advanced presentation skills, program management, and relationship management skills

Head of Risk Control Unit Resume Examples & Samples

Job requires exceptional management skills both in terms of personnel and time
The nature of the job requires work to tight deadlines and have excellent interpersonal skills across levels
Job holder’s value rests in a detailed understanding and management of the Risk administration processes, client portfolios, and their drivers together with specialist product portfolios. The customer base is typically sophisticated, of high value and may involve complex business structures/conditions

Markets Risk & Control Resume Examples & Samples

Develop internal relationships and provide support for various Trading / Sales Desks
Gain the trust and confidence of the Citi Markets Trading and Sales Desks
Establish a rapport with Business Managers, Compliance, Internal Audit, Financial Control and Middle Office
Develop a broad and detailed understanding of the organization’s landscape, culture and technology
Understand the various markets and the applicable regulations which govern the markets

Rohq-markets Risk & Control Resume Examples & Samples

Generate daily reports, analyze data and develop/maintain tracking metrics for management reporting and escalation
Monitor compliance with internal or regulatory initiatives
Develop internal relationships and provide support for various trading / sales desks
Bachelor’s degree in computer science, business administration, economics, finance or accounting
Experience with databases, including design, developing queries, reports and macros in a dynamic environment
Strong desktop / PC skills which include working knowledge of MS suite of applications, specifically Excel and PowerPoint

Esc Regional Risk & Control Lead Resume Examples & Samples

Regular interface with the Global Risk and Control (R&C) team and other respective Regional Leads for R&C Programs affecting the Region and the CSCs
Leverage key relationships with business leads, internal/external audit, and other risk and compliance communities to optimize business goals. Interface and align with Enterprise Infrastructure (EI) and business Supplier Risk Management Units
Communicate changes in processes and controls in their region that impact risks or tests to the R&C teams
Communicate emerging risks or other potential deficiencies and control weaknesses from their region timely for assessment and remediation
Manage all regional internal and external reporting requirements, including risk exposure and control related metrics (e.g., operational loss reporting, manual payments processing (MPP)
Support the annual risk assessment update resulting in the establishment of a an effective MCA program for their region
Support the Global MCA Program lead in roll out and implementation, including country and regional coverage from the CSC
Support CSC Heads in creation of a consistent and robust MCA program from the Service Centers
Ensure sufficient evidence is maintained to enable MCA testing to be recreated
Support of CoB plan maintenance and enactment in the event of disruption
Coordinate the build out of a robust CoB plan within the CSCs
Oversee and ensure compliance with all data privacy requirements, including liaising with the O&T Data Privacy Office and in-country compliance and legal. Support right-placement projects and system implementations to ensure that data privacy clearance is achieved prior to go-live
5+ years business/operations management and/or risk and control experience; Procurement and/or Accounts Payable experience preferred
Experience of working in an international context
Able to interpret and apply policies, standards, and procedures
Exceptional verbal, written, and presentations skills; multi lingual (English and Spanish; Portuguese a plus)
Fluent English and Spanish, written and oral

Rohq-fro Risk & Control Resume Examples & Samples

Provide training and guidance as well as ensure and monitor FRO Manila’s compliance to the Citi Policies as well as applicable regulatory policies (which include among others, Outsourcing/Insourcing, Data Privacy, ETP/PTP, etc.)
Manage and coordinate R&C Migrations Monitoring, ensuring business units’ compliance to FRO’s Migrations Framework specifically the Risk & Control related requirements
Handle and support the implementation, rollout and execution of various Risk & Control Programs (e.g., Operational Excellence, Maker/Checker Enhancement, Blueworks Process Documentation, eDCFC Surprise Reviews, Process Reviews, Issues Log review, etc.)
Help coordinate audits and reviews covering FRO Manila business units
Minimum of 6 years experience in audit, operational risk, internal control, risk management, compliance and related functions, preferably in Banking or Shared Services/Business Process Outsourcing

O&t-regional Risk & Control Lead Resume Examples & Samples

Oversee and ensure effective execution of all key R&C programs for the region and across the CSCs for key programs including, but not limited to Manager’s Control Assessment (MCA), Continuity of Business (COB), Fraud Management, and Audit and Review support consistent with global risk assessment objectives
Work to establish a culture of control where regional and CSC staff understand their role in the control environment and the criticality of a robust control environment
Lead the regional and CSC wide implementation of recommendations from the Process and Control Review (Country Risk Reviews)
Support CSC Heads in creation of a consistent and robust MCA program from the Service CentersProvide feedback on Significant risks
Ensure the timely and appropriate execution of the established MCS program is completed for the controls being tested in their area
Ensure sufficient evidence is maintained to enable MCS testing to be recreated
Summarize and gain departmental approval of MCS results along with corrective action plan(s) for issues if identified; provide to global R&C team and Regional ESC Head
Suppory of CoB plan maintenance and enactment in the event of disruption
Support of key risk and control projects and ad-hoc requests from the Global R&C Team
Exceptional verbal, written, and presentations skills; multi lingual (English with Spanish and/or Portuguese)
Knowledge of local/regional regulations governing financial institutions
An understanding of Citi’s management structure, its businesses and governance structures a plus

GIU Risk & Control Assessment Manager Resume Examples & Samples

Aligning senior manager responsibility for achieving business objectives with accountability for assessing the design and execution of related controls
Improving risk management by
Using a broad range of control information to monitor risks and controls
Leveraging the metrics that business managers actually use to monitor controls to detect and address control breaches and emerging risks
Ensuring risk and control issues are captured for outsourced processes and controls
Utilizing common taxonomy to improve the communication of risks, controls and issues across businesses and geographies
Focusing expert resources on value-added control monitoring activities
Guarantying completeness and consistency in the investigations
Responsible for the completion of GIU’s Risk Assessment template which includes the identification and documentation of all GIU critical processes, risks and controls and monitoring methods
Participate in facilitated risk sessions to ensure completeness of risk & controls captured and adequacy/sufficiency of GIU’s monitoring and testing approach
Develop and maintain process flow information (process flowcharts & narratives) for all of GIU’s critical processes
Conduct Design Effectiveness Testing (DEA) for all newly implemented controls to ensure the control design is adequate
Develop and maintain monitoring methodology for all of GIU’s processes, risks & controls (critical, non-critical) and conduct ongoing monitoring and testing in preparation for GIU’s MCA Quarterly Assessment
Executing MCA procedures as prescribed; determining root cause of issues and assist in the development of corrective action plans
Ability to represent the GIU in discussions with Internal Audit and Regulatory Bodies
Bachelor’s degree and seven plus years’ experience in the financial industry/examination field/internal audit
Knowledge of laws applicable to money laundering, including the Bank Secrecy Act (BSA), The USA Patriot Act, OFAC requirements, and Suspicious Activity Report (SAR) requirements a plus
Strong Management skillset is a plus
Excellent organization skills and the ability to work across regions and in a global team
Capacity to work at a fast and accurate pace is critical in this environment
Strong presentation, program, and relationship management skills
Strong technical, analytical, organizational and interpersonal skills

Platform as a Service Deployment Risk & Control Lead-VP Resume Examples & Samples

Provides information risk management consulting to PaaS Deployment teams
Ensure PaaS DEPLOYMENT compliance with the firm's IT Risk Management Policies and Standards
Promotes awareness programs designed to ensure that PaaS Deployment staff understand current information risks/threats and how these are to be managed
Manages risk and vulnerability assessments of PaaS Deployment systems and applications, facilitates compliance/control reviews and associated remediation efforts
Oversees PaaS Deployment Control Self-Assessment, ensuring that control issues/gaps are clearly documented, that detailed remediation plans are developed to address these issues and that the risk acceptance is used appropriately
Implements information risk processes, executes and monitors risk related procedures, promotes risk policy awareness, and/or tracks and reports on risk compliance in line with established IT Control policies, processes and procedures
Ensures that the development, maintenance and execution of information classification, backup and recovery requirements, access administration, compliance & vulnerability management and control self-assessment processes are in accordance with applicable Information Risk Management Policies & Standards
Identifies potential information security risks/threats and notifies senior management; actively participates in GTI Service Delivery monthly review and other risk forums
Establishes working relationships with technical, business and quality assurance counterparts. Collaborates with IT Risk and Security Management, internal and external Audit, and Regulatory bodies to effectively manage and mitigate risk issues
Acts as a subject matter expert in information risk, controls, compliance and security best practices
Develops effective solutions for the management of information security risk issues, e.g. controls compliance and gap remediation (Enterprise Security Management, Security Event monitoring, etc.)
Travel to visit team and customers (must be willing to spend time in Bournemouth UK, major US cities, London, India and Asia)
Strategic and creative thinker, generates ideas to drive forward, can see the end to end picture, delivers the vision
Change Agent, makes improvements
Excellent management skills, including problem solving, team management, negotiation, conflict resolution and working as part of both a global and regional team (matrix mgt)
Self-starter, motivated, wants to make a difference
Proven ability to review a function and understand what work is performed, and how it could be performed differently to be more efficient (done with less people)
Holding your peers accountable in other groups/towers (in a constructive way)
Good at escalation management, decision maker, timely escalation of critical and or complex issues as required, driving to resolution
Good planning skills, to drive delivery of the strategic direction at the same time as maintaining delivery of the teams BAU work portfolio
Excellent communications skills, both written and spoken at all levels of the organisation
Broad technical background in Application Services and distributed technologies
Significant years experience in regulatory compliance, operational risk, audit or risk management, including broad knowledge of banking laws and regulations associated with Financial Services, technology and/or information security
A related undergraduate degree
Ability to work across teams
Comfortable debating issues with senior decision makers and pushing back where necessary
Demonstrated strong presentation and report writing skills in a fast paced and demanding environment
Demonstrated ability to work independently on projects and produce required results in a timely fashion
Broad technical background in Distributed technologies, Database (SQL, Oracle & Sybase) and Platform (Windows, Linux & AIX)

IT Risk & Control Lead Resume Examples & Samples

Manage the execution of all risk and control related activities as they relate to Banamex USA IT policies, standards, and processes
Oversee the Risk and Control function, which includes two additional Risk and Control Project Managers, Technical Information Officer, and Disaster Recovery Lead
Management risk awareness, corrective action tracking, and monitoring of outstanding risk and control issues and audit for IT
Responsible for the planning, coordination, and timely execution of risk and control activities
Works directly with the Application, Project/Program Managers Vendor, and Operations functions within Technology, as well as the appropriate Business Leads to ensure the implementation of the IT Risk and Control Program, including presenting key material to leadership, etc
Monitor all Risk Acceptance and Corrective Action Plans (CAPS) to completion
Support and understand the IT functions to ensure they are aware of their risks
Providing regular performance and status reports to the required stakeholders and contributing to status meetings on risk and control areas
Managing risks and issues identifying, analyzing, tracking, managing, escalating, and resolving / mitigating risks and issues that impact the risk and control activities
Escalating appropriately to the Head of IT, and ensure IT risk and control communication exists between internal controls, internal audit and necessary business units
Work with Business Information Security Officer as needed
Undergraduate Degree (BS/BA or equivalent combination of education/experience)
8-10 years of relevant experience
Formal Project Management qualifications (PMP) and/or training are a plus
Leadership with the ability to see the big picture without losing attention to detail
Relationship management skills with the ability to handle conflict and negotiations
Strategic planning and project management skills
Very strong analytical skills
Strong meeting organization and facilitation skills
Good understanding of Financial Banking risk and control space
Understanding of commercial/wholesale card and/or retail credit card business

Risk & Control Self Assessment Lead Resume Examples & Samples

Proven experience reviewing/assessing applications and infrastructure against defined CSA/ASA control testing
Understand the concepts of Risk Polices, Standards and Procedures, Inherent risk, residual risk
Familiarity of regulatory and corporate requirements such as SOX and SSAE16, MAS, etc
Ensure that the globally consistent processes established for all GSO Risk & Control disciplines are followed in their sub-tower
Understand Business Impact Analysis (BIA), Business Continuity Plans (BCP) and Technology Recovery Plans (TRP). Understands resiliency testing and the importance to stay compliant
Perform advisory role on control breaks and issue identification and provide direct CSA support, including oversight of the monthly control review process
Have a sense of ownership for an identified control break, working with owners to affectively mitigate/manage the identified risk, not only in the governance to close the Action Plan based on scorecards
Provide advisory support on audit & regulatory, business continuity, threat & vulnerability management issues and risk and control projects. Understands why an auditor is requesting information and what it means from the identified scope of the review
Provide all relevant sub-tower risk reporting and score carding, and other risk & controls related reporting as appropriate and needed
Expertise in the risk & controls testing including risk identification, control evaluation, testing, sampling methodologies, technology controls, audit engagement process, controls substantiation, etc
Excellent issue and action plan creation and management. Able to understand why an issue is open/relevant against a control and what it would take to mitigate that risk
Knowledge within the following risk domains/technologies but not limited to
System/Access Administration/Access Recertification/Privileged Access/Change Management
Wintel/Unix/Mainframe
Current Risk based experience within a large organization (min 5 years experience)
IT Risk Management/Audit industry certification (such as CISSP, CISA,CRISC, etc.) required
Prior IT Audit experiences a plus
Good analytic and problem solving skills, positive self-starter with proactive approach and excellent time mgt and prioritization skills and organized
Proficient verbal and written communication skills
Team oriented, understands the concept there is no “I” in team
Proficient risk assessment, interpretation, analytical and negotiation skills
Comfortable questioning the status quo and quizzing those more technically qualified with the aim of teasing out potential control gaps for remediation

Controls Risk & Control Self Assessment Resume Examples & Samples

Exceptional critical thinking, project management, analytical and communication skills (i.e. communicate effectively at all levels of the organization)
Individual must be results driven and skilled at influencing key stakeholders and peers
Demonstrated experience as a key contributing member of a high performing organization; and
Ability to adapt to a rapidly changing business environment, quickly asses situations, and capitalize on change

Lead Bu Risk & Control Resume Examples & Samples

Must hold your FINRA 6 & 63, at a minimum and be state insurance licensed
Strong existing understanding of the Contact Center’s, processes, operations, systems, and business drivers, including the regulatory environment
Extensive knowledge and understanding of risk management practices and principles, including experience with business continuity planning and records retention
Partner with 2nd and 3rd line of defense partners from Risk, Compliance, and Audit to ensure continued focus, successful closure, and ongoing monitoring of risk management issues and mitigations, such as audit MAPS and other control activities. As well as gather feedback and input into the business risk management program, implementation, and reporting
Ensure the business area develops and maintains viable business continuity plans that fulfill Corporate Business Continuity (CBC) requirements, reflect organization changes as they occur, and align with business priorities and the risk appetite of PSG
Ensure PSG identifies records and retains official company records and the appropriate handling of non-critical records
Bachelor’s degree in business required
Knowledge of Financial Services regulations and the ability to work with Compliance and Legal partners on adherence

Manager Risk, Control & Project Services Resume Examples & Samples

Ability to prepare and present analysis on project related and risk
Well-developed verbal, written and interpersonal skills necessary to communicate and negotiate effectively with diverse groups of people
Ability to plan, organize and manage multiple and conflicting priorities
Well-developed problem solving skills
Experience managing large projects
Experience working in a Risk and controls environment
Prior experience working with internal and external auditors (i.e. PWC, EY, etc.)
Strong knowledge of SSAE16
Comfortable leading without direct authority
Knowledge of program project management best practices
Undergraduate degree is required
6-8 years of experience working in financial services
3 - 5 years Process Improvement and project management experience is required
Prior experience in a risk and controls environment is required
Prior experience reviewing vendor contracts and SOW is required
Prior experience and success in building relationships and eliciting cooperation from stakeholders, including Senior Management, Clients, Vendor, IT and Business Groups
Strong experience leveraging Excel and PowerPoint
Asset management experience is preferred
MBA or similar advanced degree is a plus
Ability to work both independently and in a collaborative environment
Customer service oriented and the ability to form relationships with business partners
Keen organization and attention to detail is critical
Strong written and verbal skills

Global Risk & Control Senior Controls Specialist Resume Examples & Samples

Report directly to the Global Risk and Control team and interface with all ESC Regional R&C Leads and Global Service Centers for R&C Programs affecting their areas of responsibility
In partnership with management, develops and executes on business plans for area of responsibility
Support all key R&C program needs with primary focus on Internal Audit and MCA, consistent with global risk assessment objectives and expectations
Deliver work product that supports a strong culture and control environment
Communicate changes in processes and controls that impact risks or tests to the R&C teams
Assist in the identification and assessment of R&C data to identify trends and potential issues when applicable
Provide guidance and subject matter expertise in the establishment of an effective MCA program
Gather, review and validate regional documentation for Annual Risk Assessment, MCA Testing and Ratings and Management Identified Issues
Maintain up to date internal audit schedule on ESC functions and communicate diligently with corporate, global, regional and country interfaces
Utilize various ESC tools and corporate system applications to perform job duties

Rohq Hrss Avp Regional Risk & Control Resume Examples & Samples

Have oversight of all Risk and compliance matters (monitor risk and ensure that controls are in place for all HRSS business processes, which includes HR Admin & Payroll activities)
Provide guidance to the department from an Information Security perspective on whether the department is adhering to all Citi IS policies
Ensure that department and its vendors have a updated continuity of business plan and partake in CoB drills and Call Tree exercises
Take part in Risk Control Self Assesment quarterly exercises
30% internatioal travel involved
5+ years experience working with the various risk and control systems and reporting requirements
Business Information Security Certification strongly preferred
Undergraduate degree / graduate degree preferred
Deep understanding of risk and control processes, systems and reporting requirements
Pragmatic problem solver with the ability to translate plans into actions

Rohq-markets Risk & Control Resume Examples & Samples

Supervise the generation of daily control reports, analyze data and develop/maintain tracking metrics for management reporting and escalation
Follow-up on exceptions with the Front Office and evaluate responses to assess whether further escalation is required
Help coordinate the regional roll-out of new internal or regulatory driven initiatives
Critically review and continually enhance the tracking metrics for management reporting and escalation
Assess the quality of desk procedures and other control related documentation and recommend enhancements to bring in-line with best practice
Support control initiatives, audits and self-assessment testing for assigned businesses
Develop internal relationships and provide support for various trading/sales desks
Bachelor's degree in Computer Science, Business Administration, Economics, Finance or Accounting
3-5 years of experience in Risk, Finance or Audit function
Knowledge of the Markets business including the various product lines, key performance indicators and core risks
Experience with databases including design, developing queries, reports and macros in a dynamic environment
Strong desktop/PC skills which include working knowledge of MS Suite of applications specifically Excel and PowerPoint
Exposure to database and data warehouse applications is a plus

Country Enterprise Risk & Control Head Resume Examples & Samples

Perform oversight of the Control Function of Citi Service Centers (CSCs) that are located within the given country [Note: The Control Function structure of CSCs is in progress and being addressed by Project Orient as Phase II]
Work with the O&T function owners on risk and control matters and provide advice and guidance
Represent the country on Country Information Security, Country COB, Country Outsourcing, and Country Record Management (along with the respective Heads of these ERC functions as needed) and on O&T risk and control matters
Escalate and socialize these to the Country O&T Head
Governance and Line-of-Sight across the enterprise-wide risk and control functions and ‘O&T Risk and Control’-type functions as defined in the AsPac ERC model
End-to-end process mapping within the scope of the country ERC function (including Third Party and Inter-affiliate)
Issue escalation and socialization
Manager’s Control Assessment (MCA) coordination [Note: MCA execution by the ERC function is being explored as part of Phase II of the AsPac Gold Copy MCA program in 4Q 2015]
Risk and control project management
‘Deep Dive’ reviews
Training and awareness
Minimum three years in an Internal Audit, Risk Management, or Control Management-related role
Good understanding of Information Security, COB, Outsourcing, and Records Management, and expertise in Consumer Operations, Technology Risk Management, ICG Operations, and Proofing and Reconciliation (particularly for countries that are not being regionalized due to regulatory restrictions, namely Indonesia, Taiwan and Korea)
Proven people and team management skills

Global Risk & Control Senior Controls Specialist Resume Examples & Samples

Support all key R&C program needs with primary focus on those mentioned above with global risk assessment objectives and expectations
Provide guidance and subject matter expertise on ESC risks and controls established to mitigate these risks in order to advise ESC Regional R&C teams accordingly
Assist ESC Regional R&C teams with the development of Corrective Action Plans (CAPs)
Gather, review and validate country data for Annual Risk Assessment
Maintain up to date AB&C, Legal and compliance information that effects ESC functions and communicate diligently with global, regional and country leads
Assist in Data Privacy Office (DPO) activities including creating DPAT initiatives, liaising between the business and the DPO, periodic reporting and metrics
Maintain oversight of ESC owned supplier relationships to ensure compliance with third party management requirements

Hkg-global Markets In-business Risk & Control Resume Examples & Samples

Leveraging holistic third party risk reporting as another tool in the management of third party performance
Changing outsourcing behavior to reduce risk as supplier risk approaches defined trigger levels
The geographic scope will encompass all Regions for ICG
The ICG Third Party Controls Manager will report to the Head of ICG Third Party
Act as the TPM Risk Officer - analyze, aggregate and report on material risks related to third party management
Work with Internal Audit management to ensure consistence in objectives, findings and CAPs
Collects research data and champions design enhancements that support the long term plan for the global Third Party Risk Management (TPRM) program
Influences stakeholders and partners regarding Enterprise and Consumer specific Third Party Oversight programs, to include leaders in Enterprise Supplier Risk Management, Regional Supplier Risk Management utilities, other sector leads, Compliance leadership, Procurement, Legal, and Consumer Line of Business/Product/Function SRM leads and senior management
Partner with Information Security, COB, Records managm,ent and other key risk areas regarding Third Parties
Monitor regulatory changes in the third party management space and ensure Citi compliance
Interact with all ICG third party management stakeholders on Citi’s overall third party management program
Facilitate/chair various third party management meetings
Candidate with 10+ years of relevant experience in Third Party and/or Supply Chain management, strategy development, governance, risk management (including information security and continuity of business), and/or audit management
Strong risk management and/or third party management background
Strong leadership skills and executive savvy

Risk & Control Resume Examples & Samples

Understanding all operational processes within the US region which involve the US only and cross-border booking entities
Overseeing of weekly and monthly US Entity Control metrics
Ensuring integrity of related commentary presented at the appropriate entity governance forum
Track operational processing issues such as manual touch points to ensure mitigating remediation work is tracked
Help build entity specific oversight into the daily sign off of functions leveraging in house tools and reporting
Highlight inter-region functional handover points for a �follow the sun� support model
Work with Operations colleagues to ensure readiness ahead of new business flows
Evolve the policy framework to encompass and be considerate of US only and other cross-border booking entities, in context of the overall global framework

Risk & Control Resume Examples & Samples

Partnering with internal teams on key long- and short-term projects to set and coordinate execution strategies
Identifying, analyzing and mitigating risk to improve the overall control environment
Collecting and analyzing data to understand issues and relay appropriate messages
Supporting in the development and implementation of new procedures and training
Synthesizing and presenting information verbally, visually and in writing to senior management in regular and ad-hoc forums
Acting as a point person for Operations Control on unplanned efforts such as global management or regulator/audit requests
Assist in formulating internal communications/presentations for the various teams within the Ops Control group
Organizing and supplying critical tracking and open items (risks/issues/dependencies) to Ops Control management across the priority items in our book of work

Wholesale Product Services Risk & Control Resume Examples & Samples

5+ years Investment Banking experience
5+ years knowledge of Risk and Control
The ability to pass the Series 99 Registration exam within 120 days of start date to retain position, if applicable to the function of this role
Successful track record of team leadership
Ability to identify and appropriately escalate issues and risks
Self motivated and highly driven individual
A strong practical understanding of the importance of rigorous controls environment
Attention to detail and diligence combined with good analytical problem solving skills
Ability to pick up concepts quickly and to challenge existing thinking and processes
Knowledge of transaction lifecycle
Familiarity with trade lifecycle
Currently holds a Series 99 License

Manager Market Risk Control Resume Examples & Samples

Advanced degree, or risk management designation obtained or in progress is an asset
At least 2 years experience with financial products, preferably in risk management, product control or finance area
Pragmatic, delivery-oriented attitude

Cib-risk & Control Resume Examples & Samples

Assist with oversight in compliance with internal controls and regulations
Assist with audit requests, evidences and reports
Prepare reports, presentations and supplementary material including data visualization and interpretation
Provide support for control meetings (document meeting minutes and action/task items)
Provide support for user recertification
Work with offshore teams and partners (in English)
Students of Administration, Engineering, Statistics, Mathematics or related areas
Graduation in Dec/2016 or later
Knowledge of MS Office package
Good interpersonal skills (communication, teamwork, partnership)

Risk & Control Team Leader Resume Examples & Samples

Responsible for leading a team of 4 staff performing the Risk & Controls functions on behalf of the Asset Servicing Group
Assist in the processing of operational write offs. Review error reports against current controls and Manager Control
Assessment (MCA) to identify weaknesses in process or controls and highlight where process can be improved
Partner with the Asset Servicing Processing Teams to capture, track, learn from and minimise losses / near miss events
Conduct oversight of the Manager Control Assessment (MCA) process for the Asset Servicing Group, ensuring effectiveness and challenge results
Act as a central contact for the Citi Audit and Risk Review team or External Auditors during audit / risk reviews
Including assisting with the collection of test samples requested for review, entering into dialogue with regards to findings and providing feedback to the Asset Servicing Section Managers
Monitor the CAPS assigned to the Department, resulting from Manager Control Assessment (MCA) and / or Audit reviews
Ensure appropriate validation of CAPs / Issues takes place before closure. Ensure any Instances where target dates are at risk are escalated to Section Manager
Coordinate Internal Peer Reviews within the Asset Servicing Group to identify weaknesses in process or controls and provide feedback to Management. Monitor corrective action plans identified during Peer Reviews and ensure they have been implemented
Ensure full procedure and process flow documents in place across Asset Servicing Department including Risk and Control functions
Ensure all relevant Polices (Operational and regulatory) are understood and adhered to by the Asset Servicing Group
Provide appropriate communication to ensure the department is aware of upcoming new policies and provide an impact assessment. Develop tests and checks for policy adherence; embed into MCA where appropriate
Ability to undertake BISO and COB roles
Must be a self starter, highly driven and have willingness to make decisions as appropriate
Innovative and fresh approach to problem-solving
Drive, energy and enthusiasm
Ability to effectively prioritise workloads and work to critical deadlines
Ability to lead a team Skills
Excellent verbal and written communication and strong interpersonal skills
Ability to clearly and concisely gather, interpret, analyse and document information
Bachelor’s degree in Business or related discipline

CIB Risk Control Resume Examples & Samples

Maintenance of CIBs PARC library
Coordinate and track requests for any new components of the PARC from BCOs, OCMs or RCOs and partner with COR for approval
Suggest appropriate Process, Activities and Risks for any new required Controls as a result of an Enterprise program and incorporate into the PARC library
Develop Business Guidance and Procedures descriptions for each of the standard controls which should be used in Phoenix
Develop standard control test scripts
Identify any areas of duplication where controls are unnecessarily repeated across PARCs and suggest modifications
Develop the best tool to maintain the library
Gain an understanding of the Phoenix application, the components of an RCSA and seek to become a subject matter expert to provide guidance to BCOs, RCOs, OCMs and line of business partners
Partner with Core RCSA team to provide input on standardization, training, guidelines and Phoenix system enhancements
Self starter who is able to work in a fast paced, results driven environment
Confident and have excellent communications skills
Problem solving skills including identification of issues and solutions
Excellent multitasking and adaptable to shifting priorities
Ability to demonstrate personal initiative, ownership and accountability
Flexibility and capability of engaging across diverse functions, locations and businesses
Ability to liaise with Corporate and Technology teams
Experience with Risk & Control Self Assessment (RCSA) or Control Self Assessments (CSAs) is required
Strong analytical skills with the ability to determine key messages from detailed data
Strong people and organizational skills
Ability to work independently and understand when to seek advice or guidance from management or peers
Excellent working knowledge of MS Excel and PowerPoint

Regional Risk & Control Senior Manager Resume Examples & Samples

The primary function is to ensure that a robust control framework exists in which Asia Pacific Markets & Securities Services operates and to provide support for new business developments whether driven by market, regulatory, product or technology needs. Specifically, the role will encompass
Maintaining and developing the Managers Controls Assessment framework for Asia Pacific Markets & Securities Services; designing and creating processes to enable monitoring which determines whether or not control processes continue to operate as prescribed' promoting an environment within Asia Pacific Securities Services which encourages the self-identification and reporting of control issues
Leading the Asia Pacific Markets effort for key control projects (such as AML transactions monitoring)
Reviewing and coordinating responses to draft policies and policy enhancements on behalf of Asia Pacific Markets & Securities Services
Acting as source of expertise on control related matters for key desks and providing direction in relation to regular controls meetings, advising real time on control processes, preparation for internal audit and regulatory inspections, new product transaction review and conditions monitoring
Coordinating with the New York and London Markets & Securities Services Risk & Control teams to respond to and escalate emerging control issues and initiatives
Coordinating business preparation for and responses to inspections from regulators, auditors and other relevant groups
Participating in peer reviews
Ability to work across support functions and in consultation with business control specialists in other regions and products is essential
The ideal candidate will have 10 to 15 years of experience in financial services
Prior experience in Audit, Compliance or Legal would be beneficial
Highly motivated, able to self-identify emerging issues and develop responses
Work on own initiative
Able to manage routine processes with precision and ad hoc projects with flexibility and creativity

Global Risk & Control Senior Controls Specialist Resume Examples & Samples

Support all key R&C program needs with primary focus on Information Security, Fraud, Continuity of Business and Records Management
Communicate changes in processes and controls that impact risks to the R&C teams
Assist in the identification and assessment of R&C data to identify trends and potential issues
Provide guidance and subject matter expertise in the establishment of an effective Information Security, Fraud, Continuity of Business and Records Management program
Review regional documentation for any Information Security, Fraud, Continuity of Business or Records Management issues and IBAMS
Support of key risk and control projects and ad-hoc requests from the Global R&C teams

Assistant VP-risk & Control Resume Examples & Samples

Part of a team of 4 individuals performing the Risk and Controls functions on behalf of the FRO Mumbai
Act as a point of escalation in the absence of the Risk and Control Lead
Assist in the review of migrations documentation in line with CSS migrations framework and CSIPL Rules of the Road
Enable teams to develop full procedure and process flow documents in place across Department including Risk and Control functions
Review current Manager Control Assessment (MCA) to identify weaknesses in process or controls and highlight where process can be improved
Conduct oversight of the Manager Control Assessment (MCA) of new process ensuring effectiveness
Partner with send side teams to capture and track risk in order to minimize losses/near miss events
Assist with the collation of DPO documentation and related requests within internal and external groups
Establish dialogue with regards to findings and providing feedback to the leads/managers
Facilitate Records Management applicability and conduct trainings on maintaining records
Monitor the CAPS assigned to the Department, resulting from Manager Control Assessment (MCA) and/or Audit reviews
Ensure appropriate validation of CAPs/issues takes place before closure. Ensure any Instances where target dates are at risk are escalated to leads/ manager
Support Line of Sight initiative to identify weaknesses in process or controls and provide feedback to Management
Monitor corrective action plans identified through line of Sight initiative and ensure they have been implemented
Ensure all relevant Polices (Operational and regulatory) are understood and adhered to by the Group
Provide appropriate communication to enable the department of upcoming new policies and provide an impact assessment
Develop tests and checks for policy adherence; device the control in MCA where appropriate
Ability to undertake COB roles
Any bachelor's degree in finance related field along with industry certification if any
Ideally from an Operations background with a broad understanding of Finance operations
Knowledge of Migrations Management in Finance world
Understanding of Business Risks and Exposure
COB and record management understanding would be an added advantage
Strong MIS and presentation skills
Ability to clearly and concisely gather, interpret, analyze and document information

Market Risk Control Resume Examples & Samples

Playing a key role in supervising market risk undertaken by the Cash and Flow derivatives trading desk, ranging from daily risk / exposure / market reviews in conjunction with traders, independent portfolio or desk level risk analyses, risk profile optimization and limit recommendations
Provide updates to senior management with regards to risk utilisation (vs. risk limits), portfolio performance (risk vs. P&L) and market activity
Being involved in specifying requirements for accurate risk representation of the business, working with IT, Quants and trading
Work closely with Quantitative Risk Control, Credit, Legal, Compliance, and Business Unit Control to ensure best practice control environment and policy/limit compliance
Contributing to global projects in the Chief Risk Officer area

Operation Risk & Control Resume Examples & Samples

Supporting central analysis for all EMEA regulatory initiatives impacting production and delivery of key inputs
Management, analysis and appropriate escalation of relevant regulatory breaches, defining solutions, actions and tracking through to remediation
Modelling of Operations and Firm-Wide business process in order to gain a complete understanding of regulatory impact to current procedures, processes across Operations and the subsequent impacts firm-wide, identifying and documenting requirements to an industry standard
Drive the Operations analysis of EMEA Regulatory Change events leading to identification of firm-wide impacting initiatives; driving interpretation and impact assessment of proposed regulatory change
Engaging with EMEA Legal and Compliance, EMEA Government Relations and wider EMEA Divisions to support ongoing EMEA regulatory rule assessment
Working with senior stakeholders across the firm to assist in delivering Global Regulatory Projects
Responsible for the definition of business requirements, testing approaches and execution for system implementation and process change for Operations Risk and Control projects and wider control issues, contributing towards delivery on multiple strategic and tactical projects
Perform feasibility analysis, projects scoping, and working alongside the project management teams to prioritise deliverables, and negotiate on product functionalities
Defining project requirements by identifying project milestones, outcomes, outputs, and phasing; assisting to establish project budgets and business plans

Conduct Risk Control Resume Examples & Samples

At least 7-10 years of relevant markets compliance, surveillance, compliance control experience
Knowledge of securities markets, businesses, products
Knowledge of securities and exchange rules and regulations
Inquisitive and proactive in identifying risks and proposing solutions
Good interpersonal skills and excellent written/oral communication skills
Ability to work with a variety of senior and junior people, and build smooth working relationships
Good team player - one who is able to prioritize in a fast moving, constantly changing environment
Entrepreneurial inclination - ability to work alone and act as project manager
Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
Ability to handle multiple tasks simultaneously and work under tight deadlines

Head-risk & Control Resume Examples & Samples

A minimum of 10~12 years direct experience in an operations units
Must have experience / knowledge across most of the banking products and operations activities related to the transactions
Highly Proficient in using Microsoft Office (Word, Excel, PowerPoint, Outlook)
Preferably with work experience within a multinational organization working with colleagues throughout Asia Pacific
Good at documentation & preparing presentations

Css-risk & Control Lead-csipl Resume Examples & Samples

Matrix reporting manager - Chief Governance Officer
C Level - C13
Leading the implementation and ensuring ongoing effectiveness of Risk and Control initiatives
Driving the identification of material risks through risk identification, prioritization and reporting processes as part of the global risk management model
Identifying, developing, implementing and reporting KRIs as part of the global risk management program and in line with business and function needs
Propagating continuous awareness and understanding of risks, the risk management program and risk and control requirements and practices to in-country stakeholders
Driving the India CoB Program including crisis management across legal vehicles
Escalating emerging risks and issues to the right level of management in a timely manner
Enhancing risk, issue and review status and trend analysis reporting
Support Iinternal audit and regulatory reviews and report findings and ensure lessons learnt are used to prevent recurrence of issues
Ensure all CAPS are closed within timelines and any ‘At Risk’ CAPS are escalated to the country and regional senior management appropriately
Support the operation teams in enhancing governance over outsourced service providers to minimize risk of data leakages
Perform detailed analysis of the business partners and associated operations processes and develop workflows to detail how functions operate across country
Ensure adequate level of Information Security across the 3 domains - people, process and technology
The function has overall responsibility to ensure adherence of all business units to all Citi and regulatory requirements W.R.T Information Security Compliance
Engage with the country and regional senior management to identify Infosec risks and ensure that they are understood and appropriate controls are built to support the Business in meeting its objectives of increased revenue and lowered expense without compromising on risk
Innovate, create and leverage on best practices to implement a world class Infosec Program that supports Business
Oversee implementation of the Regional and Global IS programs to manage risk suitably
Ensure that the quality of controls can be validated without exceptions in any audit
Ensure that the unit budgets are managed within targets and any potential risks are escalated well in time
Indepth knowledge of control environment, ensuring adequate controls exists in operational processes
Ensure adequate process knowledge and compliance to the proofing controls through detailed proof reviews
To partner with business and operations units on all proofing and control related matters
Ensure operational losses are minimized by implementing controls and mitigating risk
Drive the concurrent audit process and highlight open issues and concerns to the senior country management
12-15 years of experience in banking, audit or operational risk management
Required skills include superior problem-solving ability, teamwork, quantitative aptitude and excellent verbal and written communication skills, including the ability to synthesize and communicate complex issues
The successful candidate will demonstrate aptitude in communicating with senior management, intellectual curiosity and a strong commitment to excellence
Ability to multi-task and execute tasks in line with priorities and dependencies in a timely manner
Ability to build rapport with key business partners and interface with businesses/functions across sectors to be able to assist with the implementation of change in a collaborative manner
Comprehensive knowledge of Citi global/regional operations and control standards/policies
Up-to-date understanding of operational risk management concepts, tools and trends
Analytical skills - should have an eye for controls
The candidate is expected to have background awareness on the risk framework and processes, excellent interpersonal skills, quick grasping power and a focused approach to the task on hand
Employees with prior experience in Risk and compliance or related functions will be preferred

Global Risk & Control Resume Examples & Samples

Report directly to the Global Risk and Control team and interface with ESC Regional R&C Leads and Global Service Centers for R&C Programs affecting their areas of responsibility
Lead and/or support key R&C program needs with primary focus on the following
Ideal candidate would have considerable business background spanning areas such as risk management, compliance/control, operations, technology, and; financial services experience a plus
A minimum of 3 years risk and control experience
Sound, deep knowledge of risk and control methodology and best practices
Familiar with and able to assist with other Risk & control wide programs such as MCA, Country Risk Review program, Internal Audit, and Policies and Procedures
Strong interpersonal and relationship skills with experience working in a matrix environment
SharePoint management experience

Risk Control Team Leader Resume Examples & Samples

Lead the month end credit adjustment process and Risk Finance Alignment in collaboration with Credit Officer, RCO Support & Data Management Team, Risk Methodology, Business Managers , Risk Reporting and Finance
Analysis of month end Credit Close, substantiating Exposure and RWA movements
Working effectively with other team members to deliver against shared objectives
Supporting others in own and other teams where sharing specific functional or product knowledge will speed completion of tasks and /or improve the quality of key project deliverables
The individual should understand EPS/CCAR and Basel 3 regulatory capital calculation and reporting requirements
The individual should also have strong IT literacy skills, navigating and querying databases, writing SQLs in order to explain/substantiate RWA /Exposure movement drivers

VP-mortgage Lending Risk & Control Resume Examples & Samples

Work and interface with Legal, Compliance, Operational Risk, Quality Control and internal and external auditors
Responsible for the oversight of risk identification and mitigation for residential mortgage lending
Experience in planning, scoping and managing internal audits, compliance or risk reviews
Manage the audit review process by coordinating the receipt of audit report results with the respective business area, validate and resolve all findings and observations and provide responses by required deadlines
Communicate the results of testing to the appropriate parties, including senior management, including any modification of risk assessments, strengthening of controls and creation of action plans
Respond to second line of defense groups in cases where a new policy or procedure may require comment or review
Understands businesses processes, risks and can identify control issues
Research and validate findings and observations. Work with vendor(s) to determine root cause, ensure loan level corrections and possible solutions to process breaks
Enhance audit framework for tracking of all reviews, including findings and observations, current status, and final response provided
Bachelor’s degree or equivalent mortgage experience
5+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk)
Knowledge of audit and regulatory compliance relating to Mortgage Originations
Strong understanding of residential mortgage Origination and Servicing
2+ years of management experience
Experience in Project Management and/or Business Analysis preferred
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Ability to articulate complex concepts in a clear manner
Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
Ability to manage initiatives involving process improvements
Ability to build effective business partnerships with all levels of team members

VP of IT Risk & Control Resume Examples & Samples

You have excellent relationship management, communication and analytical skills
Operational Risk and/or IT Security related certification or equivalent combination of training and experience
8 years of general business experience, including leading teams on a matrix basis
A minimum of 5 years of investment banking experience
While this position handles the Wholesale business, Nomura also has a very active Retail Division servicing individual investors. Thus experience in an environment performing risk management and/or leading IT security activities for a retail (individual investor) client base would be valuable
Experience with implementing operational/enterprise risk management, internal controls, compliance, or internal audit programs in a financial services environment
You have basic experience with IT infrastructure, allowing effective management of the IT Security team and overall engagement with IT Management
Experience with testing and assessing the effectiveness of internal controls
You have experience in conducting training and awareness seminars to the Division, emphasizing and clarifying the roles and responsibilities of each department within operational risk management
Experience in challenging the risk posture, providing an additional level of assurance over its measurement
Fluent in English; basic Japanese language capabilities would be beneficial but not mandatory
Strong Excel (Marco), Visio, PowerPoint skills
CISA, CISM, CRISC, CISSP, or other IT governance, risk, or audit or security professional qualification
Certified COBIT practitioner (Desirable)
ITIL v3 qualification (Desirable)

Corp-risk Control Resume Examples & Samples

Coordinate Regulatory Examination & Issue Remediation from a Latam perspective
Production of the region metrics and Control Book
Issue management: tracking progress of Action Plans and review of evidence for AP closure
Reg issue management: tracking of Response Letters and coordination with the Risk Stripe Control Officer
Support Risk Stripe Control Team on RCSA execution for the region
Perform analyses on the control environment in the risk function in Canada and Latam

CIB Bacc-risk & Control Resume Examples & Samples

Perform control reviews against the framework and identify control gaps, process breaks, non standard tool sets or ad-hoc workflows, and recommend remediation strategy and timeline
Develop testing processes and approaches according to JPMC policies and procedures, revise test sequence and scope based upon test results and/or changes in product design
Work with appropriate Operations leads to determine the acceptable range for test results and performance
Assist Operations staff in identifying and resolving problems
Document test procedures and findings
Provide an independent, objective view of operational risk assessments, mitigation strategies, operational risk trends, and emerging risks
Work together with local, regional and global OCM and cross-functional teams and ensure proper reporting and escalation to Operations Senior management
Actively participate in numerous local and regional control forums X LOB representing Banking Controls Team
Minimum 3 years of experience working on financial institution, preferably on Banking (Operations, Finance or Audit)
Strong knowledge of risks and controls
Detailed oriented
Strong communication skills - written and verbal in Spanish and English. Portuguese is a plus

Risk Control Self-assessment & Controls Manager Resume Examples & Samples

Minimum of 7-10 years of control, audit and/or GCO experience
Five years of proven success managing and leading a global team
Advanced understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and IT risks in an integrated manner
Possess sense of urgency, intellectual curiosity, resourcefulness, excellent analytical and problem solving skills
Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
Proven experience as a key contributing member of a high performing organization
Proven ability to adapt to a rapidly changing business environment, quickly assess situations, and capitalize on change

ESC NAM Risk & Control Controls Specialist Resume Examples & Samples

Support activities related to key R&C programs for the region including, but not limited to Manager’s Control Assessment (MCA), and Audit and Review support consistent with global risk assessment objectives
Function as a liaison to and assist the Global and Regional R&C teams in the development of enhanced R&C programs, training, guidance, and communication materials for ESC; assist with the delivery of training and communication within their region as necessary
Communicate changes in processes and controls in their region that impact risks or tests to the R&C teams and Operational staff
Actively participate in the regular R&C Coordinator calls
Support the annual risk assessment update resulting in the establishment of an effective MCA program for their region
Ideal candidate would have considerable business background spanning areas such as operations, technology, finance, and compliance/control; financial services experience a plus
Exceptional verbal, written, and presentations skills; prefer multi-lingual (English, Spanish, and any other)
Program/Project management experience
Strong work ethic and high degree of professionalism with a global mindset

Risk & Control Lead Resume Examples & Samples

Regular interface with the Global Risk and Control (R&C) team and other respective Regional Leads for R&C Programs affecting the Region
Oversee and ensure effective execution of all key R&C programs for the region for key programs including, but not limited to Manager’s Control Assessment (MCA), Continuity of Business (COB), Fraud Management, and Audit and Review support consistent with global risk assessment objectives
Serve as a subject matter expert on risk policy matters for their regional staff, ensuring appropriate implementation and enhancement of procedures
Work to establish a culture of control where regional staff understand their role in the control environment and the criticality of a robust control environment
Lead the coordination of regional internal and external audits
Lead the regional wide implementation of recommendations from the Process and Control Review (Country Risk Reviews)
Actively participate in the monthly R&C Coordinator calls
Support the Global MCA Program lead in roll out and implementation, including country and regional coverage
Provide feedback on Significant risks
Provide feedback on the effectiveness of test scripts to ensure effective testing of the control objective
Ensure the timely and appropriate execution of the established MCA program is completed for the controls being tested in their area
Summarize and gain departmental approval of MCA results along with corrective action plan(s) for issues if identified; provide to global R&C team and Regional ESC Head
Coordinate the build out of a robust CoB plan
Guide and support the Regional ESC entities in CoB planning and execution
Follow up and resolution of required Enterprise Entitlement Reviews (EERs) reviews as applicable
Support of key risk and control projects and ad-hoc requests from the Global R&C team
10+ years business/operations management and/or risk and control experience
Familiar with and able to assist with other enterprise wide policies such as records management, COB, and information security
Exceptional verbal, written, and presentations skills; English with Spanish
Prior experience interfacing with all levels of management including cross region collaboration
High integrity and strong work ethic with a global mindset
Knowledgeable with Citi’s Expense Management Policy, Citi Supplier Selection and Management Policy, Citi’s Code of Conduct, Gift and Entertainment policies, etc. a plus

In-business Risk & Control Head Resume Examples & Samples

Strong strategic, analytical and product management skills
Minimum 10+ years of experience in Insurance/product management
Good working knowledge of digital technologies
Good understanding of various customer segments like Citigold and CPC
Good understanding of insurance regulations, control and AML
Strong Stakeholder Management Skills (e.g. communication, influence & negotiation)
Strong interpersonal skills, situational awareness and emotional intelligence
Job may require some travel

Risk & Control Leader Resume Examples & Samples

10+ years of Control, Risk, Compliance, or Operational Risk experience in a medium or large, global organization, at least 3 years with a global US regulated financial organization
Experience in technology management and project management
Strong communication skills, ability to work with and communicate to senior management and to both technical and non
Must be a motivated, self-starter who can independently handle tasks with little oversight

MYS Ctsm Kl-head Risk & Control Resume Examples & Samples

Should have an understanding of business/operations, risk and control function coupled with experience of engaging with auditors and regulators
Qualifications: Min. 10 Years of banking experience
3 to 4 years in control and Aml function
Education qualification: Graduate

Risk & Control Project Resume Examples & Samples

Analyst to Manager level, Risk and Control Projects, Retail Banking
Manager to Senior Manager, Technology Risk, Retail and Institutional Banking
Manager to Senior Manager, NCCP Compliance, Retail Banking
Manager, 2nd Line Operational Risk, Retail Banking

Cbna-o&t-risk & Control Head for Institutional Clients Group Resume Examples & Samples

Oversight of ICG Operations reconciliation and control functions, including coordination with the Global Recon Unit (GRU) and Proofing Team in China and Financial Reporting Operations (FRO) team in Manila
Monitor, track and escalate all exception transaction processing
Part of the Governance team of Account Review Committee (ARC) and responsible for ICG Operations Accounts
Track and report on all open CAP
Manage the team responsible for preparing various regulatory reports for Central Bank submission
Coordinate all internal and external audit review
Work with Operational Risk Management (ORM) team in the Annual Risk Assessment (ARA) of Process, Risk and Control (PRCs) for all ICG Ops Units including the quarterly submission of Manager’s Control Assessments (MCAs)
Track and report operation losses and perform root cause analysis with concerned Operations Units
Staff development through evaluation, appraisal, training and professional development of staff
Remain abreast of market and regulatory developments
Liaise with auditors, compliance and legal and regional processing centres
Support TTS and Markets in various functions such as launching of new products and implementation of new regulatory requirements and laws affecting their business
University degree, preferably in accounting
10+ years of experience with banking and financial service organizations
3-4 years of managing multiple and diverse teams with varying responsibilities
Strong knowledge of banking products, system transaction flows and the appropriate control environment
Demonstrate the ability to think strategically, deliver against goals and within budget
Possess excellent organization and communication skills
Be service oriented with strong client and business focus

Group Risk-market Risk Control Resume Examples & Samples

Providing support to the Asia Pacific Market Risk function
Performing quality controls on risk input feeds and seek validation from data providers on stale or significant changes in risk figures
Driving resolution of data related issues by working in collaboration with IT / Middle Office / Finance / MRM
Explaining significant VaR changes in assigned business lines based on sensitivities, volatilities and correlations
Conducting analysis of Economic Capital (EC) and Stress Testing calculations
Production of daily / weekly global and business level risk reports
Working with Market Risk Managers to test and implement new risk calculation methodologies
Analysing and understanding daily changes in Deutsche Bank’s risk profile (VaR, sensitivities, stress tests etc.)
Value-added analysis to enable Market Risk Management (MRM) to optimally manage risk in conjunction with the business
Key data management tasks including risk data loading, aggregation, calculation, and reporting
Drive user testing, training, communication and data migration for all market risk projects affecting quality and timeliness of market risk data

Co Head Ops Risk Control Resume Examples & Samples

Reviews of Internal working procedures (IOP’s) & HOP’s as set by Tokyo
Ops error reporting. Investigation of causes, impact on customers, funding, positions, and cost implications. Remediation actions & risk mitigation. Completing of OER reports
Communicating with FO’s, MO’s, European Offices and various key relationships
Working closely within Ops and supporting the staff/ managers of the respective areas in ORCG matters
Supporting production of key MI (management information) for measuring Operations performance. Enhancing the quality of the information we create and the analysis on cause & effect of errors/near misses
Building a team
Monitoring and Control of Business Activities
Managing Quality
Delegating
Improving Individual Performance
Resolving Conflict
Influencing, Inspiring and Engaging Groups

Manager, Risk & Control Resume Examples & Samples

Bachelor's Degree in Accounting / Finance, with solid academic credentials
Minimum of 7 years progressively responsible experience. To include either
Knowledge of Comcast operations or
Combination of public accounting and/or internal audit experience
Certification (CPA, etc.) or Advanced degree (e.g. Masters Degree) a plus
Knowledge of personal computers and business software required
Comfortable with the use of data analytics (e.g., ACL, SQL)

Head of Risk & Control Resume Examples & Samples

Establish and maintain risk assessments to identify and assess the material risks that arise in their business's area of responsibility
Comply with relevant policies, tests and supports their business in certifying the adequacy and effectiveness of the business's controls on a regular basis
Responsible for supporting businesses in establishing and documenting operating procedures which include relevant controls to meet local policy requirements
At least seven years' post-qualification experience gained in a Big 4 audit environment or financial services industry
Experience of managing a small team of finance professionals (2-3 professionals)
Excellent communication, interpersonal, team working and networking skills acquired in a large organisation
Strong analytical skills - ability to interpret guidance material / risk management principles and determine impact on Finance function
Risk Management - Ability to devise and maintain a strong culture of review and challenge in respect of delivery of risk management actions
Strong communication skills, with the ability to clearly and succinctly articulate issues to senior management
Understanding of the operational risks relevant to key business activities undertaken within a global financial services organisation
Demonstrated knowledge of Operational Risk Measures, controls and related operational issues applying to banking
Proven track record in improving business performance and operational control and risk culture to bottom line performance
Knowledge of the regulatory environment relevant to large complex financial services organisations

Head of Valuation Risk Control Resume Examples & Samples

Autonomously analyse complex trades across various asset classes (with a particular focus on credit / structured finance trades)
Liaise with key stakeholders at Director /Managing Director level
Draft high quality valuation reports
Effectively and clearly communicating complex valuation issues to senior management across the bank
Detailed knowledge of cash, structured finance and derivative valuation and risk measurement in a complex product area. Good knowledge of key derivative modelling an advantage
Experience of working in a markets investment banking environment either in a finance valuation or trading/structuring capacity
Experience of project management and for producing detailed analysis to demanding deadlines and clearly communicating the result to senior management
Effective and succinct writing communication of complex analytical problems and solutions
Team player, with a positive and flexible attitude

Cib-ops Risk / Control Resume Examples & Samples

Experience in operational risk analysis, process improvement, end-to-end process reviews or similar roles
Ability to analyze and recognize patterns, relationships and trends from a variety of data points to determine impact on risk and controls
Masters or Bachelors Degree with relevant & equivalent experience
The incumbent should possess conceptualization skills with strong implementation capabilities
Ability to work with tight timelines and in demanding and dynamic environment
Must be able to prioritize workload and adapt to changing demands
Demonstrated ability to create a collaborative environment by creating a strong network to achieve the desired result

Risk & Control Leader Resume Examples & Samples

Position will play a key role in the development, execution and maintenance of an organizational risk and control framework to promote a strong risk and control culture
Provide direct leadership to team as well as indirect leadership across Finance and organization to achieve optimal risk and control structures
In partnership with other Division risk and control teams, develop a common framework to assess risk, identify and optimize controls to address multiple risks (financial reporting, regulatory and legal, and business and operational risks), evaluate design effectiveness, prioritize areas to implement control enhancements, and develop a monitoring and reporting structure to apprise senior leadership of key matters within the control framework
Lead the Firm's risk assessment, oversight and sub-certification requirements associated with fulfilling the firm's SOX and 17a-5 responsibilities
Assist front-line control owners in the Finance organization to deploy uniform comprehensive risk and control assessment that addresses broad risks in each respective area and to address risks and related controls that span across functional areas
Develop or enhance monitoring tools to evaluate the design and operating effectiveness of key controls (Including the review of key indicators, sample testing or conducting thematic reviews)
Work in collaboration with other division risk and control teams to address organizational control issues identified (internal review/assessment, internal audit, external audit, regulatory examination, or other
Demonstrate a sound holistic and technical understanding of pertinent business areas to effectively assess strength of risk and control assessments performed and challenge control structures as needed
Collaborate with cross-divisional risk and control teams to coordinate governance and control processes
Identify emerging risks, perform risk assessments, evaluate and prioritize areas of focus and risk mitigation plans
Advise on new initiatives and strategies from a risk and control perspective; guide the business areas and ensure that processes are designed with proper controls and advocate timely incorporation of risk management and controls into everyday operations
Identify and lead internal control reviews of higher risk areas and perform deep dive analysis and recommendations to first line control owners
Understand, assess and oversee third party risk associated with key service providers to ensure our control requirements and control environment are aligned and functioning effectively
10+ years of progressive work experience including strong leadership skills and applied knowledge in the following areas

Risk Control Group Manager Resume Examples & Samples

Provide strategic leadership as the IT Risk Control SME for Digital and partner with IT, Business, Operations, Risk and other key stakeholders
Drive Risk Control strategy and resource prioritization to deliver support and services in alignment with department goals and priorities
Demonstrate appropriate risk identification and mitigation strategies resulting in strengthening of the control environment and reduction of risk to Citi
Lead role responsible for ensuring that communications, deliverables and required actions with management, committees, auditors and other internal stakeholders is appropriate in support of Digital IT Risk Control objectives
Ensure that control environment monitoring is consistently performed and potential control gaps are sufficiently addressed to mitigate risk to an acceptable level as part of the Manager’s Control Assessment responsibilities
Drive engagement across Digital with relevant 1st, 2nd and 3rd line of defense partners to ensure appropriate alignment and action on risk-related priorities
Provide appropriate governance, oversight and coordination of internal audit and regulatory examination coverage impacting Digital IT resources. Ensure that audit requests are expedited efficiently with minimal impact to Digital IT resources and ensure that potential issues are validated and communicated to Digital IT stakeholders timely
Work with Digital IT partners and other stakeholders as necessary to develop risk mitigation strategies and plans to address identified control gaps
Provide supervision and direction to Risk Control analysts to ensure that priorities are clear, that execution of Risk Control responsibilities is occurring as planned, and that assistance is provided to address challenges as needed
Drive Risk Control strategy and resource prioritization for targeted risk assessment approach. Lead risk assessment planning, scoping, execution and reporting. Deliver results to Business and Technology Leaders and influence investments in risk mitigation solutions to strengthen the control environment
Generate Risk Control Digital IT reporting as needed to support updates to Risk Control Leadership, Digital IT partners and other key stakeholders
Escalate key issues, risks and concerns to Risk Control Director to ensure appropriate strategic alignment and management communications occur
· Broad knowledge of the interactions of a large and complex IT organization and working knowledge of financial institution products, services and risks
A minimum of 10 years of experience and a proven track record of success and growth in a combination of the areas listed below is required

Manager Risk Control Resume Examples & Samples

Ability to maintain high standards of accuracy and work under pressure to achieve deadlines
Experience in a number of components of the credit life cycle, in at least 2-3 or more product areas and in at least 2 functional areas
Ability to develop strong working relationships with internal and external stakeholders
Strong experience in risk management, collections, finance
Excellent commercial business acumen
Strong analytical, numerical, research and problem solving
Proven technical ability, behavioural management and strategic thinking
Ability to communicate, collaborate, support and coach individuals of multiple disciplines and at various stages of their development journey
Experience working with large teams
Finance experience
Understanding of capital model development and other assessment systems
Ability to create strong links with P&L and the operational business areas

Client Money Risk & Control VP Resume Examples & Samples

Production performing the daily calculations, monthly FCA returns, stakeholder engagement
Production support change management, project delivery, process improvement, new product approval
Experience of dealing with complex regulatory issues
Experience of partnering with external and internal audit
Experience of three lines of defence operating model, specifically in relation to the FCA CASS rules
Proven experience in a CASS environment

ESC NAM Risk & Control Senior Controls Specialist Resume Examples & Samples

Regional representative of the ESC Risk and Control (R&C) team for NAM
Regular interface with the Global Risk and Control (R&C) team and other respective ESC Regional Leads for R&C Programs affecting the Region
Oversee and ensure activities related to key R&C programs for the region including, but not limited to Manager’s Control Assessment (MCA), and Audit and Review are consistent with global risk assessment objectives
Communicate changes in processes and controls in their region that impact risks or tests to the R&C teams and ESC staff
Assist in the identification and assessment of risk and control data to identify trends and potential issues when applicable
5+ years of experience in business/operations and/or risk and control areas
Sound, deep knowledge of risk and control methodology and best practices; preferably an understanding of Citi’s R&C programs (i.e. MCA)

Market Risk Control Traded Credit Products AVP Resume Examples & Samples

Management of risk production processes across all market risk metrics globally
Lead resolution of data quality issues with MRM, business and IT support groups
Provide the risk production governance framework and perform escalations to senior management
Face off to audit and regulators
Drive continual process improvements
Governance and oversight of risk production processes and operational controls run in Bangalore
Define operating standards and control
Support Traded Credit Product (TCP) Market Risk Managers & Analysts in New York
Provide oversight of our Bangalore team, who responsible for delivery of daily / weekly metrics including
Incremental Risk Charge
US Basel III Non-securitization Debt Standardized Charge
Single Name Issuer limits
TCP risk reporting
Support the design & implementation of CCAR Issuer Default Loss calculation
Take ownership of data related issues impacting US Traded Credit Products

CIB Risk & Control Resume Examples & Samples

Manage and monitor the IT Risk posture for the business, providing management with transparency over what these risks are and how they can be addressed
Coordinate all relevant IT Risk activities (e.g., assessment, control testing, monitoring, reporting and remediation activities). Act as a subject matter expert in relation to IT Risk, Control and Security
Develop and maintain strong business and technology relationships, becoming a trusted partner, as well as building relationships with Corporate functions such as Audit, Corporate IT Risk and Global Technology Infrastructure
Participate in or lead programs to improve or remediate the control environment across the CIB
Interpret regulatory requirements and Corporate policies, communicate these clearly alongside current status, and provide oversight of compliance as required. Respond to regulatory enquiries and exams
Build a culture focused on the pro-active awareness and improvement of the risk environment
Strong demonstrated knowledge of IT and application risk and controls management gained as a practitioner
Experience in application security controls (design and/or execution) desired
Experience in financial regulatory, internal and external engagements on technology controls
Knowledge of Software Development Life Cycle stages, control requirements and compliance assessment
Experience in SoX and/or SSAE16 control processes
Development experience preferred but not required
Audit testing experience preferred but not required
12+ years’ experience in technology or IT risk management, preferably for financial institution and/or strong background in IT Risk Advisory
Industry qualification e.g. CISA, CRISC (not required)

O&T Risk Control Head Resume Examples & Samples

In partnership with the O&T Heads drive the control agenda for the organization to help establish best in class controls that protect the firm, and which are standardized, streamlined and simplified across the platform and where we can easily connect the dots and ensure common issues are easily understood and communicated
Provide leadership and direction for Operations & Technology Risk and Control initiatives with GCB across all Regions and businesses
Develop recommendations for risk appetite assumption across the organization
Evaluate risk levels and control performance, identifying inherent risks, evaluating control design and effectiveness, articulation of residual risk
Support O&T leaders in the remediation of control issues, and drive remediation of large, cross-geography issues
Coordinate O&T governance forums as well as represent GCB O&T in enterprise steering committees and forums
Identify and escalate incidents/issues for cross geography impact reviews and common mitigation opportunities
Builds credibility and trust across GCB O&T leadership. Communicates across the senior level of management to ensure understanding of recommended Risk/Control related solutions and validate benefits of implementation
Thought leader in identifying the proper Risk Mitigation controls across all business and through our digitization initiatives
A deep knowledge of current and future operational risk affecting a large Global Bank
A seasoned global risk professional with a longstanding and exceptional career within consumer banking risk management
Well established relationships with the key regulators and controlling bodies within financial services
Experience of innovating data and security risk strategies in line with the development of technology i.e. Fintech
Evidence of operating in a large scale global operational and technological risk function or similar environment
Deep understanding of a global information security, COB, Third Party Management functions
Knowledge of how to lead a world class end to end crisis management function across the global business continuity function
Track record of an above average success rate for the installation of improvement programs and processes for internal and external audits of 200 or more across a complex, global organization
Quality management processes, practices, tools and technologies
Proven track record of leading and executing against large and complex Projects and Programs
Proven track record of attracting, retaining and motivating world-class talent and building teams
Results and delivery focused. Ability to drive multiple programs through to a successful conclusion
Execution focused, evidence of delivering against challenging objectives

Risk & Control Management Resume Examples & Samples

Lead and manage the risk discipline within Centres of Excellence (CoEs) to ensure both Premises and Security risks are identified and managed in line with Barclays risk and control frameworks and business risk appetite
Provide governance and guidance to ensure compliance with Barclays Group and local risk and control Premises and Security policies, standards, frameworks and procedures
Report on the performance in achieving effective management of Premises and Security controls to Barclays Senior Management
To influence the leadership and governance strategy around Premises and Security risk and control processes
Manage key senior stakeholders in areas of business and CRES risk across all Barclays Business Units
Leading and implementing a risk and control mangement capability, liaising with Audit, key global stakeholders and other teams in Risk Management to ensure work efforts are aligned and complementary
Undertake complex analysis of multiple risk and control activities to produce complete and accurate risk profile reporting to senior management. To influence CRES Risk strategy to drive global consistancy and improvements in risk awareness and risk management capability by developing a close and trusted relationship with client groups and key stakeholders
Provide Risk Leadership team in conducting risk assignments in line with Barclays Group standard tools, methods and quality levels ensuring compliance to operational risk framework(s) and emerging new requirements
Maintaining independent perspective, challenging as required and setting out quantified control options and risk decision recommendations
Communicating regularly with leadership and senior resources to help promote understanding and achievement of their risk management objectives, ensuring awareness of responsibilities regarding control of risk
Engages with senior heads of relevant business area and understands the challenges facing their business
Demonstrates a good end to end understanding of the business/CRES processes for the organisation area and relationships
Understands the business strategy and how the success of own delivery impacts on strategy
Manages and develops relationships with key decision-makers and stakeholders to achieve successful outcomes
Ability to say 'no' to the client and still maintain excellent relationships and achieve client satisfaction
Global knowledge of Barclays Group structure and processes
Analyses and documents specific projects' business requirements and describes alternative problem-solving approaches
Experienced in planning, organising, and managing multiple projects, also monitoring and dealing with critical paths and risks areas
Identifies customer/client satisfaction gaps through regular communication and participates in appropriate negotiations
Expert presentational skills and delivery to senior stakeholders to gain strategic change approval
Extensive knowledge of Risk Management tools and techniques
Wide understanding of Banks goals, direction and strategies and how risk in Premises and Security has an impact on the wider organisation
Strong knowledge and experience in the following – audit and Risk & Control
Good knowledge of the Financial Services or Real Estate environment
An awareness of Premises and Security Risk
Good knowledge of partnership risk management approach with 3rd party suppliers including offshore operations
Risk Management/Business degree or equivalent
Audit Qualification

O&T Risk & Control Head Resume Examples & Samples

Monitoring and performing verifications, proofs, reviews, and other independent control functions required in accordance with internal policies, as well as any day-to-day inquiries, correspondence, reconcilement, etc., that are properly part of the audit function
Create and maintain an environment where adequate controls are built into all bank’s processes
Timely communication to Management of any potential control issues
Daily control of the OTRC activity
Managing OTRC staff to ensure daily functions are completed by control clerks; Monthly/Quarterly/Annual proofs and verifications as per global, regional, and Local PPMs
Be involved in development of new control procedures; perform risk analysis of new products at the development stage; constantly review departmental controls to make sure they are adequate in the changing environment; ensure that scope of daily/weekly/monthly/annual OTRC reviews covers newly implemented products and procedural changes; supervise complex investigations; train OTRC staff to be able to deal with changing environment
Be involved in revision of policies/procedures both related to control and to other departments of the bank and advise if any modifications are required
Work closely with people in Operations and Management to make sure they understand control requirements and follow them
Perform follow-up on OTRC reports to ensure that corrective actions are performed timely and adequately, escalate any delays to SCOO and respective Department Head
Manage in-country OTRC team
Additional projects and responsibilities as assigned by Supervisor

Manager, IT Risk & Control Resume Examples & Samples

Post secondary education - undergraduate degree in business or equivalentCPA is an asset, with emphasis on Information Technology
5 – 8 years of experience in Risk and IT controls environment
Deep expertise of IT control frameworks and best practices
Experience with audit processes or previous interaction with internal and external audits
Excellent verbal and written communication skills, with the ability to communicate at all levels of the organization and with external service providers
Excellent problem resolution, influencing and negotiation skills
Demonstrated experience operating both strategically and tactically
Exemplifies IT 2.0 Principles of “Run IT like and Business”, “Do It, Do It Right” and “Own the Outcome”
Exemplifies our Guiding Principles of Integrity, Partnership and High Performance

Hcra-risk & Control Resume Examples & Samples

Partner closely with Global Service Delivery Manager (SDM) and aligned analysts to provide support to all HR Functional areas including talent, diversity, recruiting, L&D and other areas as needed
Provide key analytic insights and recommendations based on identified trends
Think critically about human capital data to help formulate appropriate and unique solutions
Partner with SDM to review processes, develop and implement recommendations for creating efficiencies and enhancing reporting to meet business and client needs
Understand reporting needs of the organization specifically related to HR Functional areas and how they integrate across the various functions
Structure and prepare reporting to help support decision-making efforts of the HR organization
Partner with Human Resources Leaders as well as SDMs and operational analysts to understand key process that impact reports and provide guidance to junior analysts to deliver against the goals of the business
Post Grads Degree or equivalent
7 to 8+ years of experience in extensive project management
HR Reporting or Management Reporting role, including demonstrated experience of managing senior business partner relationship while working across countries/regions/geographies
Ensure extremely high level of control environment in managing sensitive HR data and reporting
Ensure solid process documentation and governances are followed
Ensure satisfactory Risk and Control review against any and all processes performed by the group
Very high degree of demonstrated talent management capabilities
Highly effective communicator, able to interact with senior, global business management
Ability to work independently and take personal initiative
Demonstrable experience of influencing and leading across a matrix organization
Proficient in MS Excel, Access, and MicroStrategy and Business Objects

Anti-money Laundering Team Lead-risk Control Evaluation Unit Resume Examples & Samples

U.S. AML Management Team and other office staff
BMO Financial Group U.S. P&C, WM and CM AMLROs and their teams
Global AML
Corporate Auditors
3 - 5 years of prior experience in an AML Compliance role

Risk & Control Change The Bank Specialist Resume Examples & Samples

Analyse and understand the impact of any new requirements on existing businesses
Define and implement new business processes as a result of the change portfolio
Display leadership and value-add capabilities in delivering effective requirements for the change portfolio
Ensure projects have thorough business cases with measurable benefits and costs
Interface with stakeholders and senior management to confirm project sponsorship and support, align strategies, and report progress, achievements, significant issues and risks
Work with IT to deliver requirements into future state system deliveries
Communicate project status, risks, issues and next steps to Finance, Operations and IT colleagues and stakeholders
Manage and grow staff careers
Forge and maintain relationships with various groups throughout the Firm
Display a knowledge of the trade lifecycle from Front to Back and be able to identify opportunities for change or synergies with other change initiatives
Ability to interact and influence effectively at all levels of the organization
Strong relationship management skills and the ability to manage conflict
Control and Risk focus
Excellent written and verbal communication skills and confidence to lead meetings
Self motivated with a strong sense of ownership and accountability for tasks and people
Detail oriented and ability to adhere to strict timelines
Experience of project management and change management principles

Operation Risk & Control Resume Examples & Samples

Knowledge of Middle Office/Business-facing role
Knowledge of OTC Derivative Products preferred
Understanding of Transaction Reporting regulation rules and requirements preferred
Familiarity with Morgan Stanley Operations systems, processes and frameworks
Proven track record of leading a team in a fast paced, challenging environment
Ability to communicate at senior levels across the Firm
Ability to design and implement creative and flexible solutions to problems
Ability to co-ordinate efforts with IT support to enhance functionality of existing technology platforms
Ability to partner with colleagues across functions and lead effectively across geographical boundaries
Strong Functional knowledge of operations and trade life cycle

Manager, Risk & Control Resume Examples & Samples

7+ years of public and/or internal audit experience, preferably with a background in the Financial Services Insurance industries
Proven operational risk management control experience, preferably in a financial services/insurance organization
Excellent verbal, written communication, and presentation skills
Strong organizational skills and an aptitude for detail

CIB Risk Control Resume Examples & Samples

Coordination and improvements to the Risk Control Self Assessment (RCSA) process across the CIB lines of business
Perform calibration analysis and identify opportunities for standardization across the CIB lines of business
Partner with Corporate O&C to develop reporting and perform analysis for regulatory requirements
Support and partner with BCOs to ensure progress and timely delivery of the RCSA Program
Lead initiatives aimed at driving improvements to ensure coordination with Corporate Operational Risk (COR) and Operational Risk & Oversight (ORO)
Provide support and guidance to Phoenix / FORCE application to BCOs, OCMs and line of business partners
Strong interpersonal skills, exceptional relationship building and influencing skills and ability to effectively partner with all levels of management across numerous teams to help drive the control agenda
Demonstrated superior problem solving and decision-making skills. The candidate must be able to identify issues, seek solutions and gain (near) consensus regarding outcome
Strong oral and written communication and presentation skills
Ability to work independently and understand when to seek advice or guidance from peer or management
Excellent working knowledge of MS Excel, PowerPoint, Microsoft Project and Visio

Risk & Control Lead Resume Examples & Samples

Coordinate with PMO team to ensure documentation completion for new process migration
Liaise with Central governance teams to obtain clarifications on documentation/Citi Internal policies and ensure appropriate approvals are in place and are well documented
Ensure that all documentation is completed and approvals from central governance teams are in place prior to migration
Adherence to periodic internal submissions to governance team
To address Operational deficiencies, to put in corrective action plan for issues identified and share the root cause analysis with the business
Ensuring and build a strong process of capturing and tracking control exceptions and share the trend analysis
Ensure compliances to SEZ and DOT regulations
Work closely with the migration team to ensure all migrations related documents are in place prior to go live
Ensure Cross border approvals are in place and as applicable
Review and support the Clients to complete the standard documentation requirements
Ensure that all annexures are filled in with relevant information
Inputs to BRCC and review of ageing items/new inclusions
Support business for performing self- assessments on time
Updates on Operational loss along with implement process changes and additional controls to avoid re-occurrence
Governance – interaction with Site leadership team including corporate/technology functions to discuss issues/BAU status and review on Citi Policy adherence
Ensure Audit readiness and client ‘ compliance requirements
Regular stakeholder meetings with Customers and Central team
A minimum of 8-10 years direct experience in an operations units. Must have experience/knowledge across most of the banking products and operations activities related to the transactions
Should have handled a Risk and Control function for a minimum of 2-3 years
Exposure to handle both internal and external auditors
Highly Proficient in using Microsoft Office (Word, Excel, PowerPoint, and Outlook)
Enthusiastic team player, willing to work with colleagues towards a common goal; self-starter with the ability to take decisive action
Good at documentation and preparing presentations

Risk Control Prf Resume Examples & Samples

At least 2 years of experience working with SOX, Controls Audits, or similar points of focus
Bachelor’s Degree or equivalent experience from which knowledge and skillsets can be acquired
Ability to operate as a self-motivated, pro-active, and result-driven problem solver with excellent analytical and communication skills
Solid understanding of risk and controls framework to support key analysis in support of SOX and/or risk assessment activities
Experience developing management reports – providing summary analysis and data trends
Experience in IT governance and controls, including governance frameworks, COBIT/Val-IT, ITGI, etc
Knowledge of industry standards such as ISO17799, SOX, and SSAE 16
Working towards professional certification such as CISA, (Certified Information Systems Auditor), PMP, ITIL

AVP, Risk & Control Resume Examples & Samples

Conduct kickoff of the Regulatory Remediation Workflow with stakeholders following federal regulatory examination fieldwork conclusion
Coordinate activities between Business Unit / Functions and other key players (Assurance, Audit, etc.) to address a regulatory issues and criticisms
Convene regular touch base update meetings with Business Unit / Function to ensure remediation remains on track for timely completion and report progress to management and the Regulatory Remediation Committee
Assist RMO Internal Control lead to review and challenge root cause of failed or missing controls as identified by Business Unit / Function
Assist RMO Internal Control lead to provide credible challenge throughout the remediation process
Assist RMO Internal Control lead to collaborate with the issue owner on BAU monitoring to demonstrate sustainability
Develop consistent and meaningful management information reporting and analytics that enables holistic view and understanding of the overall control environment
Assist in efforts to drive required culture and behavior changes across all three lines of defense—top-down and bottom-up approach
Executes set priorities and makes day-to-day decisions with some independence
Escalates matters to senior management as appropriate
Some background in operational risk management and deep internal control understanding, continuous quality improvement organizations, or equivalent
Exposure to an operations and a control environment, such as audit or compliance or operational areas
Strong interpersonal and diplomatic skills
Minimum of three years proven audit, compliance, financial services operations and/or regulatory experience, or equivalent
Developed communications, negotiation, analytical, organizational, project management, and strategic and/or operational planning skills
Minimum of a Bachelor’s degree in business, related field or equivalent experience
Proactive and independent
Proficiency with personal computers and software packages including Microsoft Excel, Word, and PowerPoint

Risk Control Internship Resume Examples & Samples

Assist with research and development of draft loss control support resources
Apply loss control problem solving by participating in: risk assessments, system analysis, recommending solutions, and performance measures related to customer service requests
Assist field consultants with preparation work prior to job shadow field visits
Participate on job shadow loss control visits to customer locations
Ability to work independently on projects with limited supervision
Ability to work full-time for a minimum of 10-12 weeks (June-August)

Inroads Risk Control Internship Resume Examples & Samples

Satisfactory completion of Liberty's Loss Control Role Orientation training module
Working towards a bachelors degree in occupational safety, fire safety, engineering, or a related field
Strong written, oral, and interpersonal skills
Minimum 3.0 cumulative GPA; additional requirements may apply

Central Risk & Control, VP Resume Examples & Samples

Manage process to share best practices related to risk and controls and remediation work done to complete closure of issues
Help to develop the process for root cause analysis including documentation of root cause analysis, process to execute root cause analysis and the reporting of the analysis
Bachelor’s degree in Business, Finance desirable
Demonstrated ability to manage workloads and prioritize deliverables, ability to be flexible
Past experience as a regulator in the risk management discipline a plus
Strong PowerPoint and excel skills, ability to use Open Pages and reporting tools

Hrss Risk & Control Region Head-latam & Mexico Resume Examples & Samples

Through the use of impeccable English grammar and syntax, review and coach HRSS R&C team members in Incident Reports and Control Action Plans, which must have a clearly identified root cause, a well-articulated issue, and concise, specific and clear milestones for resolution
Ensure any action plans closed by Risk & Control are supported by testing, with documentation of the actions taken to demonstrate progress towards their proper resolution
Participate on Global HR Risk & Control meetings, LATAM HRSS SLT Meetings, Local Citi Service Center SLT meeting, among others. Must fluently present and engage in technical discussions in English
As part of the HRSS R&C team, maintain timely relevant communications with key partners as Internal Audit and Human Resources, through fluent written and oral English
Build and maintain productive relationships with all HRSS & HR managers in LATAM and Mexico, the US and other regions
Be a trusted and accessible partner, in particular to the HRSS LATAM SLT peers, HRSS Americas Head and the HRSS Risk & Control Global team

Central Risk & Control, Director Resume Examples & Samples

Build consolidated governance meetings across 1st line and including 2nd line of defense
Manage central calendar for delivery across all 9 modules for execution of work annually- maintain the calendar with regular production and publication in governance meetings and to 1st and 2nd lines of defense
Build consistent mapping of deliverables for 1st line of defense to enable regular tracking and reporting
Development and production of monthly status scorecards that provide all levels of staff including executive management a consolidated view of the tracking and progress for remediation work
Bachelor’s degree in Business, Finance; Master’s degree desirable
10+ years’ experience in financial industry risk or controls or compliance or audit functions
Capability to manage a team, and influence functions outside of the team
Able to build relationships with people at all levels
Ability to take initiative and execute ideas
Strong PowerPoint and Excel skills, ability to use Open Pages and reporting tools
Ability to promote cooperation and good working relationships among team members
Ability to conduct and participate in meeting with all levels of staffing

Risk-liquidity Risk Control Resume Examples & Samples

Establishing a formalized and proactive risk identification process, ensuring all main risks are captured in infrastructure, stressed appropriately, and reported to external and internal stakeholders
Market risk oversight for DB’s activities in Banking Book, providing a comprehensive and independent view of market risks to Senior Management
Ensure local regulatory requirements in APAC for banking book risk management are included in scope of global projects and solutions implemented
Assist to establish a formalized and proactive liquidity risk identification process to ensure LRC is well versed in internal and external factors impacting liquidity risk, thereby enabling LRC to serve as an effective challenge function to Treasury
Perform trend analysis and reporting on emerging liquidity risks to appropriate governing bodies
Support for dealing with internal and external audit requests
Review of new products in the business area (NPA) as well as single deal transaction approval
The role will involve liaison with business and other Risk and Infrastructure areas. The role involves a constant exploration of risk management issues within the business functions allocated and leading projects
The position requires the successful applicant to be able to work independently without micro-management and deliver results in a timely manner

Risk, Control, Monitor Resume Examples & Samples

Support the development and management of all risks, controls, standard testing, and monitoring associated with TPO; including Risk Treatment Plan delivery, maintenance of risks in SAP-CLM, and alignment of other RCM risks areas {e.g. GxP, Privacy, Security, etc.} with the RCM TPO risk category
Establishes partnerships and working groups among Business Stakeholders, GRC LT, SMEs, Compliance, Legal & Technology teams to create synergies. Facilitates working sessions and assists with issues and risks as they arise
Own and maintain the IT TPM SOP including all activities associated with the update of other associated Master Activity documents (e.g. Assess Supplier Package, IPA, etc.)
Leads the development of, and continuous enhancement of key framework components, including due diligence, issues management and acceptance, and termination processes
Support the delivery of a comprehensive inventory of TPS; including the development of risk profile metadata for risk ranking of suppliers and the ownership and delivery of the IT TPO Demand Plan
Assists with the definition of a reporting and analytics program; providing high quality risk reporting and insights to senior management and other key stakeholders
Institute an effective governance model to provide ongoing monitoring and oversight to optimize the efficiency and effectiveness of Third Party Management functions
Support the design & build of an IT TPO Framework
Responsible for ensuring TPO controls are in place and in use
Support BU IT MM and all centralized IBM monitoring
Support and enable the overall reduction in risk associated with Third Party engagements
Support the delivery of all TPO Due Diligence activities from a GRC perspective
Project or supplier initial assessments,
All security/privacy/controls assessments
Contract “redlining” and/or negotiations
“Red Flag” deposition {e.g. CAPAs or RMS Risk or exceptions}
Own and support all TPS Assurance Review activity based on demand plan analysis working with GRC BU IT teams through matrixed delivery; including development and support of a GRC Assurance repository

M&I AML Risk & Control Senior Expert Resume Examples & Samples

Provide support and expertise for controls processes utilized in EMEA AML M&I and FIU
Coordinate issue management with respective stakeholders, business function heads and internal committees
Support coordination of Manager Control Assessment for key functions in EMEA M&I AML
Coordinate regulatory review management in EMEA M&I AML and FIU
Identify and assessing risks in processes through deep dive analysis and brainstorming sessions
Build relationships with Business to promote Risk and Control awareness
Support business with any issues related to risk and control concerns
Interpret and implement policies and procedures, taking into consideration business and regulatory requirements
Conduct review of issues and results identified during audit examinations and self-assessment reviews
Coordinate proper and on time communication and reporting with Global Risk and Control and EMEA AML functions
Work with Global functions to assure processes standardization within EMEA region and country Hubs
Provide supervisory control oversight Country M&Is as per agreements and local regulations
Support EMEA AML M&I Risk and Control Head in daily activities

AML / BSA Ops Risk & Control Mgr Resume Examples & Samples

A professional certification in AML risk management is highly desired
12 years progressive work related experience with demonstrated proficiency and understanding of AML risk
7-10 years supervisory or management level experience
Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance
Demonstrated advanced knowledge of Wholesale products and services
Strong communication skills, both verbally and written
Ability to perform multiple tasks in a fluid environment, and to work both independently and as a team member
Demonstrated ability to access and analyze actual and emerging risks within highly complex Functions/LOB’s
Consulting experience at a corporate level Experience in the financial services industry; Project management skills, Strong writing and verbal skills, Ability to work within a matrix organization

Gida Risk & Control Regional Team Lead Resume Examples & Samples

Provide regional R&C management and program execution based on risk/control requirements for processes across all of GIDA teams
Execute CSS GIDA CoB program objectives and ensure annual milestones for Citi CoB calendar are met timely
Work closely with GIDA Service Delivery Operations (SDO) and Global Process Owner (GPO) teams advising them how to build effective and realistic Business Recovery Plans (BRPs)
Organize R&C related training sessions and informational events for CSS GIDA
Ensure a constant state of audit readiness with GIDA Managers and Risk and Control team involved with internal/external audit reviews for GIDA and Citi organizations, to facilitate audit deliverable requests, site visits, and responses to audit issues
Promote knowledge of Citi Information Security policies
Support content and design updates to the GIDA Risk and Control SharePoint
Coordination of risk reporting input to senior management presentations
Execute on continuous improvement/remediation efforts of existing processes and procedures
Serve as a Risk and Control partner to GIDA Site Heads and SDOs for site-specific issues and to meet GIDA business objectives
Represent CSS GIDA in regional or global R&C forums
Author and deliver responses to GIDA R&C related queries from Citi businesses
Manage a team, develop talent and foster coaching/growth opportunities
Minimum 7+ plus years of Control, Risk, Compliance or Operational Risk experiences in a medium or large, Multi-national Corporation or an entity with similar global reach and complexity
Industry certifications (IS, CoB) will be in plus
Understanding of Citi or similar large financial institutions and global operational process standards
Ability to break down communication barriers and influence peers/partners to take action necessary to make decisions and achieve goals
Excellent team player with experience in building and managing relationships across geographies and functions
Proven ability to prioritize business objectives for him/herself and team
Proven problem solver, self-motivated, results-oriented, and ability to multitask in a fast moving environment with different functional areas to get the job done
Strong ability to work independently, handle short timelines, manage conflicting priorities and execute efficiently and effectively
High level of attention to detail with a commitment to quality
Takes ownership of his/her work
Experience working with external regulators or auditors preferred
Previous experience in similar role is preferred

100

Central Risk & Control, Assistant VP Resume Examples & Samples

Accountable to help develop documents, meetings and reporting to stand up the risk and controls function and to maintain regular frequency reporting
Bachelor’s degree in Business, Finance helpful
Broad view of the financial services industry
Past experience in operational risk, compliance, audit or controls
Understanding of operational risk management programs and practices helpful
Strong organizational skills and capability to pay attention to details
Good PowerPoint and excel skills, ability to use Open pages and reporting tools
Ability to analyze trends
2-5 years’ experience in financial industry risk or controls or compliance or audit functions
Familiarity with operational risk regulatory requirements and industry practices a plus

101

Cbna-o&t-country Enterprise Risk & Control Head Resume Examples & Samples

Perform oversight of *Enterprise-wide Risk and Control Functions comprising Country Information Security, Country COB, Country Outsourcing, and Country Record Management as defined in the AsPac ERC model
Stay abreast of risks and issues that relate to the country enterprise-wide risk and control functions and country O&T
Risk identification, analysis, and management (including risk domain coverage of the 16 Global O&T Risk Management (OTRM) Risk Domains (also known as Risk Management Responsibilities) 1
Standards and procedures coordination
New product and business practice reviews
Manager’s Control Assessment (MCA) coordination
Issue and Corrective Action Plan (CAP) coordination
Audits, franchise reviews and regulatory examination coordination
Staying informed of industry risks and trends and correspondingly assessing and adjusting controls within the scope of the ERC function
Minimum fifteen years in the Financial Services industry
Good understanding of Information Security, COB, Outsourcing, and Records Management, and expertise in Consumer Operations, Technology Risk Management, ICG Operations, and Proofing and Reconciliation
Ability to assert and influence and clearly articulate risks and issues
Ability to build rapport and work closely with key country and regional stakeholders and partners within and outside the country Consumer business

102

Risk, Control & Performance Manager Resume Examples & Samples

Regular liaison with Internal and External Audit in respect of issues management and audits planned or conducted
Working with the Performance Manager to assess PBB financial performance
Spotting issues, and providing challenge to make sure mitigating action plans are in place

103

BU Risk & Control, Director Resume Examples & Samples

This position will be responsible for leading multiple key and high impact efforts related to logical security. This will include
Experience managing projects and staff
Experience in Information Technology General Controls in particular a significant experience in Logical Security Access Management control environments
Analytical thinker with the ability to multi-task and prioritize; attention to detail, planning and follow-up
Strong track record of execution, overcoming hurdles and driving results

104

Gfs-VP-risk & Control Resume Examples & Samples

Leading and driving the GFS India’s Risk Management Plans
Providing strong oversight and challenge to the functional teams
Maintaining the functional risk profile and managing the Risk Appetite of the business
Working with the business to define and monitor Key Risk Indicators and ensuring compliance with Operational Risk and Sarbanes Oxley policies
Monitoring of changes in the Policy Framework and assessment of their implications for the business
Maintaining the existing high profile of the Risk Framework across GFS India, supporting appropriate communication and training programmes
Ad hoc investigation and reporting in response to emerging risks and issues and/ or developments in Policy
Stakeholder Management -Manage business expectations of the leads of of Financial Reporting, Treasury, SALCOE & Payables, RWA & Regulatory Reporting; 2nd LOD, Internal and External Auditors
Supporting development and delivery of training material (as required) to support continued awareness of Policy Framework / SOX / Accounting Model developments across GFS India
Working with the business in supporting Transition and Change activities and executing the Change Risk Assessment methodology
Provide effective leadership and management for the team
Mentor, coach and develop direct reports
Ensure performance of the extended team is managed effectively
Ensure attrition rates remain in line or below the GFS India target for the unit
Manage employee engagement initiatives including reward and recognition activities for the team
Lead training needs analysis review for the team and ensure relevant learning solutions are put in place
Ensure the team is fully resourced with the relevant skill set and experience
Professional Accounting Qualification (CA / CPA / CIMA) with between 10-12 years post-qualifying experience
Previous experience of having lead audit / Internal control / Operational Risk teams
Internal audit / statutory audit experience or SOX 404 implementation experience in any financial services sector
Good Knowledge on IFRS standards and Regulatory Policies as applicable
Working knowledge on implementing strong internal controls within finance processes
Should have involved in preparation and finalization of financials of a company
Implementation of COSO – Risk Management Framework and its principles

105

Cib-ops Risk & Control Resume Examples & Samples

Support the WHEM Regulatory Controls team towards the delivery of an extensive global and regional agenda aimed at improving the regulatory reporting control environment of the CIB
Execute and deliver metrics and in some cases design management dashboards to support the WHEM Regulatory Controls Governance Forums
Execute large data driven initiatives and investigations (e.g. data issues, feeds issues etc.)
Source risk event and action plan data from the firm’s central operational risk system, FORCE, and support the creation of associated metrics and dashboards
Support jurisdictional oversight and governance (e.g. CFTC)
Partnership with key stakeholders including LOB contacts, Technology and Global Controls teams
Work with the Technology teams to review, identify and agree data controls
Support report onboarding and maintenance of the reporting inventory system, RADAR
Support regulatory reporting risk assessment cycles across the CIB
Work in partnership with the GRR&C teams to implement consistent, effective Operating Model, Control Framework and Governance to aid lines of businesses across the globe in meeting key obligations
Experience of working in a control environment , specific to regulatory reporting controls a plus
Able to operate globally across regions, businesses and functions with demonstrable strong partnership skills to drive delivery
Training in the firm’s operational risk management system FORCE, or willingness to complete training within 30 days of hire
Team player with ability to build & maintain productive working relationships with colleagues globally at all levels and across functions in order to achieve results
Able to demonstrate product knowledge and understanding of trade lifecycles from risk management platforms through to reporting functions
Background in corporate investment banking and/or markets operations and/or technology
Ability to prioritize and communicate to management and other key stakeholders regarding issues, resolution plans and expectations

106

O&T Risk & Control Resume Examples & Samples

Requires a Bachelor’s degree in Computer Engineering, Electronics Engineering or a related field and 10 years of experience as an IT Business Analyst or related position involving the implementation or analysis of compliance technology solutions for the financial industry. Will also accept a Diploma or professional certificate in the stated fields and 12 years of experience in the stated positions
Gathering and documenting business and functional requirements for information security, data privacy, bank secrecy, continuity of business, compliance and risk management technology products using UML, Visio, BPA and BPM
Leveraging knowledge of SDLC, Agile methodologies, ITIL, COBIT, and ISO to release technology products
Exposure to Banking Secrecy/Data Privacy, Regulatory, Risk Management and Compliance functions within the financial industry
Leveraging advanced knowledge of VBA, Access, and Excel to perform data analysis of large data sets

107

O&T Risk & Control Resume Examples & Samples

Review Business and Functional Requirements and develop Business Scenarios, Test Cases, and UAT Handbook to be used by business participants
Collaborate with Project and Product Teams and complete project tasks as per test schedules
Follow Change Control and Quality Assurance processes during planning and execution phases to deliver and maintain high level services through adherence to the SDLC, QA and PMO governance guidelines
Identify testing dependencies among integrated/concurrent projects and work to resolve any challenges
Conduct daily checkpoint meetings with UAT participants during execution
Review and respond to all user feedback with speed and accuracy to ensure all items are addressed on a daily basis during test execution
Communicate categorization of feedback and set expectations appropriately
Contribute to enhancing procedures to achieve excellent testing success rate
Identify risks to the release by carefully evaluating scope and its complexity, and mitigate by partnering with Development and Product teams
Play an active role in influencing the timelines for releases by providing accurate UAT estimates
Deep-dive into complex issues with development teams to ensure quick turnaround time of UAT defects
Report metrics to be shared with both management and UAT testers
This role requires the ability to understand and monitor every issue, as well as understand the detailed processes being followed by the businesses
Assist with defining production checkout tasks
Related certifications (CISSP, CISA or similar) are a plus
Specific subject matter expertise regarding testing of business/compliance applications
7+ years of experience in a testing related role with IT knowledge
Experience with Citi internal applications, with strong knowledge of the company’s Issue & Correct Action Plan system highly desirable
Proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timetables
A self-aware, self-confident individual who has well developed listening skills, and a strong ability to engage a group of accomplished business leads
This individual must be an articulate and effective communicator, both orally and in writing
Strong interpersonal skills for interfacing with all levels of internal teams and external business leads

108

Markets Risk & Control Resume Examples & Samples

Liaising with the Business Managers (COO), Controls Partners and other across various functions
Design and produce MIS reports to track and report various Control Objectives and Programs
Reviews and provides input into the control metric monitoring process, ensuring that appropriate
Internal controls are followed for all processes underpinning the management of Risk
Continually seeks to enhance and standardize the control framework, providing oversight and Ownership of escalated exceptions
Ensure that internal audit points are cleared within the time commitments provided to Internal Audit and report and escalate any potential past due issues
Coordinates relevant regulator requests, ensures adherence to internal policies and to coordinate closely with COO, FO risk & control, audit, technology groups and other operations groups to assist in meeting Control objectives
Maintain an environment of continuous improvement through the implementation of robust review and feedback mechanisms and monitoring of the regulatory landscape to help business meet their commitments
Acts as point of Contract for escalation between Front Office and various Control Partners
Develop and foster relationships across Business and other major stakeholder groups
Implement tactical and strategic solutions wherever need to streamline the risk and control process across Markets
2 years equities/derivatives experience either with a Supervisory Group, control function, or Compliance
2 years of experience in a global financial services institution
Relevant experience in similar function in the FO space
Previous exposure to senior level decision-makers and stakeholders
Knowledge of, and experience in investment banking
Excellent Stakeholder Management skills
Excellent communication skills, fluent in English (written/verbal)
Excellent Technical skills
Able to work in fast paced environment
Able to keep pace with technical innovation and market driven initiatives

109

Risk & Control Unit Head Resume Examples & Samples

Degree in Accounting and Finance are advantage
At least 5 years of working experience, preferable related to Risk and Control
Energetic able to work under pressure, changes and stretched target
Good interpersonal skills, good team player
Good command of English and computer literacy

110

Senior Manager, Risk Control Self Assessments Resume Examples & Samples

Provide Governance, oversight to the operating model of 1B Line of Defence as it relates to the RCSA, BEICF and Scenario Analysis programs
Provide effective governance and oversight ensuring timely completion of annual RCSA Plan, quarterly BEICF reports, and annual Scenario Analysis
Ensure the RCSA’s are carried out effectively in order to identify operational risks and controls for key processes, relevant units and entities
Provide subject matter expertise, training and guidance to ensure adoption of policies, process and procedures by all 1B Units
Design and implement effective and standard processes and procedures for managing assigned programs
Ensure local procedures created to meet regulatory requirements meet the minimum enterprise methodology requirements
Play an active role in the quality assurance of the implementation and use of the operations risk tools
Maintain ongoing communication with units in order to support the proactive identification, assessment and management of operational risks
Provide effective support to 1B Units over the assessment and management of the RCSA program and effective analysis of resulting action plans ensuring plans are achievable and attainable
Promote a risk-aware culture; ensure efficient and effective risk and compliance management practices by adhering to required local and global standards and processes
Provide effective and timely identification, measurement, assessment, and reporting of operational risk by country, region and lines of business
Analyse issues identified through the assigned programs and determine significant risks and trends, by country, entity, and/or process
Develop reports based on qualitative and quantitate information obtained from RCSA, BEICF’s and other supporting internal and external material
Escalate potential issues and exception items identified during the review process to senior management
Produce accurate executive management reports and metrics based on sound analytics derived from the execution of assigned programs across IB
Maintain solid working relationship with Control and Support functions as well as key stakeholders and business units
Coordinate facilitated working sessions and lead discussions as a subject matter expert demonstrating knowledge, expertise and proficiency in order to complete RCSA’s on a timely and effective manner
Negotiate and influence key stakeholders and RCSA participants in order to resolve issues or reach consensus, or resolve difference of opinions
Strong knowledge of Operational Risk, Risk Control Assessments, and measuring effectiveness of controls
Strong logical thinking and analytical skills with an ability to understand an identify potential risks associated with lack of effective controls and/or lack of risk awareness across the banks’ key processes and units
Excellent interpersonal and communication skills (verbal and written) with the ability to influence, propose solutions, and strategically deliver messages to various stakeholders in a professional manner
Results oriented with a focus on achieving objectives and goals
Flexible and adaptable with the ability to prioritize, organize and deliver on key initiatives, objectives, and manage multiple projects simultaneously in order to meet tight deadlines
Ability to work on own initiative, setting own priorities and working to defined deadlines
Experience with working across different geographies, cultures, and organizational structures and proven ability to adapt to change management
Strong organizational, process design and project management skills with high attention to detail
Proficiency with MS Word, PowerPoint, Excel, Access, and SharePoint (Visio proficiency a plus)
Bilingual Spanish and English

111

VP of Liquidity Risk & Control Resume Examples & Samples

5+ years of Financial Statement Analysis experience
Understanding of Bank Assets and on and Off Balance Sheet liabilities
Detailed understanding of Balance Sheet Analysis and Capital Markets
MBA
Previous experience in the Financial Services sector

112

Risk Control Framework Resume Examples & Samples

Developing and maintaining the CTU Framework and Procedures
Developing and executing risk-based reviews to test key risk management controls
Preparing a report for each CTU Review to summarize the results of control testing and any recommendations for improvement
Liaising with other testing units outside of the RISQ department and providing second line of defense control oversight of their findings
Preparing quarterly reports to the RISQ COO and CRO summarizing the results of the individual CTU Reviews, other testing units’ reviews, and Permanent Supervision
Following up on significant recommendations from prior CTU Reviews; and,
Management of transversal projects linked to the control framework within RISQ
Excellent oral and written communication skills to effectively interact with all levels of management
Ability to communicate well across all levels of an organization
Proficient in MS Word, PowerPoint, and Excel
At least 5 years of control function, risk management or relevant regulatory experience in financial services
Experience with banking and market products, risk methodologies, practices and procedures
Testing/monitoring or audit experience desired
BS/MS in Finance or other relevant field

113

NAM Business Risk & Control Head Resume Examples & Samples

Strategic Leadership to identify and manage risks inherent in CPB’s private banking business
Leading and directing strategic initiatives with the purpose of managing client and operational risk while designing efficient processes
Responsibility for CPB NAM’s policies and procedures and ensuring policies and procedures sufficiently identify and mitigate business risk
NAM-wide audit management
Regulatory exam management, including periodic engagement directly with regulators
Responsibility for CPB NAM’s Corrective Action Plans (CAPs) and Issues Being Addressed By Management (IBAM) rates
Oversight and management of CPB NAM’s Manager Control Assessment (MCA)/self-testing and risk management processes
Proactive engagement with control functions to manage and efficiently deliver policy change initiatives
Responsibility for CPB’s vendor management processes
Responsibility for CPB’s KYC practices and client onboarding/management standards
10-15 years of Business Risk, Compliance, or related experience
Knowledge of CPB policies and how they relate to business processes
Superior communication, interpersonal, and organizational skills
People and project management experience
Ability to quickly adapt to change

114

Risk & Control Resume Examples & Samples

30% - Leadership
Assist with the planning, designing and implementation of an overall risk management process for the organization
Assist with defining the target operating model for the control framework and leading the programme of work to its implementation and execution
Responsible for engagement with regulators and auditors on behalf of the business and primary contact point and gatekeeper for all internal risk and control stakeholders
Represent Barclays Corporate in the US in local and global forums associated with risk and control activities
To act as additional escalation source of business process issues to the COO and head of the business, whilst retraining primary responsibility for the strategic direction and management of the control and risk oversight function
30% - Governance
Work with the business to identify, track and mitigate risks arising from BAU activities
Provide oversight of Compliance, Regulatory, Fraud, IRM and ORM policies
Responsible for Assurance Testing program across all business areas within Barclays Corporate
Ensure robust control environment within all business areas through performance of business reviews and risk control assessments to include ownership of any associated remediation plans
Oversight and investigation of Risk Events and Refunds
Provide oversight and assurance testing of policies and procedures including
4+ year experience and track record working with risk based stakeholders such as Compliance, Financial Crime, Audit etc
4+ years of demonstrated experience in a similar role
4+ years of experience demonstrating strong oral and written skills (comfortable presenting at a very senior level)
Experience facing off with external regulators or organizations of authority such as external auditors
Experience designing controls and/or writing procedures

115

Risk & Control Self Assessment Lead Resume Examples & Samples

Collaborate with CCB RCSA Support team and CCB peer Controls/RCSA team partners to drive strategic RCSA initiatives for Operations
Partner with CCB Central Controls teams and business partners to develop and drive implementation of RCSA program strategies
Execute on the overall strategy for structuring RCSA’s across both a horizontal function and associate Lines of Business
Facilitate executive risk reviews and risk and control deep dives with line of business leaders as applicable to drive open discussion of issues and control gaps
Provide oversight of and participate in development of new process maps or updates/annual recertification’s to support periodic confirmation of adequacy of scope and content of business Risk and Control Self-Assessments
Provide RCSA Procedures and FORCE system subject matter expertise as advisor to the Controls team regarding business risk issues and recommend solutions
Identify opportunities for greater consistency across RCSA’s, ensuring appropriate use of risks and controls across the organization and identifying opportunities for simplification
Support RCSA lifecycle activities including inherent and residual risk reviews
Develop positive working relationships with Controls team members (FCOs) and business partners to maintain an open environment for collaboration, risk identification, and issue solving/resolution
Provide ongoing recommendations for improvements by incorporating emerging, key business risks
Partner with colleagues across Operations to help drive a culture of risk awareness and proactive risk identification and assessment
Lead, or participate in, other Control and partner initiatives as assigned
Candidate must be an effective communicator possessing both strong written and verbal communication skills
Bachelor’s degree or professional certification preferred
8+ years in the financial services industry required
Strong knowledge/background internal control principles, operational risk management, audit, compliance, or operations preferred
Preference given to individuals with demonstrated experience in risk and control self-assessment, including risk and control testing, process mapping, and data analysis skills
Excellent organizational, project management, and multi-tasking skills
Demonstrated ability to manage expectations, achieve deadlines and deliver quality results
Expertise with the FORCE Operational Risk Management system preferred
Knowledge of Consumer Operations functions and related business processes desired

116

Global Documentary Services Risk & Control Team Lead Resume Examples & Samples

Assist in the execution of an internal control discipline and operational excellence within Global Documentary Services (GDS). Ensure assigned locations, business units, or proposed products and processes for GDS are in compliance with various laws and regulations
Coordinate the implementation of QA/QC processes within GDS through ongoing monitoring and testing of controls. Identify issues and/or control improvements for remediation, while assisting in building out action plans/milestones and monitoring the progress of remediation
Determine how new and pending laws/regulations impact the affected business line and works to develop the appropriate controls within the operations to ensure compliance
Perform periodic reviews to assess level of regulatory compliance and provide leadership/support for any audits, exams or reviews in GDS
Engage in a variety of compliance projects and initiatives regarding risk mitigation and strengthening controls for GDS
Provide analytical support, synthesizing large amounts of data and summarizing the salient points for effective communication to senior management
Act as a model in promoting a risk culture across GDS and engage with key business partners across the enterprise
Eight to ten eight years of experience in regulatory compliance activities
Five to seven years of banking operations experience, preferably in trade finance
Ability to make sound risk/reward decisions
Capable of consciously balancing data, logic and reasoning in all activities
Self-starter who takes ownership and can prioritize and manage initiatives independently
Excellent verbal and written communication skills and able to manage conflict
Ability to research and manage multiple projects and deadlines simultaneously
Strong presentation skills, comfortable in raising an opposing perspective
Skilled in interacting with various business partners and leaders with strong influencing skills
Highly organized, detailed oriented and able to prioritize work and follow through

117

Credit & Portfolio Risk Mgr Risk & Control Oversight Resume Examples & Samples

Working knowledge of corporate structures and general business practices for credit cards
Working knowledge of risk management including knowledge of audit, policy and regulatory control structures
Ability to develop productive working relationships with business and technical groups; ability to influence stakeholders
Strong oral and written communications skills; ability to influence a broad range of stakeholders including senior management
Intermediate to advanced knowledge of MS Office software products
5 years experience in regulatory compliance, audit, control environment
Collections experience
Strong working knowledge of Banking regulation and OCC guidance
Strong communication skills and ability to multi-task
Analyzes processes and identifies inherit risks based upon information provided
Acts as a consultant to the business regarding process / risks / controls
Prepares documentation, conducts designated control assessments
Manage key relationships with both internal and external key stake holders with the ability to influence at all levels of the organization
Develops corrective action recommendations
Drives corrective actions related to control breaks identified
5 years experience in regulatory compliance environment and/or 10 years experience within the respective business line or function preferred

118

Wealth Management Risk & Control VP Resume Examples & Samples

Monitoring, assessment and testing of control activities performed by functional teams through a Risk and Control Self-Assessment (RCSA) discipline
Participation in periodic internal audits, compliance exams, and external regulatory reviews through the entire exam life-cycle
Testing and QA of RCSA controls
Remediation of risk issues, audit findings, processing inefficiencies, etc
Definition, publication, and testing of internal policies impacting the risk and control framework
Fostering risk management skills through training and development of colleagues, both in the risk and control organization and the functional processing teams
Adhoc leadership of project teams
Strong analytical skills, including root cause analysis

119

Manager, Risk Control Resume Examples & Samples

Assesses and evaluates internal control environment; develops creative, practical solutions to address identified risks
Oversees and reviews Daily Position Report (DPR) for Trading and Affiliate Books
Manages Sequent curve maintenance process and validation of forward curves
Compiles, summarizes, and analyzes ad hoc data requests for internal and management reports; reviews and explains P/L shifts and position changes
BA/BS in Accounting, Business
5-9 years of experience in risk control in an energy trading environment
3 to 5 years of management experience
Energy accounting experience
Accrual and mark-to-market accounting fundamentals, value at risk calculations, statistics
Interact effectively with all levels in the organization

120

Rohq-gida-in-country Ops Risk & Control Lead Resume Examples & Samples

Conduct GIDA process reviews and enforce risk & control requirements
Execute on continuous improvement/optimization efforts of existing processes and procedures
Maintain relationships with CoB stakeholders within GIDA and manage execution of CoB annual CoB requirements with operational teams
Work closely with GIDA Service Delivery Operations (SDO) and Global Process Owner (GPO) teams to ensure proper oversight and governance of GIDA in-country operations and satellites
Facilitate R&C relation training sessions as needed
Ensure audit readiness for internal/external audit reviews, facilitating audit deliverable requests, site visits, and responses to audit issues
Promote knowledge of Citi IS and CoB policies
Support regional R&C initiatives and represent GIDA in regional forums
Serve as a Risk & Control partner to GIDA Site Head
Bachelor’s Degree or equivalent in experience
Experience related to managing information security controls within a financial services organization
Industry certifications (CISSP, CISM, CISA, CoB) will be in plus
Good understanding of Citi and global policies and standards
Ability to break down communication barriers and influence peers / partners to take action necessary to make decisions and achieve goals
Ability to analyze data, decipher items relevant to the organization, and determine corresponding risk
Strong affinity to manage Control practices demonstrating a pragmatic risk-based approach
Strong, Excel, PowerPoint, and SharePoint skills
Strong ability to work independently, handle short timelines, manage conflicting priorities and execute effectively
High level of ownership of his/her work with attention to detail and commitment to quality

121

Markets Risk & Control Resume Examples & Samples

Understanding and implementing the front office supervision and controls arrangements using the firm’s tools
Helping to drive control initiatives globally to ensure the business is effectively managing all of its operational and conduct risks
Understanding and helping access root cause and mitigating controls for operational losses and errors and developing and improving routines to capture control metrics for reporting Key Risk Indicators (KRIs) and developing the Risk and Control Self Assessments of the business
Performing deep-dives into producer activities and the economics and risks of products to indentify control weaknesses or gaps in processes and activities and remediating weaknesses
Working with our control partners (operations, Legal, Compliance, Finance, Risk, IT, HR and Audit) to ensure end to end processes for all clients and trade activity are controlled
Working with our control partners to update policies, procedures and controls to reflect changes in the regulatory rules (Dodd Frank, EMIR, MIFID etc) that apply to the global business
Working with the business control and Business Management teams in each location to ensure that the controls framework is common and effective in each location and responding to local issues
Operate within Budgets and Performance Management guidelines
Relevant degree from tier one University
Ability to discuss and resolve complex Risk and Control and Regulatory issues and be able to translate to business requirements
Highly organised and with strong attention to detail
Experience in delivering change / managing projects within agreed deadlines
Excellent communicator, both written and verbal
Problem solver able to operate in a fast paced, dynamic environment and deliver solutions
Knowledge of Barclays process flows from an operational and/or financial perspective is a bonus
Product expertise in at least one of FX, Rates, Commodities, Equities or Credit preferred
Ability to influence and negotiate across all areas and levels of the organisation
Excellent project management skills and ability to prioritize
Solution focussed and able to operate in a fast paced, dynamic environment
Can-do attitude who can has experience in delivering change within agreed deadlines

122

Risk & Control Lead Resume Examples & Samples

Provide governance, guidance and expertise to Functions Transformation Technology teams to ensure compliance with Barclays Group and local risk and control Technology policies, standards, frameworks and procedures across all Business Units
Ensure the timely and accurate identification and management of Technology (and related) risks within Functions Transformation
Leading the successful delivery of a risk and control capability, liaising with Internal Audit, mulitple and diverse set of global stakeholders and other Risk Management teams in the ‘three lines of defence’ to ensure delivery to the Enterprise Risk Management Framework of Technology related risk in Functions Transformation
Lead the development and implementation of Technology Risk strategy across Functions Transformation
Lead and drive analysis of multiple risk and control activities to provide transparent, complete and accurate risk profile reporting to senior management which also influences Technology Risk and Control strategy and decisions
Risk activities include; tracking and driving delivery of remediation of Audit Issue and Actions, creation and monitoring of Non-compliance to policy and standards, completion of annual Technology control self-assessment process (TCSA’s including SOX controls), creation and monitoring of Dispensation/Waiver/Breaches (DWB) and self-identification and management of Technology control related issues
Drive consistancy and improvements in risk awareness and risk management capability by developing a close and trusted relationship with client groups and key stakeholders. Also facilitating any necessary education and awareness training and development
Lead a team in conducting risk assignments in line with Barclays Group standard tools, methods and quality levels ensuring compliance to operational risk framework(s) and emerging new requirements
Maintaining an independent perspective, challenging as required and setting out quantified control options and risk decision recommendations
Good understanding of key Technology Risk and Control management, policy and standards
Ability to assess, quantify and effectively communicate technology and other related risks
Risk assessment and implementation of remediation in both the application and infrastructure disciplines
Experience of relevant industry and regulator
Experience in dealing with Regulatory requests
Relationship building/maintenance across Technology Functions and associated risk teams in the three lines of defence
Experience in Sarbanes-Oxley programs including assessment of Technology controls and remediation of identified control gaps
Financial Institution technology experience desired
IT Audit experience desired
Business and Technical Skills
Personal and Interpersonal Skills
Leadership Skills
Communications Skills
Business and Technical degree level qualification required (or equivalent)
Awareness of key tools used to monitor, track and report on Technology risk

123

Internship Risk & Control Resume Examples & Samples

9. Call Tree QA
10. Call Tree sending analysis report
End User Computing Application (EUCA) Controls
1. EUCA Risk Assessment
2. EUCA Training Record
3. EUCA Inventory Update
1. EUCA Audit
Information Lifecycle Management
1. ILM Training Support
2. Record Identification Matrix
3. Upload RIM in ILM website
4. Physical Record Control
4.1. Support Record owner to update PRCD on time
4.2. Reconcile the PRD report with Inventory Report
4.3. Support record disposal
4.4. pload PRCD in share point
Signature profile Update
1.1.1. Follow up Management Signature profile update
1.1.2. Update Signature profile change to concerned persons
1.1.3. Maintain Management signature profile in share point
SAP / Mitigating Control
1. User Master Profile Process
2. Complete Stimulation Testing for SAP user access request
3. Mitigating Control Maintenance Process
4. Mitigating Control Testing
IT Service Request
Weekly EUMR Status Report
Intern Manual Prepare and Update

124

Risk & Control Assessment Methodology & Development Manager Resume Examples & Samples

Designing and developing new R&CA concepts and producing associated documentation for syndication, discussion and review
Providing senior stakeholder management across all business divisions and infrastructure control offices, influencing outcomes and ensuring framework change and successful implementation
Ensuring the R&CA Methodology, including process, policy and procedure, is developed to a mature standard which meets Regulatory requirements and industry best practice
Ensuring detailed work plans are developed and timeframes are met
Attending and influencing Technology design sessions to support R&CA framework development and enhancements
Reviewing applicable R&CA business / functional requirements documents
Providing input into the development of training / practice guidance materials to support new concept roll out & take up
Identifying R&CA / Operational Risk Framework methodology enhancement opportunities
Facilitating ad-hoc information requests from ORM / management / audit or regulators
Deep knowledge of Operational Risk Frameworks within a Tier 1 global Investment Bank - specifically R&CA concept, design, development, enhancement, implementation, oversight and assurance
Experience with integrating other firm-wide assessments into the broader R&CA framework as well as developing and implementing assurance methodology for Operational Risk Management Frameworks
Previous experience in solving complex R&CA / Operational Risk reporting requirements, including vertical aggregation, horizontal ‘Front to Back’ / ‘end to end’ views, Region, Country and Legal Entity
Proven strong influencing and stakeholder management skills at all levels (including Executive Directors and / or Vice Presidents)
Previous experience in project management / change management initiatives
Pro-active, self-motivated and an excellent team player, able to navigate within a matrix organisation
Engaging and effective when dealing with difficult stakeholders who have conflicting interests
Appreciation of the regulatory environment in Europe, Middle East, Africa (EMEA), United Kingdom (UK), United States (US) and Asia Pacific (APAC) in relation to Operational Risk
Competent in applicable Operational Risk tool sets as well as associated Microsoft Office products
Educated to Bachelor’s degree level (or equivalent qualification / work experience)
Professional qualifications such as Chartered Institute of Management Accountants (CIMA) or Association of Certified Chartered Accountants (ACCA) (beneficial)

125

Risk & Control Assessment Methodology & Development Manager Resume Examples & Samples

Providing input into the design and development of new R&CA concepts and producing associated documentation for syndication, discussion and review
Providing stakeholder management across all business divisions and infrastructure control offices, influencing outcomes and ensuring framework change and successful implementation
Attending Technology design sessions to support R&CA framework development and enhancements
Developing formal R&CA business requirements for Technology where required
Providing input into the development of training / practice guidance materials to support new concept roll out and take up
Knowledge of Operational Risk Frameworks within a Tier 1 global Investment Bank - specifically R&CA concept, design, development, enhancement, implementation, oversight and assurance
Previous experience in developing and implementing assurance methodology for Operational Risk Management Frameworks

126

VP-risk & Control Resume Examples & Samples

A graduate/post graduate degree (Banking/Commerce preferable)
Comprehensive knowledge of Microsoft Office skills
Interpersonal and presentation skills, excellent written and verbal communication
Ability to understand operational risk issues, policy interpretation capabilities
Skills such as time and task management, interpersonal sensitivity, delegation, computer proficiency

127

Global Lead for Risk & Control Framework IT Resume Examples & Samples

Own the mandate for front to back technology for Risk and Control Framework team with C&ORC IT (Compliance & Operation Risk IT)
Be accountable for global change programs and teams
Engage with key stakeholders both in business and IT to deliver client focused, high quality solutions and services that achieve agreed, sustainable benefits
Drive oversight of project planning, anticipating long term business requirements and closely aligning roadmaps

128

Manager BU Risk & Control Resume Examples & Samples

Ensure processes are operating in control to ensure compliance with regulatory requirements for prospectus, semi- and annual reports, and proxy
Oversee and monitor reports, identify and remediate issues and communicate as appropriate with key business partners and stakeholders
Support the development and implementation of policies and procedures that are in line with corporate guidelines to ensure complete, timely and accurate fulfillment
Maintain relationships with business partners and external vendor to ensure changes to regulatory requirements and continuous improvement ideas are implemented
5-10 years of accounting, regulatory, operations, business process re-engineering or financial audit experience required
Has a minimum of 5 years of experience specific to a financial services company required
Holdsone of the following; Series 6, 7 or 99 – or will obtain within 120 days in role required

129

MY Ctsm Kl-aml Risk & Control Senior Manager Resume Examples & Samples

Develop and deploy appropriate control monitoring mechanisms vide Manager’s Control Assessment (MCA). Responsibility to ensure controls and monitoring mechanism are adequately documented as part of MCA
Engagement with Global Risk and Control in ensuring MCA and approach are aligned with other regions
Acting as a primary point of contact for engagement with MCA task force within APAC FIU & Country Hubs and transmitting guidance’s and instructions Risk and Control related queries and matters
Ensure compliance to global standard policies, procedures and tools. Validating that the procedures, tools and training in place in the hub meet policy and control recommendations
Manage the COB program to ensure compliance to COB policy which include update the COB plan at least annually, coordinate the drills to test Denial of Access and Denial of System, compile the drill results and track issues noted during the drill for closure or retest, if required
Responsible for comprehension, interpretation, and implementation of policies, and procedures, taking into account the regulatory or business environment
Reviewing and responding to findings raised during internal business reviews, audits, exams and MCA tests
Act as Internal Trainer - develop training programs & plans and conduct training sessions accordingly
8 years working experience, preferably in AML or Banking Operational Risk and Control
Operations Management Experience
Analysis and research skills. Attention to detail
3 - 5 years management experience

130

Rohq-fro-operational Risk Manager FRO Risk & Control Lead Resume Examples & Samples

Control Environment: Responsible for overall control environment across the finance shared service center. The role requires making strategic decisions to ensure that the firm’s risk and control framework drives appropriate policies and practices to enable employees in all business units to proactively identify, assess, mitigate, monitor and report on all operational risk exposures
Risk and Control – Primary responsible in implementing Risk and Control programs that aid management to identify, analyze and respond appropriately to risks in their areas: Fraud Management, Manager Control Assessment (MCA), Sox Compliance, Operational Risk and Management and Corrective Action Plans (CAP Tracking). Also ensure proper controls are well-placed in the identified critical EUCs and provide oversight on the creation and execution of ICSAs
Business Continuity – Oversees compliance to CoB Policy and Policy Standards; the processes to ensure that business continuity plans are viable, executable, implemented and tested and business continuity awareness and education for CSS teams
Information Security – Practice consistent and effective risk-based standards and policies to assess, manage, and mitigate the risks associated with the development and use of Citi’s information, systems, networks, and applications, including establishing controls around transferring, storing, and accessing private customer data
Data Privacy – Ensure compliance with requirements associated with Data Privacy laws, Cross Border, Bank Secrecy, Outsourcing and Export Licensing regulations related to cross border Business Initiatives in all countries in which we operate
Project related experience desirable
An understanding of Operational Risk and Risk and Control Self Assessment
Experience working in cross-cultural global teams
With at least 12 years related work experience in similar field
Proficient in the use of workstation applications (MS Word, MS Excel, MS Powerpoint, etc.)
Able to rapidly learn technical and business techniques and knowledge

131

Divisional Risk & Control An Resume Examples & Samples

Support the design and enhancement of business owned level one controls and processes to address control gaps and/or to respond to new laws, rules and regulations for all product lines and jurisdictions
Maintain and update written supervisory procedures, the global supervisory system and the supervisory hierarchy
Coordinate and manage and implement certain centralised Level 1 controls
Remediate audit and regulatory findings regarding business owned controls and processes
Track completion of supervisory tasks and escalate overdue tasks in accordance with procedures
Prepare management information regarding overdue tasks, breaches and errors
Assist with the implementation of material regulatory implementation programmes
Ability to develop strong partnerships with desk heads and Business Control Units (BCU’s) in multiple locations
Possess a proactive approach to projects and responsibilities with high energy and enthusiasm levels
Produce concise, detailed and relevant management information reporting for the CF management team
Decisiveness, action oriented. Strong focus on getting the job done correctly
Hardworking, with the ability to focus on and resolve the “right” issues in a timely fashion
Ability to interact with and command respect from people both inside and outside of the organization

132

Assistant VP-market Risk Control Resume Examples & Samples

Finalise VaR/SVaR/IRC/EC/RWA for respective businesses and at DB Group level and explain Day on Day, Week on Week and Month on Month drivers
Identifies and remediates all Exceptions that are not being consumed in VaR – both at individual Asset Class level and at DB Group level
Provide analytical support to Risk Managers to facilitate risk management / business decisions
Contribute to methodological enhancements, including quantitative impact analysis
Develop reports to facilitate robust risk management practices

133

Risk & Control Resume Examples & Samples

Completed 12 months in their current role at a grade of BA4 or AVP
VBA and SQL skills are mandatory for this role
Last- year PD rating of Outstanding, Very Strong, Strongor Good
Should not be on active CAP/DAP as on May 17 2017

134

Avp-valuation Risk Control Resume Examples & Samples

Write Business Requirements Document (BRD) for all releases by working closely with valuation controllers to understand and document their requirements
Consider alternative options or solutions to meet the business requirements
Partner with IT to complete the Functional Requirements Document (FRD), including issue resolution
Complete and deliver monthly updates to Senior Management on the progress of current projects
Assist in putting together presentation decks for Operating and Steering Committee Meetings
Facilitate user engagement through training, info sessions, and one on one’s with users
Develop/Review test cases/scripts with Test Manager
Ensure Functional Testing scripts correspond to signed-off functional requirements
Facilitate User Acceptance Testing (UAT)
Conduct working group meetings with users, IT teams and other project teams
Build and maintain good relationships with key VRC and IT at a working level
Ensure that delivery occurs on plan, is of high quality and matches expectations through measurable goals

135

Enterprise Risk & Control Lead Resume Examples & Samples

Perform oversight of Enterprise-wide Risk and Control Functions comprising Regional Information Security, Regional COB, Regional Outsourcing, and Regional Record Management as defined in the AsPac ERC model
Perform oversight of ‘O&T Risk and Control’- type Functions consisting of the Consumer Operations Oversight Function (COOF), ICG Operations Control Function (IOCF), Technology Risk Management (TRM), and O&T Local Regulatory Reporting Control Function as defined in the Country ERC model
Establish a robust, conducive regional framework that enables effective risk and control management by Information Security, COB, Outsourcing, and Record Management and by the O&T function
Drive regional ERC initiatives
Perform risk analysis and management and provide objective views on Information Security, CoB, Outsourcing, Records Management and O&T risks, controls
Represent the region on Country Information Security, Country COB, Country Outsourcing, and Country Record Management (along with the respective Heads of these ERC functions as needed) and on O&T risk and control matters
Escalate and socialize these to the Country ERC Heads
Perform analysis and trending within the scope of the ERC functions
Minimum ten years in the Financial Services industry
Minimum three years in an Internal Audit, Risk Management, or Control Management related role
Minimum bachelor’s degree or equivalent professional qualification
Ability to manage through influence (e.g. management in the absence of reporting lines or with matrix reporting)
Up-to-date understanding of key risk and control concepts, tools and trends relating to risk identification, rating and prioritization, mitigation, and reporting, Operational Loss treatment, as well as the Basel Committee on Banking Supervision Accords (Basel I/II/III) and the COSO (Committee of Sponsoring Organizations of the Treadway Commission) framework

136

Eno-valuation Risk Control Resume Examples & Samples

Input into Business Requirements Document (BRD) for all releases by working closely with valuation controllers to understand and document their requirements
Incorporate Innovative Technology into solutions, such as Machine Learning, Natural Language and Robotics, where applicable
Raise issues or risks in a timely manner and track internal and external dependencies while escalating items at risk when necessary
Perform functional testing and analyze defects in collaboration with IT teams
Ensure UAT test scripts are relevant to business process and requirements
Assist with User Acceptance Testing (UAT)
Recommend, develop and implement process improvements and controls
Strong analytical skills and ability to define and apply logical approach to issue resolution
Strong communication (written, verbal, presentational) skills
Good team player
PMP Designation preferred

137

Risk & Control Resume Examples & Samples

Accountable for execution against several key control programs
Perform incident management functions inclusive of proper and timely incident reporting, root cause assessment, and design, execution, and on time resolution of remediation plans
Coordinate, organize and facilitate the feedback on risk trends occurring across the supported business unit
Conduct ongoing Risk and Control Self Assessments (RCSA) inclusive of design & execution of risk mitigation plans
Understand operating activities within the department, aiding in the ability to identify weaknesses to processes that may not be in line with Operations Risk standards
Provide guidance and review desktop procedures/WSP for operations groups supported
Prepare for and coordinate internal and external operational audit inclusive of: risk assessments, audit planning, audit testing, control evaluation, any issue follow up
Manage the design / implementation of new or enhanced controls to validate effectiveness and sustainability
Support monthly risk meeting preparation/presentation
Facilitate entitlement reviews (out of role review, in role review, SOD review, and ad-hoc entitlement reviews)
Provide oversight and consultation of Business Continuity Planning
Candidate should have experience with operational risk. This includes, but is not limited to: operational incident management, risk reporting, business continuity (BCP), entitlement reviews, risk control self-assessment (RCSA), managing internal and external audit examinations, and written supervisory procedures
5+ years of financial services experience in audit, compliance, operations risk management
Ability to influence change across the organization
Fluent computer skills in Outlook, Excel, PowerPoint, Word

138

Head of Risk & Control, Managing Director Resume Examples & Samples

Implementation of the Bank's risk management framework, including business environment and internal control monitoring: risk control self-assessments (RCSAs) and controls testing analysis. In conjunction with senior management and / or a Risk Management Committee, formulates the regional bank’s operational risk management policies
Identify control breaches in credit, operational, and implement solutions
Ensures appropriate management focus on mitigation of risk, including implementation of management action plans to address open operational risk issues
Responsible for the overall soundness of the business credit portfolios including Retail Banking, Consumer Lending, Business Banking and Wealth Markets
Establishes guidelines on credit risk limits by type of transaction, counterparty, or client
Establishes risk management procedures, metrics and standards
Develops approval procedures on prospective counterparties and clients
Develop routines to track, monitor and report control breaches and open issues and the effectiveness and timeliness of remediation actions
Establishes management and administrative procedures to ensure adherence to policies
Directs staff in the development and maintenance of financial background information, as well as credit analysis, operational risk and regulator coordination. Developing risk management analysis reports; developing approval procedures and guidelines on operational risk limits by type of product and / or transaction (where appropriate); and in establishing management and administrative procedures to ensure adherence to policies. Provides counsel to business unit managers on operational risk management issues
Develops a foundation for credit risk appetite and the monitor and manage credit risk for Retail Banking
Manages the loan committee structure, credit portfolio surveillance, collection strategies and credit risk return modeling. Developing and monitoring the strategic direction and setting of targets for assigned portfolios including collections, workouts and risk returns
Ensures that all loan systems and tracking techniques provide the appropriate amounts of information to lenders, executive management and the Chief Risk Officer, in order to track loan quality and to minimize risk
Responsible for ensuring the development, implementation, and operation of this office is in compliance with the policies and standards. In addition, this role is responsible for working closely with the Third Party Risk Management team to ensure comprehensive and timely oversight of all Regional Bank vendors and third party service providers
Evaluates new products and trading/hedging strategies for their impacts on Regional Bank’s operational risk profile as well as setting of limits and specific process control targets for all new products/services as appropriate
Work closely with Independent Risk Management and regulators to ensure policies, strategies and performance meet enterprise risk and control standards and regulatory expectations
May act as the firm’s liaison with external regulatory or legal bodies on operational risk management issues
May be involved in evaluating new products and trading/hedging strategies for their impacts on the firm’s operational risk profile as well as setting of limits and specific process control targets for all new products/services as appropriate
Typically requires 12 -15 years of technical experience plus 5-8 years of previous supervisory experience
BA or BS Degree in Finance or Business Administration preferred
Thorough knowledge of the banking industry and wealth markets products/processes
Understanding of risk management, to include deep risk assessment and vendor management experience, setting, evaluating and testing internal controls
Extensive Wholesale credit and portfolio management experience in

139

Mgr, Risk Control Resume Examples & Samples

Manage all aspects of IT-specific audit engagements that are often complex in nature, ensuring that: staffing/resources are adequate, key risks are identified and reviewed, complete/actionable findings are communicated to the business, and that audit documentation is updated and complete upon the conclusion of each audit engagement to ensure operating units are in compliance with Bank policies and procedures, applicable laws and regulations, and industry best practices
Oversee multiple teams concurrently executing IT specific internal audits. This includes review and approval of Project Plans, ensuring timely and efficient audits occur that are compliant with internal audit standards. Provide audit feedback required to ensure Audit Report results are documented and effectively articulated and communicated to senior management in a proactive manner as a trusted advisor to the business
Assist in the management of the Audit Data Analytics function within RCS to ensure that it aligns with the business strategy. Work with Audit Data Analytics leads to develop analytics for specific audits, review their work and coordinate with the business teams to ensure work is relevant and delivered timely for audit reporting
Oversee and assign work to IT Audit staff and provide ongoing coaching, performance feedback, and lead by example to promote positive team working relationships. Maintain a positive work environment, promoting cohesive teamwork within and across Audit teams through influence, coaching, on the job training, and personal example
Proactively lead trainings and present new ideas and thought leadership on audit and technology topics to audit staff. Work with the Audit Leadership team to continue to enhance processes and procedures to encourage better work product that encourages and builds trusted relationships with businesses
Work with TCF Senior Management to define reasonable and appropriate audit standards to perform an audit while ensuring audits cover all necessary areas to ensure TCF audit quality is upheld. Stay current on enterprise-level technologies used in a large complex IT organization to provide pertinent advice to management on their use, configuration or the operation of those technologies
Assist Bank's external auditors in their annual examination by supporting the planning and supervision of testing a significant number of General IT Controls and Application Controls which requires having a detailed understanding of current testing expectations utilized by large accounting firms in IT controls
BA in related field or equivalent experience
Possess industry recognized, professional certification in good standing; CPA, CIA, CISA, CISSP or other technology related designation
7+ years of audit experience, including 2 years of leadership experience, knowledge of IT, accounting, banking, lending and compliance from a financial institution and/or a combination of public accounting and bank operations
Excellent working knowledge of audit methodologies and standards including COBIT,COSO, GTAG, etc
Excellent Microsoft Office skills including advanced skills with Excel and Word
Excellent problem solving and analytical skills and attention to detail
Excellent verbal and written communication skills with proven ability to communicate effectively and objectively with all levels of management to deliver audit results
Effective listening skills
Strong project management skills and proven ability to prioritize and organize a team’s work/case load with minimal supervision
Strong interpersonal, teamwork and relationship building skills
Demonstrated leadership skills
Flexibility to respond to change and learning agility
Experience in influencing change in systems, operations and procedures
Knowledge of data analytics using various tools such as ACL
Technical experience with enterprise level technologies
Working knowledge of GAAS and GAAP
Direct oversight responsibilities for a number of IT Auditors in Internal Audit

140

Risk & Control Resume Examples & Samples

Ensuring that activities delivered under own control are in accordance with appropriate governance, compliance and operational principles/frameworks of risk
Proactively make recommendations re improvement to processes and procedures relating to governance and compliance, and to support implementation of those subsequently approved
To provide advice, guidance and support to project managers re Operational Risk Impacts relating to projects
Broad understanding of other risk related policies, such as the Data Protection Act, Disability Discrimination Act, etc
Strong understanding of risk, control and change management

141

Treasury Risk & Control Resume Examples & Samples

The jobholder will be responsible for implementing and managing day to day controls activity undertaken across the Barclays Treasury global function,
The role has become available as the current incumbent is to relocate to the Treasury US team
Responsible for implementing and managing day to day controls activity undertaken across the Barclays Treasury global function
Support the Director, Risk and Control Team in ensuring that an effective system of internal control is implemented and maintained
Responsible for ensuring the effective management and oversight of BAU conformance activities (e.g. planning, execution, conformance testing, remediation of control issues, and preparation of management information (MI) and Group-level reporting)
Previous audit experience at senior management level, gained in either an internal audit function or professional practice
Strong detailed understanding of the firm’s Enterprise Risk Management Framework policy requirements
Proven track record in identification, documentation and resolution of weaknesses and failures in the control environment
Proven track record of effectively setting own plans and driving goals to realistic timelines for the completion of activities by others; and
Demonstrates flexibility, pro-activity, pragmatism and knowledge sharing / working together team attitude
Demonstrates credibility and gravitas by contributing to decision making and the business agenda
Strong communication skills at senior management/stakeholder level, written and verbal
Preferred Qualifications - Qualified Accountant – ACA, or equivalent, CISM or CISSP

142

Liquidity Risk & Control VP Resume Examples & Samples

5+ years of experience in financial statement analysis
Demonstrated understanding of bank assets and on and off balance sheet liabilities
Knowledge of the behavior of capital markets products
Ability and experience to organize and lead across different time zones and cultures
Strong analytical and problem-solving skills and demonstrated ability to work independently
Ability to interface with business units and senior stakeholders in Treasury
Detailed understanding of balance sheet analysis and capital markets
MBA and CBA
Specialization within the financial services sector

143

Divisional Risk & Control Ma Resume Examples & Samples

Developing and implementing governance processes and standards for findings and self-identified issue (SII) management for Risk division in line with Bank-wide policies
Developing, maintaining and communicating key operating procedures and guidance / training documents in line with Bank-wide policies and Risk division internal standards and governance processes
Providing validation of remediation work for findings and self-identified issues across the whole Risk division
Acting as a point of contact for Risk functions, Compliance and Group Audit on all governance processes in regards to findings, regulatory commitments and SIIs
Supporting Risk functions in developing a strategic view on their remediation efforts for findings and SIIs
Providing ad-hoc management information (MI) on findings, commitments and SIIs for the Risk division as requested by various stakeholders (Senior management, Regulators, etc)
Providing meeting materials for Risk Divisional forums on findings and SII management
Ensuring the facilitation of the KPMG year-end audit
Supporting the development of additional business requirements for findings and SII systems
Very good understanding of risk management activities and internal control frameworks
Strong analytical skills with an audit background or similar
Strong stakeholder management skills. The ability to successfully navigate a complex organisation, build strong relationships and work collaboratively with diverse stakeholders across the Bank
A challenger who upholds principles of good governance whilst being pragmatic where necessary
Organised and diligent with a strong attention to detail
Maintains a structured and systematic approach without being dogmatic
Robust attitude to the prioritisation needed to deal with competing demands
Able to keep focussed on the big picture whilst maintaining a clear view of the detail
An excellent team player
Fluent in English, verbally and in writing
Good Microsoft Office skills, particularly Excel and PowerPoint

144

Treasury Risk Control Resume Examples & Samples

Review and understand our liquidity and funding requirements
Understand the businesses and how those businesses impact our liquidity and funding position
Provide independent review, validation and risk management of liquidity and funding models and their assumptions as they relate to the liquidity position. This includes determining the appropriateness or limitations of the conceptual soundness, calibration and implementation of models/assumptions used for liquidity and funding
Provide independent assessment of the liquidity and funding risks
Remain up-to-date on regulatory requirements and follow financial markets and business trends on a frequent basis and analyze how those developments could impact the liquidity and funding position

145

Treasury Risk Control Resume Examples & Samples

Understand global regulatory requirements and expectations for the liquidity and funding position
Understand the businesses and how they impact our liquidity and funding position
Provide independent review, validation and risk management of liquidity and funding models and their assumptions as they relate to the liquidity position
Serve as a knowledgeable professional on quantitative risk modeling and its impacts on liquidity risk management
Prepare validation report(s) for model(s) being validated
Communicate model validation results and debate issues, challenges and methodologies with internal counterparts (model developers, model owners) and present to senior management and key stakeholders
Provide an independent assessment of the liquidity and funding risks

146

Ey-risk & Control Resume Examples & Samples

Bring insight in all the above to our clients who operate across market segments
Be able to lead delivery of internal controls projects or elements of complex projects
Provide subject matter insight to cross service line proposals and be able to lead and deliver proposals for Assurance
Provide innovative solutions to the controls and risk needs of our clients, adapt methods and practices to fit operational team and cultural needs, and contribute to thought leadership
Support the strategy to build the team further and recruit similar core competencies
Extensive working experience in internal controls, in terms of role, impact, relation to risk and balance with costs
Experience in selling/ supporting the sale of internal control & risk related assignments
Proven experience of internal controls design and deployment
Familiar with the relevant risk and control regulatory environments
Process (and related controls) expertise - financial and operational
Extensive experience of working with project teams/ business stakeholders (process, functional, technical) to provide controls expertise on the business requirements and processes during all project phases, from design to deployment
Experience of working with business stakeholders to implement business readiness and change activities
Experience in SAP/ERP environments, including the design of automated controls
Project and Programme Management experience
Solid understanding of the principles and application of good corporate governance and compliance
Extensive knowledge of internal controls, including controls design & deployment (operational & financial risk)
Consulting skills
Track record of developing/ delivering management communication materials
Good working knowledge of SAP GRC and/or other Controls tools would be an advantage
Strong academic record including a degree (in any subject)
Professional qualification – accountant, institute of internal auditors
Skills in Excel, Word, PowerPoint
Ability to travel nationally and internationally

147

Gcg-regional Consumer Business Operational Risk & Control Resume Examples & Samples

Establishing a robust analytics and reporting strategy and framework, including associated platform, processes, procedures and tools, to enable the timely and accurate sourcing, consolidation, analysis, reporting and escalation of qualitative and quantitative program MIS that enable risk and control awareness covering 17 countries for Asia / EMEA Consumer Business Management and Asia Regional Franchise Risk and Control Management, to facilitate risk-based management decisioning, and to identify risk concentrations and trends for corrective and preventive auctioning
Developing a risk concentration and trend assessment process, including associated procedures and tools, to enable the analysis of risk and control indicators, issues, events, and corrective actions in order to generate a comprehensive risk and control status and trends overview for management awareness, assessment, decisioning and actioning
Setting up and continuously enhancing a suite of comprehensive periodic reports for senior management that enable strong monitoring, reporting and escalation of qualitative and quantitative MIS, including Must Win Battle risk and control score card metrics reporting, internal audit / regulatory exam / MCA / Compliance test reporting, Issues and Corrective Action Plan (CAP) analysis and reporting as well as risk concentration and trend analysis and reporting
Ensuring that significant changes in business strategy, risk trends, control needs and regulatory requirements are incorporated into the overall direction and goals of the CBORC analytics and reporting function
Proactively developing innovative analytical approaches and working in close partnership with country, regional and global Consumer Business management teams to execute solutions to strengthen processes and practices that will enable us to achieve and exceed the Must Win Battle risk and control scorecard metrics
Managing a formal and structured process for countries to learn from control events and common audit issues in other countries, to raise awareness and enable countries to analyze if they have similar exposures and undertake necessary remediation and prevent recurrence of similar incidents based on the learnings. Analyze the results and summarize key observations to highlight trends and to drive greater consistency of processes across countries
Driving the control agenda and managing the analytics and reporting process for the monthly Franchise Risk and Control Group Meeting (FRCG meeting attended by the Regional Franchise Risk and Control Group comprising of In-Business Risk and Control Heads from all business in Asia and partners from second and third lines of defense from Internal Audit, ORM, Compliance, AML Compliance, Finance, etc) and the Regional Consumer Risk and Control Management Meeting (CRCMM - a senior management governance forum attended by the Regional Consumer Leadership team), to identify and highlight key current and emerging risk trends, alignment of control strategy and approach with changing business strategies, significant changes to regulatory, legal, compliance and operational risk management requirements as well as escalation of matters requiring management attention
Organizing the Regional One Bank Business Risk, Compliance and Control (BRCC) Committee meeting attended by the Asia Franchise Management team on a quarterly basis and managing the controls management process including having representation from all related functions and driving the agenda to discuss top franchise concerns/issues and to provide Business management with a regular and comprehensive view of the Business Operational Risk and Control profile and to escalate matters requiring management attention in the BRCC
Leading the coordination of the quarterly Key Operational Risks (KOR) / Key Risk Indicators (KRIs) metrics review and analysis, analyzing the results for root causes, risk concerns and emerging trends and highlighting key breaches, observations and trends to Regional and Country senior management. Actively contributing to the quarterly refresh of the KOR / KRIs based on a structured analysis of key indicators (significant incidents, large operational losses, key MCA exceptions, significant audit and regulatory findings, external events etc)
Managing the Operational Loss Attestation and Event Data Quality Assurance process, including performing data quality analysis on CitiRisk Loss Capture System (LCS), reconciling LCS and Event Data Capture System (EDCS) and tracking and analysis of operational risk events and near miss events, which is a critical process given the close connectivity and potential impact on various Global processes including CCAR and Capital calculation
Representing Asia / EMEA Regional Consumer to participate in the development of the Global Consumer analytics and reporting platform and standards, new reporting requirements and various control improvement initiatives to providing insights and perspective to drive an effective and practical solution for the overall Consumer franchise
Further streamlining, automating and optimizing the analytic and reporting function and activities in line with business needs and priorities as well as changes to organizational structures and processes
Providing subject matter expertise and advisory to the Global, Regional and country teams and other partners on analytics and reporting for Consumer Business
Participating in global, regional and country risk and control management forums and meetings as may be relevant
University graduate with at least 12 years in the financial services industry in compliance, control and/or operational risk management roles
Deep understanding of risk and control analytics, operational risk management concepts, tools and trends and proven ability to identify the best analytics solutions for senior management
Strong ability to streamline and standardize processes and visualize the end state and clearly articulate the benefits to senior management
Strong stakeholder management skills (e.g. written and verbal communication, influencing and negotiation)
Excellent quantitative, analytical and problem solving skills with attention to details. High proficiency in formulating analytical methodology, identifying trends and patterns with data
Comprehensive knowledge of Citi Global / Regional Control standards and policies
Ability to work independently, interface and execute with a sense of urgently and to deliver on tasks effectively and efficiently
Proactive, self-motivated and proven ability to use own initiative and judgment and take lead to devise workable solutions
Proven ability to negotiate and influence across products, functions and geographies to operate effectively at all levels in a collaborative manner
Ability to work well as a team member and contribute to the team’s and the organization’s objectives
Strong presentation skills and skilled with office documentation software / applications (MS Word, Excel and Power Point)

148

Operational Risk & Control Senior Business Controls Specialist Resume Examples & Samples

Issue Management functions on behalf of GMSO, including
Minimum education requirements: college degree required, preferably with a concentration in a Finance-related field
At least 5 years experiences in Global Markets Operations ( 2 years in Future/Option or Collateral operations are preferred)
Experience with operational risk management and implementation and improvement of process controls
Understanding of the front-to-back trade life-cycle
Experience with Regulatory compliance
Process mapping skills is desired
Strong collaboration, influence and relationship management skills

149

Treasury Risk Control Resume Examples & Samples

Review and understand the liquidity and funding requirements
Understand our businesses and how those businesses impact the liquidity and funding position of the firm
Provide independent review, validation and risk management of liquidity and funding models and their assumptions as they relate to the liquidity position of the firm. This includes determining the appropriateness or limitations of the conceptual soundness, calibration and implementation of models/assumptions used for liquidity and funding
Remain up-to-date on regulatory requirements and follow financial markets and business trends on a frequent basis and analyze how those developments could impact the firms liquidity and funding position

150

Risk Control Leader Resume Examples & Samples

Leads the operation, performance, and results of a team of Risk Services field staff
Ensures that Westfield’s Risk Control guidelines, policies, procedures, and high standards of performance and customer satisfaction are achieved
Supports the development and execution of the Risk Services strategic vision and annual plan
Manages Risk control Representatives, Senior Risk Control Representatives, Risk Control Consultants and Claims Service Consultants for their assigned division ensuring field support of corporate and departmental goals and objectives
Performs human capital management responsibilities including employee selection, performance management, coaching, and development. Manages priorities and workload distribution, and removes barriers that impede progress. Completes all personnel, salary administration, and reporting duties
Performs operational responsibilities that drive team performance and the achievement of service level agreements including planning, execution, process improvement and best-practice sharing
Responsible for the Risk Services support, service level, and demonstrated impact to the loss ratio and profitability of Commercial Lines with an emphasis on Middle Market and Specialty Lines customers throughout assigned operating territory. This includes development and implementation of assigned initiatives that align with strategic vision of department. Oversees the execution of the annual plan to ensure desired results. Provides ongoing measurement of progress and ensures that corrective actions are taken when appropriate
Builds and maintains respectful and trusting relationships with internal business partners. Collaborates with others in the department and company to synchronize and execute business strategies, plans, and objectives
Travels regularly with field personnel to evaluate, develop, and coach. This may involve traveling on short notice or other daily driving duties as assigned regardless of location
Prioritizes and manages the development of department initiatives, products and services
Effectively applies quality assurance processes that demonstrate progress in the department’s consistency and meets or exceeds department QA standards
Works on projects, as assigned, and participate in key business meetings in assigned territory. Participates and adds value to collaborative sessions on high premium, complex risks
Minimum of 5 years' experience as a Loss Control Representative
Minimum of 10 years’ of loss control and/or industry related experience
Proven ability to interact with all levels of internal and external business partners
Demonstrated creativity in resolving unique and challenging business problems
Demonstrated advanced analytical and problem-solving skills with the ability to manage and prioritize multiple projects
Proven ability to deal with ambiguous situations and issues
Demonstrated excellent communication skills particularly in report/letter writing and oral presentations
Demonstrated sales and negotiation skills
Bachelor’s degree or commensurate experience
Holds a current professional designation or is working towards obtaining one (e.g. Certified Safety Professional, Associate in Risk Management, or Associate in Loss Control Management.)
Valid driver’s license and a driving record that conforms to company standards
Ability to work effectively in an office environment for 40+ hours per week (including sitting, standing, and working on a computer for extended periods of time)
Ability to communicate effectively in a collaborative work environment utilizing various technologies such as: telephone, computer, web, voice, teleconferencing, e-mail, etc
Ability to travel and work overtime as needed
Ability to operate an automobile within the parameters of the driving policy
Ability to lift a minimum of up to 35 lbs
Ability to climb ladders and stairs

151

In Business Risk & Control Country Head Resume Examples & Samples

Ability to look at big picture and identify "GAPS;" and true testing experience, not just managing the process
Written and verbal communications skills; prior track record of successfully interacting with remote teams
Experience with applying principles, methods and techniques in the design and operation of process controls and their system components; including business process and entity relationship analysis
Comprehensive knowledge of compliance policies and processes and proficiency in risk and control related practices
Well versed in developing new ideas and improving current processes and proactively engages business and functional managers to mitigate risks Interpersonal skills with a demonstrated ability to achieve results
Knowledge of US GAAP and Financial Control risks and controls for Financial Services companies
Exposure to regulatory and control models
Able to develop and produce monthly metrics
Collegial and service oriented demeanor and an ability to challenge existing conventions and make recommendation for improvement within CSC operating units
Able to identify trends and themes from high volume information sources and synthesize reports for easy consumption of senior business managers
Strong critical thinking & analytical skills
Ability to create process flow diagrams
Ability to identify and articulate root cause
Highly organized and detail-oriented
Solid management skills
Self-motivated and positive attitude

152

Business Risk & Control Resume Examples & Samples

Pro-active management of CPB’s Periodic and Pre-Periodic review processes
Develop training programs on key AML/KYC areas including SOW, negative media, AAM Forms
Partner with AML Compliance to implement new AML/KYC standards, requirements, and procedures across NAM
Partner with the control groups (e.g., AML, Sanctions Compliance) to enhance KYC/AML processes and controls
Maintain and update process documentation and identify reengineering and process automation opportunities by partnering with Operations, Technology and control groups to drive functional changes
Represent NAM on regional/global committees on AML/KYC issues (e.g., KYC working group, OneSource)
Coordinate NAM SPF/Higher Risk client review for both regional and global annual meetings
BA/BS or equivalent experience
7-10 years of Business Risk, Compliance, AML/KYC, or related experience
Demonstrated success in managing multiple deliverables concurrently often within aggressive timeframes
Demonstrated experience in financial services with deep knowledge of Private Banking
Analytical, detail-oriented with broad picture vision and ability to execute; strong written and verbal communication skills
Strong relationship management skills with proven ability to build consensus across multiple stakeholder groups and form enduring and productive alliances across matrix organizations
Experience managing a diverse team composed of staff and consultants potentially located across multiple locations
Ability to quickly adapt to changedriven work outputs to senior executives
Highly strategic and systems thinker; able to seamlessly connect the dots to create a cohesive and compelling vision for Citi Private Bank
Strong sense of urgency and ability to independently drive initiatives to closure
Ability to influence change / strategic direction with senior leaders and other departments without having direct reporting authority
Ability to operate as a leader to link initiatives to positive impact on our business with an understanding and appreciation for differences across products and client segments

153

Head of Risk & Control Resume Examples & Samples

Provide support to the designated business and coordinate all first line risk activities. Working with the GBO team and the relevant oversight functions, provide risk insight and help the business to fully understand their risk profile. Clearly differentiate between change delivery and operational risk
Contribute to a proactive and open risk culture adopted across the business
Provide meaningful and value-add risk and control reporting to the GBO organisation regional committees and senior management which includes communication on the status of key risks and their respective remediation programs in the business and regulatory initiatives
Develop excellent partnerships/professional relationships with key stakeholders and ensure clear understanding of the future state and the milestones
Identify, assess, manage and report emerging risks. Support group wide risk and control assessment and scenario planning exercises as required and ensure that these are carried out on a timely basis, are insightful, forward-looking and actionable
Coordinate major incident and events and ensure that appropriate escalation takes place and mitigation activities are actioned. Provide analytical commentary and insight including oversight and analysis of risk event reporting across GBO
Support risk management training and education to increase risk awareness in the business
Carry out risk-based reviews and provide assurance to the business, as required. Where control weaknesses or adverse customer journeys are identified recommend and track mitigation actions
Wide and proven experience operating within a risk management role within Financial Services industry, preferably in the context of change or product
Established track record in similar capacity/industry/coverage
Ability to lead, inspire and energise a team operating within global/horizontal connectivity and reporting lines
Sound product, process and control management understanding
Global cross-cultural competence- Demonstrates an understanding of the definition and aspects of culture. Seeks to understand own culture and perspective, how it differs from others, and how culture and perspective can make positive impact
Communication Skills– Exhibits well-developed listening, speaking, and writing skills to share information, perspectives, and opinions with others. Works collaboratively and leverages individual talents in support of practice and FIL wide goals
Clarity of Thought- Express and communicate clearly and concisely in a thoughtful manner
Continuous Improvement- Exhibits personal responsibility to maintain high standards by continually seeking opportunities to increase effectiveness, efficiency, and quality of existing work processes, methods, and systems
Organisational Perspective- The ability to use internal networks and other resources to deepen his/her understanding of the organisation’s business objectives and offers, and to build insights about how to leverage opportunities across the organisation

154

Business Risk & Control Resume Examples & Samples

Lead a team of 4-6 PPR analysts in their day-to-day functions in support of cycled pre-periodic profile reviews
Provide training, leadership and guidance, as needed, to analyst staff
Lead and conduct the PPR reviews which includes evaluating client profiles and supporting documentation for adherence to KYC/AML policies and quality requirements
Act as a subject matter expert in relation to any policy or process inquiries and system enhancement requests
Ability to assess Source of Wealth (SOW) data and evidences along with narratives supplied by the banking teams to corroborate SOW
Understand documented anticipated activity/product usage versus actual transactions and flows into and out of specific accounts
Ability to evaluate levels of Risk within a client’s profile and ensure all necessary information is documented, as appropriate and inclusive of correct levels of approvals
Identify documentary and KYC issues/gaps and follow-up with the Banking teams to clear deficiencies as appropriate, prior to quality acceptance
Ensure the team fully comprehends and acts upon, as necessary, any policy, procedure and/or regulatory changes communicated to the teams
Ability to take on Project related tasks to continue to drive automation across the PPR function as well as act as an SME across KYC/AML related initiatives, as needed
Identify areas of concern and escalate to senior management in a timely manner and with the right element of details
Track team work scope, volumes and progress via detailed reporting matrix’ for review amongst team, PPR team leads and management to continue to drive meaningful enhancements to an evolving process and team
5-7 years AML/KYC and/or Business Risk, Compliance or other related experience; team lead experience a plus
Excellent analytical, process, and project management skills to deliver detailed, data-driven work outputs to senior management
Highly strategic and systems thinker; able to seamlessly connect the dots to create a cohesive and compelling vision to drive automation & reengineering
Strong communication skills; can speak across various forums and communicate to a broad, diverse audience
Experience in financial services with deep knowledge of Private Banking

155

Risk & Control Lead Resume Examples & Samples

Excellent analytical, problem solving and critical thinking skills
Excellent presentation skills. Ability to present to senior levels of management (e.g. Director, MD) and to facilitate discussions at the senior stakeholder level
Ability to work independently, multi-task, and take ownership of various parts of a project or initiative
Ability to work in a matrixed environment and partner with virtual teams
Ability to lead strategic planning sessions challenging the status quo where appropriate and drive decision making process
Experienced in consulting with project stakeholders, including the skills to facilitate compromises and resolve conflicting requirements
Proven track record in delivery of multiple parallel initiatives is essential
Proven track record of operational process change and improvement is essential
Bachelor’s Degree and/or equivalent proven track record and experience in Risk & Controls, Operational Risk, Internal Audit or Compliance Testing
7-10 years relevant project experience in a Financial services environment with track record of success
Strong Project Management/analytical skills/working knowledge of the techniques for planning, monitoring and controlling programs and resources
PMP Certification a plus
Knowledge of Consumer / Small Business banking business
Understanding of regulatory requirements

156

Divisional Risk & Control An-sa Resume Examples & Samples

To supervise the day to day deliverables of the process
Ensure adherence to all cut-off times and quality of processing as maintained in SLA
Monitor volume inflow and ensure sufficient resource and workflow allocation in a justifiable manner
Ensure that all queries/ first level escalations related to routine activities are responded to within the time frames pre-specified
To keep Team Manager informed of the exceptional occurrences, to enable appropriate action
Assist DBOI in carrying out any special tasks or projects that may be required from time to time as assigned by Team Manager/AVP
Assisting the team in decision making and taking and be the backup for the Team Manager
Timely escalation of all potential issues to Team Manager
Makes good use of own skills and seeks ways to support/coach other members of the team
Handles work confidently, adjusts to changing priorities, handles ambiguity, and responds constructively to feedback
Graduate / PG with a total of 2 to 3 years of experience in relevant domain
Needs to be a self-starter with significant ability to undertake initiatives
Willingness to work in UK/US/Far East shifts
Relevant financial services experience will be an added advantage

157

AVP Risk & Control Resume Examples & Samples

Co-ordination of operations data at weekly risk meetings
Definition, analysis and reporting of KPI (Key Performance Indicators) including presentation to management
Ensure timely escalation of significant risk issues
Lead projects to strengthen the control environment
Build a greater awareness of the Risk Management Framework by delivering training to stakeholders
Liaise with internal and external audit teams on testing of controls and SOX requirements
Bachelors Degree or equivalent
3+ years of experience in the Investment banking industry or other business related institution
3+ years Microsoft Office experience
1+ years prior experience within an area focused on improving the controls framework
Intermediate MS Excel skills w/ understanding of databases
Intermediate MS PowerPoint skills with strong written and oral communication skills
Demonstrated problem solving skills and research abilities
Ability to function proactively with minimal supervision
Solid understanding of financial concepts

Download Risk & Control Resume Sample as Image file

Related Job Titles

Risk Control Specialist Resume Sample

Risk & Control Manager Resume Sample

Market Risk Resume Sample

Business Control Resume Sample

Market Risk Coverage Resume Sample

VP Risk Resume Sample

Risk Hub India Resume Sample

IT Risk Resume Sample

Global Risk Resume Sample

Business Risk Control Management Resume Sample

Risk Assistant Resume Sample

Lead Risk Resume Sample

Browse More

Risk & Control Resume Samples

The Guide To Resume Tailoring

Craft your perfect resume by picking job responsibilities written by professional recruiters

Pick from the thousands of curated job responsibilities used by the leading companies

Tailor your resume & cover letter with wording that best fits for each job you apply

Resume Builder

Resume Builder

15 Risk & Control resume templates

Read our complete resume writing guides

How to Tailor Your Resume

How to Make a Resume

How to Mention Achievements

Work Experience in Resume

50+ Skills to Put on a Resume

How and Why Put Hobbies

Top 22 Fonts for Your Resume

50 Best Resume Tips

200+ Action Words to Use

Internship Resume

Killer Resume Summary

Write a Resume Objective

What to Put on a Resume

How Long Should a Resume Be

The Best Resume Format

How to List Education

CV vs. Resume: The Difference

Include Contact Information

Resume Format PDF vs Word

How to Write a Student Resume

Ops Risk & Control Tokyo Resume Examples & Samples

Markets Risk & Control Resume Examples & Samples

Gct Risk Control Lead for Cards Resume Examples & Samples

IT Risk & Control Lead Resume Examples & Samples

CIB Risk & Control Resume Examples & Samples

CIB Risk & Control Resume Examples & Samples

Risk Control Business Manager Resume Examples & Samples

CIB Risk & Control Resume Examples & Samples

Senior Manager, Counterparty Risk Control Resume Examples & Samples

Head of Market Risk Control Resume Examples & Samples

Traded Risk Control CTB Manager Resume Examples & Samples

Ops Risk & Control Resume Examples & Samples

Risk & Control AVP Resume Examples & Samples

Operation Risk & Control Resume Examples & Samples

Rohq-fro Risk & Control Resume Examples & Samples

Head of Risk Control Unit Resume Examples & Samples

Markets Risk & Control Resume Examples & Samples

Rohq-markets Risk & Control Resume Examples & Samples

Esc Regional Risk & Control Lead Resume Examples & Samples

Rohq-fro Risk & Control Resume Examples & Samples

O&t-regional Risk & Control Lead Resume Examples & Samples

GIU Risk & Control Assessment Manager Resume Examples & Samples

Platform as a Service Deployment Risk & Control Lead-VP Resume Examples & Samples

IT Risk & Control Lead Resume Examples & Samples

Risk & Control Self Assessment Lead Resume Examples & Samples

Controls Risk & Control Self Assessment Resume Examples & Samples

Lead Bu Risk & Control Resume Examples & Samples

Manager Risk, Control & Project Services Resume Examples & Samples

Global Risk & Control Senior Controls Specialist Resume Examples & Samples

Rohq Hrss Avp Regional Risk & Control Resume Examples & Samples

Rohq-markets Risk & Control Resume Examples & Samples

Country Enterprise Risk & Control Head Resume Examples & Samples

Global Risk & Control Senior Controls Specialist Resume Examples & Samples

Hkg-global Markets In-business Risk & Control Resume Examples & Samples

Risk & Control Resume Examples & Samples

Risk & Control Resume Examples & Samples

Wholesale Product Services Risk & Control Resume Examples & Samples

Manager Market Risk Control Resume Examples & Samples

Cib-risk & Control Resume Examples & Samples

Risk & Control Team Leader Resume Examples & Samples

CIB Risk Control Resume Examples & Samples

Regional Risk & Control Senior Manager Resume Examples & Samples

Global Risk & Control Senior Controls Specialist Resume Examples & Samples

Assistant VP-risk & Control Resume Examples & Samples

Market Risk Control Resume Examples & Samples

Operation Risk & Control Resume Examples & Samples

Conduct Risk Control Resume Examples & Samples

Head-risk & Control Resume Examples & Samples

Css-risk & Control Lead-csipl Resume Examples & Samples

Global Risk & Control Resume Examples & Samples

Risk Control Team Leader Resume Examples & Samples

How to Make
a Resume

50 Best
Resume Tips

200+ Action
Words to Use

Internship
Resume