Risk & Controls Resume Samples

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O Treutel

Ollie

Treutel

4101 D'Amore Lodge

Dallas

+1 (555) 843 9461

4101 D'Amore Lodge

Dallas

Phone

p +1 (555) 843 9461

Experience Experience

Boston, MA

Risk & Controls

Boston, MA

Dickens-Leannon

Boston, MA

Risk & Controls

Assisting to develop and enhance management information, and dashboard reporting on the outcomes of monitoring activity in relation to identified risk
Presentation of findings and recommendations to senior management within Legal and Compliance as well as key business stakeholders
Contribute to the development of our people through on-the-job coaching and structured training
Chief Risk Officers in overseeing and challenging risk frameworks, and
Performance Management, mentoring and coaching the team
Learn about business processes, risk management, information technology, IT governance, IT audit, IT risk management in a challenging client facing environment
All GSO Service Operations functions, key management and staff

Boston, MA

Risk & Controls Senior

Boston, MA

Considine Inc

Boston, MA

Risk & Controls Senior

Developing and maintaining 1st LOD testing work papers (e.g. testing results, identifying exceptions and making recommendations for process improvements)
Facilitate UAT of new models and model changes; work with model owners and users to develop and execute test plans
Work with 1st Line management to design processes and develop policies and procedures
Assisting in the development of annual test plans
Developing management reporting related to self-testing activities
Developing sampling methodologies (for testing) and test scripts
Supporting the establishment and maintenance of SOX and operational controls across all I&CM business activities

present

Dallas, TX

Risk & Controls Dir

Dallas, TX

Carter-Pagac

present

Dallas, TX

Risk & Controls Dir

present

Provide input to assist maintain process, risk and relevant control framework at enterprise and divisional levels
Knowledge of Microsoft computer applications to perform daily tasks working with electronic documents (e.g., reviewing documents, updating documents)
Build out a supporting data management risk team and fully integrated with overall information risk management processes and operating model
Execute a current state assessment of the data management landscape and processes
Identify and implement tools to facilitate data risk management processes and provide benchmark reporting
Own and manage risks process related to enterprise-wide risk management reporting tools and systems
Manage 2nd line risk assessment and provide independent risk view, including

Education Education

Bachelor’s Degree in Accounting

University of Pittsburgh

Bachelor’s Degree in Accounting

Skills Skills

Extensive experience in the risk & controls environment including risk identification, control evaluation, testing, sampling methodologies, technology controls, audit engagement process, controls substantiation, etc
Knowledge of controls frameworks: COSO, COBIT, FFIEC
Demonstrable ITIL Process experience
Relevant certifications include: CISM (Certified Information Security Manager), CISSP (Certified Information Systems Security Professional), CRM (Certified Risk Manager) and CISA (Certified Information Systems Auditor)
Strong domain knowledge
Ability to adapt to a dynamic work environment and constantly changing priorities
Ability to develop strong client relationships and maintain them as a global team
Six-Sigma Knowledge/Certification
Certified PMP/Prince II
ITIL V3 Certification

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15 Risk & Controls resume templates

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Risk & Controls Resume Examples & Samples

Take a leading role in mitigating key and emerging areas of conduct risk across BlackRock’s business
Take ownership for the successful delivery of individual monitoring reviews
Build understanding and awareness of BlackRock’s operational and regulatory control environment
Work with global functions, and build relationships with key business stakeholders
Bring their own insights and ideas to enhance the existing framework
Develop their career within a formal structure of career progression
Preparation, delivery and write-up of regulatory monitoring reviews on a timely basis
Interaction with key business stakeholders across the lifecycle of the review
Presentation of findings and recommendations to senior management within Legal and Compliance as well as key business stakeholders
Assisting to develop and enhance management information, and dashboard reporting on the outcomes of monitoring activity in relation to identified risk
Appropriate escalation and tracking of issues as they are identified
Proven track record of executing deep dive regulatory or compliance reviews in either industry / for the regulator / or as a consultant
Understanding of the asset management sector, preferably with previous experience working for an asset manager
Up-to-date understanding and awareness of FCA requirements
Excellent communication skills; proven experience in drafting high impact and high quality reports
Previous experience in developing or assisting to develop rigorous management information and reporting frameworks
Self- motivated and able to work without close supervision
Adherence to deadlines and ability to prioritise workloads
Ability to work as part of a team in a dynamic, fast-paced environment

Director of Americas Risk & Controls Resume Examples & Samples

Prior regulatory compliance experience (10 years) in an asset management or consulting firm
Experience with SEC and other regulatory requirements relating to investment advisers, investment companies and alternative products
Experience with internal controls and regulatory or forensic testing including documentation review, walkthroughs of automated and manual processes, and interviews of senior management personnel
Prior supervisory experience
Effective project management skills
Strong written/oral communication, organizational, and interpersonal skills
Bachelor’s degree required; a Master’s degree or JD a plus

Manager, Risk & Controls Resume Examples & Samples

Work with Card Risk Management business colleagues to develop an in-depth understanding of the Risks & Controls throughout the department and to assist in the development of controls to mitigate gaps
Provide guidance and leadership to Risk Management business colleagues on RCSA requirements
Provide coaching and leadership tomore junior colleagueson the RCSA testing team
Engage cross-functionally with control leads within Card Services, and attendControl Lead meetings asrequired; providingupdates tothe Director asnecessary
Participate in special projects, as assigned
Maintain awareness of significant changes impacting the business, particularly from an RCSA perspective
Build knowledge of Card Risk Management, its policies and procedures, banking and consumer regulations/laws, and RCSA practices in order to implement necessary enhancements to control activities and minimize risk
Ensure adequate quality control over RCSA work products and deliverables
Ensure that process maps and associated Risk & Control Matrix are maintained in an evergreen state
Bachelors degree, or equivalent job experience
Minimum 5 years of experience in the auditing or control testing environment
Strong and progressive Auditing or Control Testing experience
Experience developing test scripts, audit programs, or testing templates
Ability to multi-task and shift priorities as needed
Experience performing quality reviews or work-paper reviews
Phoenix system experience JPMorgan Chase is an equal opportunity and affirmative action employer M/F/Disability/Veteran

Risk & Controls Resume Examples & Samples

Work with risk assessors, operations staff and management to help them proactively and pre-emptively identify and remediate potential audit and regulatory issues
Support the LOB and Audit through the audit process, including input into the audit plan, preparing materials and evidence, reviewing audit reports for factual accuracy, and assisting the ops teams in formulating management action plans
Provide subject matter expertise to the business to help proactively assess key risks and provide recommendations as to the appropriate treatment or mitigation that should be taken, outside of a formal project engagement
7-10+ years of experience combining Risk & Controls, Audit & Regulatory experience in a large enterprise level environment
Expertise in risk identification, control evaluation, testing, sampling methodologies, the control self-assessment process, controls substantiation, audit processes, key risk indicators, etc
Expertise in platform, hardware and application vulnerabilities and controls, technology resiliency and the general financial regulatory environment
Team leader and/or related management experience
General technical understanding of the various platforms, networks, and applications that comprise the technology Infrastructure environment
Understand regulatory and corporate requirements such as SOX and SAS70, etc
Basic knowledge of controls frameworks: COSO, COBIT, FFIEC
Expertise in handling and coordinating with various divisions to build a controls-based infrastructure
Relevant certifications include: CISM (Certified Information Security Manager), CISSP (Certified Information Systems Security Professional), CRM (Certified Risk Manager) and CISA (Certified Information Systems Auditor)
Experience implementing process change, working with globally dispersed teams, and hands-on experience with the Phoenix tool are all a plus
Expertise in the corporate Audit and Regulatory environment including risk identification, control evaluation, testing, sampling methodologies, audit engagement process, controls substantiation, etc
Experience with audit preparation, engagement, and remediation of findings
Understand regulatory and corporate requirements such as SOX, SAS70, MAS etc
Lead GSO efforts in preparation, engagement and remediation of regulatory items (e.g. Singapore Monetary Authority, SSAe16 etc)
Ability to maintain good communication with the IRM, Audit and Regulatory communities globally
Provide comprehensive and timely support for internal/external audit & regulatory queries and issues
Former IRM and/or internal/external Auditor and/or Regulatory experience preferred
Expertise in the risk & controls environment including risk identification, control evaluation, testing, sampling methodologies, technology controls, audit engagement process, controls substantiation, etc
Solid level of technical understanding of the various platforms, networks, and applications that comprise the Infrastructure environment
Strong familiarity with IT Risk Policy, Risk Management best practices, ITRSM strategy, Regulatory and Industry Risk & Control Standards
Experience implementing process change and working with globally dispersed teams, and hands on experience with MS Office products (e.g. Excel, Word and PowerPoint)
Excellent analytic and problem solving skills, positive self-starter with proactive approach and excellent time mgt and prioritization skills
Ability to communicate ideas in a clear, concise manner, at all levels of the organization
Good planning, coordination and implementation skills, and the ability to work across towers and functions to deliver and execute

Senior Manager, Risk & Controls Resume Examples & Samples

Work with Card Risk Management business colleagues to create robust test scripts to evaluate the efficacy of controls identified
Provide coaching and leadership to more junior colleagues on the RCSA testing team
Engage cross-functionally with control leads within Card Services, and attend Control Lead meetings as required; providing updates to the Director as necessary
Ensure that Card Risk remains in alignment with CCB & CCS RCSA Standards
Proven analytical thinker with ability to identify, analyze and solve problems in a thoughtful manner, with diplomacy and professionalism
Extremely organized and attentive to detail, with the ability to work on concurrent projects and quickly react to competing or changing demands
Strong and current knowledge and understanding of Risk and Control Assessments or Self Assessments
Strong and current knowledge and understanding of Control testing methodology
Strong Microsoft Office skills required
Card Services experience
Technical Writing skills and abilities

Assistant VP of Business Risk & Controls Resume Examples & Samples

4+ years of experience / exposure to Operations at a broker-dealer
Bachelor's Degree in Accounting and/or Finance
Previous Risk & Controls experience

Op Risk Controls Role Resume Examples & Samples

Responsibility for working with stakeholders to ensure delivery on data collation, generation and analysis of key OpRisk metrics/Loss data reports at the Bankwide, Divisional, Legal Entity and Regional levels
The role will also require the person to manage, monitor/report control processes and KRI/KCIs on processes for the global Operational Risk Reporting team
Involvement in the enhancement of metrics/loss reporting under the OpRisk Framework Initiative
Liaison with report owners, metrics/loss data providers in business areas across the Bank and other stakeholders to implement metric report changes as required
Enhancement of report production processes, tools, controls, including assistance in the development of strategic system solutions to support OpRisk metrics/loss reporting, to improve efficiency and control
Work on other project deliverables impacting the RFDAR OpRisk Reporting team

VP, Market Risk Controls Resume Examples & Samples

Control design, advisory, implementation & review, including advising on the design of the overall Market & Credit Risk governance structure
Documentation, review and tracking for Market Risk Policies
Administration of key Market Risk & Credit Risk Committees
Provision of regulatory advice for EMEA & APAC regions, supporting regulatory self-assessments and model approvals (spanning Market & Credit Risk)
Lead the build-out of the RCRG team on the Glasgow platform, including: develop the strategy and target operating model for the local team (with oversight from the Controls team leads); engage with local and remote-based Risk senior management to obtain their buy-in; and roll out the strategy and operating model in to BAU
Act as operational line manager for the local Governance team, as well as providing oversight for the locally based Controls team staff
Oversight of Market Risk policies & procedures, including performing the required analysis to: scope, formulate, document and publish the governance framework, obtain input and sign-off from a range of stakeholders (across corporate titles, locations and functions), and ensure that the framework is reviewed, maintained and updated on a regular basis and according to the needs of the business
Co-ordination with central Group Wholesale Credit Risk Policy team on updates to Credit Risk policies & procedures, notably helping to identify any gaps in compliance by the Investment Bank and working with relevant IB risk staff to remediate those gaps
Communicating policy and framework updates & governance issues to both Risk and non-Risk staff and providing related training, including to the Front Office where relevant
Ad hoc governance related items including participation in conformance reviews, self assessments, new business initiatives, regulatory and audit related requirements, and change management
Act as the local lead of Market Risk and Credit Risk Governance Subject Matter Expert (SME) and representative of the Glasgow team, including: taking primary responsibility for developing the strategy and target operating model for the local team; for presenting this to relevant senior management (both locally & remote-based) and obtaining their buy-in, and then for implementing the agreed model. This will also include promoting the agreed model across Risk and non-Risk where relevant and for being the primary face-off with local senior management
Drive forward the development of new policies and the update of existing policies. As part of this review, working with the relevant Policy owners (typically senior management), and other Risk & non-Risk staff, perform the required technical and controls-based analysis to: understand and challenge current business practices; identify areas for improvement; and ultimately for drafting and publishing documents. This analysis will require a pan-Risk understanding of both technical risk management concepts and also expected “good controls” and may extend to controls and processes outside the Risk function
Challenge senior management and other relevant Risk staff on the decisions in the Governance committees/Action closures or otherwise from Policies compliance standpoint. This also involves advising senior management or Risk staff on any Policy/Governance related matters
Work with senior Risk management and relevant teams to drive the evolution of the Risk committee governance structure, and any changes required to supporting policies, terms of reference etc, including in response to key business structural changes or regulatory requirements. This involves creative thinking to resolve issues or devise/implement new processes to enhance Risk Governance framework
Assist in the management and operation of select Risk committees, including preparation of meeting materials, agenda management, attending meetings, and follow ups. This will be limited to senior Risk committees/forums only. In addition, wherever relevant, communicate detailed updates to the Risk Governance committees / senior management from Policy/Governance perspective
Act as the operational line manager for the local Governance team, including: performance management, objective setting, coaching, training, driving forward work allocation and completion, and ensuring the committees are administered in line with their Terms of Reference and the Chair’s expectations. This also includes providing day-to-day supervision of the locally based Controls team staff

Manager, Lead Business Risk & Controls Resume Examples & Samples

Lead various regulatory change efforts within and beyond CSG including internal and external regulatory exams
Ongoing monitoring of risk management issues and mitigations, such as audit, compliance MAPS and other control activities
Responsible for ensuring the business area develops and maintains required risk and compliance standards
Serve as key regulatory expert in cross-departmental project groups
Conduct periodic assessment and reporting of the status of the program including gap reporting, tracking and mitigation management, and overall business disruption residual risk levels
5 – 10 years Extensive knowledge and understanding of risk management and compliance practices and principles, including experience with internal or external audit, regulations, internal controls assessment and change management
Strong ability to influence others and operate flexibly. Consistently exemplifies cross-company collaboration and partnership
Strong ability to influence others and operate flexibly. Consistently exemplifies cross-company collaboration and partnership. Excellent EXCEL, PowerPoint, Word and Visio skills
Process Improvements and Reengineering
Ability to influence upwards and downwards to accomplish critical

IBD, Risk & Controls, Director Resume Examples & Samples

Ensuring that product line executes all relevant controls and meets minimum control standards
Implementing Operational Risk Framework components for the product line (e.g., RCSA, Controls testing, Metrics)
Coordinating collection of inputs form COOS/supervisors within product area
Managing risks and controls at a product line level (e.g., BRCMs, supervisory MI)
Facilitating operation of the IBD controls framework and support the activities of the IBD Business Risk and Controls Officer (BRCO)
Assisting with IBD program of business health-checks and pre-audit prep exercises and other controls and internal audit related activities
Assisting with IBD supervisory activities/reporting/monitoring
Assisting with the IBD components of the Firm’s Compliance Risk Management policy
Producing and communicating guidance and materials on IBD/LCD policy and procedures and provide updates
Leveraging technology to facilitate the above, and access by bankers, LCD, other control functions, auditors and regulators, as appropriate
Ensuring IBD involvement in Firm projects impacting the above
Knowledge of IBD business at transactional level – e.g. our products, what they are, broadly how they work
Knowledge of controls environment and impact on business (conflicts/control room/IBC)
Knowledge of deal documentation/deal mechanics/ability to review and analyze agreements
Strong organizational skills/attention to detail
Excellent interpersonal skills, ability to interact with senior leadership in IBD

Lead, Brokerage Risk & Controls Resume Examples & Samples

Coordinate testing efforts with Internal Audit, Compliance, Risk Management and other testing functions within the business to share information and otherwise advance the established control processes
Work with various business partners: Audit, Compliance, Risk Management, Legal and outside consultants/vendors to identify and mitigate risks
Analyze the effect of new business initiatives and investment products and fielding inquiries from employees and management
Review and evaluate internal controls and procedures associated with products, services, customers and operations
Recommend and evaluate remediation plans by business units associated with products, services, customers and operations
Plan, perform and document RCSAs for Brokerage Services and Support
Design, implement, maintain and support enterprise wide GRC
Test and monitor the effectiveness of the program
Monitoring will include identification of weak controls and action plans to strengthen
Monitor and test SOPs to ensure proper policies and procedures are followed
Utilize a combination of systematic controls as well as policy and procedures to sustain and enhance the brokerage risk program
Work closely with brokerage vendors to understand and co-develop monitoring and measurement of the risk programs; periodically review policy and procedures of vendors and assess and make case to adjust according to brokerage business model
Provide support to business units related to business contingency planning
Work with business partners and regulators to ensure proper protocol is used during audits and regulatory exams
Represent business in all audits/exams – both internal and external
Perform complex analysis and resolve difficult issues
Keeps up-to-date knowledge in the industry and regulatory changes impacting our business
Supervisory responsibility of more junior staff in special project capacity
Evaluates and implements new initiatives, process/work flow improvements and program/policy changes
Responsible for developing and executing project plans and coordinating groups of operational staff
5+ years of financial services industry experience (preferably in brokerage operations) with a strong discipline in assessing risk and implementing adequate controls
2+ years of Risk Management experience
3+ years of representing the business in regulatory audit/exam experience
Experience in supporting vendor relationships
All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel
Experience with Brokerage Services applications preferred
Ability to develop short and long-range risk management plans that are comprehensive, realistic and effective in meeting goals; integrates plans across brokerage operations business units
Challenges the status quo; asserts own ideas and persuades others; gains support and commitment from others
Able to work independently to execute with excellence
Results driven; conveys a sense of urgency and drives issues to closure, while addressing obstacles and opposition

Director BU Risk & Controls Resume Examples & Samples

Develops tactical and operational plans necessary to implement the business unit's audit standard and/or regulatory compliance requirements
Clarifies policies and oversees training of business unit employees on compliance requirements
Demonstrates program effectiveness by establishing control and process monitoring, auditing systems and ensuring, through testing, that they are adequate and functioning as designed
Oversees the reporting of findings and remediation of non-compliance conditions found
Ensures process and control reviews are planned and performed in accordance with defined standards and stated requirements
Develops recommendations, assesses the extent of current compliance, provides guidance for the remediation of control weaknesses, oversees reporting to executive management, develops and evaluates measure necessary to ensure future compliance with audit standards and/or regulatory requirements
Manages the overall activities of the functional area
Recommends and implements changes to methods of performing work
Ensures that adequate staff and other resources are trained, available and assigned to meet operating objectives
Provides input to policy development to manage risk and exposure for the company
Minimum 10 years of accounting or financial audit experience or other business experience
Minimum of 5 years of experience specific to managing business process re-engineering projects in a process and control environment
Bachelor's degree in Accounting, Finance or other related discipline required
MBA or Advance Degree preferred
In-depth knowledge of controls frameworks
Advanced knowledge of project management and financial services operations
An in-depth understanding of the business unit operations and specific processes within a financial services organization and strong knowledge of related audit, regulatory and corporate policy requirements
Knowledge of financial products including mutual funds and pension products

Regional Risk & Controls Lead Resume Examples & Samples

Proactive identification and analysis of potential risk and control gaps plus definition and implementation of solutions for the department. This will include having a direct input into reengineering processes to increase the level of control within Department
Acting as a point of contact for the department in relation to Citi Policies and Standards including but not limited to Operational Risk, MCA, KRI's, Caps
Coordinating, monitoring, reviewing & reporting of the Operational Risk for department including but not limited to RCSA, Caps, Statement of Accountability etc
Management of Inter Company Services Agreements and Performance Level Standards for each country
Co-ordinate local BSU quality program
Ensure Departmental operational standards remain current
Partner with in-country compliance to ensure that local regulatory CADD requirements remain current

Director, IT Risk & Controls Resume Examples & Samples

10 + years in Controls & Compliance management
7+ years management experience with increasing levels of responsibility
Strong written and verbal communication skills including ability to develop presentations and present to both technical and non-technical personnel
Ability to comprehend complex technical and logical concepts and adapt quickly to change
Proven dynamic leader that displays the best work ethic, creative problem solving skills, positive attitude, and team oriented proactive approach
Bachelors degree in audit, compliance, risk management or eqivalent

O & T Risk & Controls Resume Examples & Samples

BACHELORS DEGREE - Accounting, Banking & Finance, Business Administration or related field
2-3 years experience in a Financial Institution in Operations processing or Control related area
Basic knowledge of Treasury & related products
Intermediate Microsoft Office Skills
Knowledge of various Citi Systems & Applications (asset)

Country Enterprise Risk & Controls Head Resume Examples & Samples

Perform oversight of **‘O&T Risk and Control’-type Functions consisting of the Country 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
Perform oversight of the Control Function of Citi Service Centers (CSCs) that are located within the given country
Establish a robust, conducive framework that enables effective risk and control management by Country Information Security, Country COB, Country Outsourcing, and Country Record Management and by the O&T function
Perform risk analysis and management and provide objective views on Information Security, CoB, Outsourcing, Records Management and O&T risks, controls, and trends to the Country O&T Head, the Country Consumer In-business Control (IBC) Head, and the Country ICG IBC Head(s) as relevant to the respective functions and businesses
The Country ERC Head partners closely with the Country Consumer IBC function and the Country ICG IBC function in order to stay abreast of risks and issues; escalate and socialize to country O&T Head; perform analysis and trending within the scope of Country ERC function
The Country ERC Head is responsible for establishing, running, and continuously enhancing the Country ERC program that is built on the following key responsibilities and activities within the scope of the ERC function

Rft-risk & Controls Resume Examples & Samples

Provide SME in Identity & Access Management within RFT
Manage the recertification process, including support for Quarterly and off-cycle recertifications. Recertification tasks include IO attestation scope confirmation, functional ID mapping support, feed support and daily stakeholder inquiries
Provide first level privileged access account breakglass support, including working with stakeholders on functional account ownership, the breakglass onboarding process, support group reengineering, data/account remediation activities, enhancements, & training
Active Directory File Share Remediation/User Tools - Support identification of folder owners and coordinate with GIAM to secure active directory qtrees
Process - Develop, implement and manage secure software life cycle processes to that will assist the application development teams to integrity security requirements within their applications and databases
Data Analysis - Understand, interpret, validate, manipulate, data using excel and other tools, and present conclusions to the key stakeholders
Contribute to the development and implementation of security software, policies, standards, procedures, guidelines
Provide baseline metrics and reporting, both during impact analysis and on-going execution of risk-driven projects, organize and deliver clear and accurate data for Technology and Executive Management
Assist RFT IRM and Technology Teams to ensure that RFT can manage effectively in support of all risk-based projects
Information security certifications (such as CISSP, CSSLP, CEH/CPT or related certifications) world be preferred
A graduate degree or equivalent experience in computer science in also required
Very strong data analysis, both qualitative and quantitative
Good reasoning and logic, problem solving skills
Exposure to financial services systems and process preferably in Investment Banking
Experience in working with diverse cross geography teams
Self motivated individual, comfortable working without close supervision and with ability to work to deadlines
Exposure to information security principles and relevant standards including access management, change management, security incidents, and business continuity management
Strong understanding of security software development life cycle/
Working knowledge of application assessment, application security vulnerabilities, code review methodologies, and secure coding practices
Exposure to information security vulnerability concepts, issues and mitigation methods
Experience in a similar risk role
Experience of technology projects and/or the Risk and Financial business is a plus point

Country Enterprise Risk & Controls Head-singapore 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
Perform oversight of ‘O&T Risk and Control’- type Functions consisting of the Country 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
Perform risk analysis and management and provide objective views on Information Security, CoB, Outsourcing, Records Management and O&T risks, controls, and trends to the Country O&T Head, the Country Consumer In-business Control (IBC) Head, and the Country ICG IBC Head(s) as relevant to the respective functions and businesses [Note: The ICG IBC model is still work-in-progress]
Accountability for robust and compliant processes and controls and their effective execution rests with the respective business and O&T function leads, who are the process and control owners
Perform analysis and trending within the scope of the Country ERC function
Ability to lead and drive controls across the products and functions irrespective of reporting lines
Ability to build rapport and work closely with key country and regional stakeholders and partners within and outside the country O&T function
Risk-based thinking and analytical mindset

Specialist, IT Risk & Controls Resume Examples & Samples

Performs in-depth risk and control self-assessments over key technology functions. Analysis would include documenting process flows, identifying risks and controls, evaluating opportunities for control enhancements, and preparing management presentations
Assist with the adoption and implementation of the internal risk and controls self-assessment program and strategy, including development/maintenance of management metrics
Support team members in testing and verification efforts of key technology controls
Support coordination and management of internal compliance and audit related requests, which include, but is not limited to the following: Sarbanes-Oxley, Foreign Corrupt Practices Act, Internal/External Audit Exams, and Corporate Technology Standards
Track and monitor the resolution of Internal Audit, regulatory, or Risk Management related control issues
Minimum 5 years of experience in an IT Risk Management, Audit, or Compliance related role
Professional Certification in Technology Risk & Control Standards preferred (ex. CISA, CRISC, CISM, etc.)
Working knowledge of risk and control frameworks and process improvement models a plus (e.g. COBIT, ITIL, Lean, etc.)
Experience with records and information management
Experience in managing or coordinating IT compliance and/or audit related work
Strong analytical skills; excellent written and verbal communication
Demonstrated ability to deliver on time results
Experience in business process modeling techniques, including documenting process flows, narratives, presentations, etc

IT Infrastructure Risk & Controls Specialist Resume Examples & Samples

Lead monthly/regular activities for APH entities, including Risk Assessment Dashboards (ETRAD)/Managers Controls Assessment (MCA), ensuring timely completion of all tasks
Monitor the controls environment and assess emerging risks through observation and ETRAD/MCA process
Assist in interpreting the regulatory compliance requirements as applicable to the team
Translate risks, issues and audit findings into feasible corrective action plans and ensure the timely execution of these via partnership with stakeholders
Pro-actively look for ways to improve success rates for APH Key Risk Indicators (KRIs)
Contribute to the enhancement of monthly/regular processes via efficiencies and automation
Perform tasks of varying complexity related to our Middleware and Database entities in accordance with Citi Operational and Security policies and external regulations
Recommend appropriate and pragmatic solutions to risk and controls issues then work to ensure that approved solutions are applied effectively
Develop strong working relationships with operational staff as well as Risk Management, IS staff and business areas to ensure effective application of controls
Support the execution of internal and external audit processes through partnership with operational teams, ensuring that the response and corrective action from the teams are prompt and accurate
Create and present the Controls Scorecards, associated plans and their progress to the APH management
5 years experience demonstrating an excellent understanding of Information Security & Controls processes
5 years experience demonstrating excellent and approachable communication (verbal and written) and interpersonal skills
At least 3 years experience of working in a large sized financial institution is a must
At least 3 years experience demonstrating strong customer and quality-focus is essential
Experience of working with Middleware and/or Database technologies is preferred
Any of CISA, CISM, CRISC, CISSP certification preferred
Able to demonstrate strong influencing skills, a proactive and 'no surprises' approach in communicating issues to management and assertiveness in working with operational teams
Good level MS Excel and MS PowerPoint skills
3 years of experience in creating and presenting dashboards and scorecards
Sound problem resolution, judgment, and decision-making skills
Self-starter and ability to work in a team, often pressured, environment
Ability to demonstrate effectiveness in working with Global, disparate teams
Project management or good organizational skills desirable
Bachelor’s Degree or equivalent experience required

Infrastructure Risk & Controls Group Manager Resume Examples & Samples

7+ years risk management experience – leading
Lead and manage internal and external audits
Partner with operational teams to ensure effective global control processes, standard reporting and KRIs measurements
Establish successful MCA process and oversight for UNIX Distributed Systems
Collaborate with peer organizations to drive process enhancements and establish Citi wide standards to streamline and the strengthen services of the GDC organization
Deliver and ensure senior management awareness of all global control issues
Represent risk and control in initiatives that involve supported areas

Risk & Controls Intern Resume Examples & Samples

Learn about Ameriprise Financial’ s Risk Mitigation and Controls strategy through assigned tasks designed to provide an introduction to the teams’ workflows
Gain familiarity with the applications and tools used at Ameriprise to conduct day-to-day business
Understand the business support and technological infrastructure necessary to operate the Risk and Control businesses
Observe and participate in the following Risk and Control activities
Applicant must be a junior currently pursuing a bachelor's degree in accounting, finance, information technology
Minimum 3.5 GPA
Displays excellent written and oral communication skills
Demonstrates strong computer proficiency including a good working knowledge of MS Office
Excellent analytical, decision-making, problem-solving, teamwork, and time management skills while maintaining an attention for detail
Resourceful and proactive in gathering information and sharing ideas
Enjoys non-routine daily activities

Senior Specialist, IT Risk & Controls Resume Examples & Samples

Oversight of Library Management process utilization, compliance, enhancements
Ensures adherence to separation of duties through monitoring and certification processes
Coordination of various audit, regulatory and compliance activities
Ensures adherence to version control and source to run-time integrity
Evaluates processes with continual improvements and streamlining
Evaluates and monitors Library Management exceptions
Coordinates migration to new tool, including planning, migration, transition, training, problem resolution and user satisfaction
Collaborates with ILI Library Management Liaisons and Enterprise team
Creates executive metrics and reporting
6 or more years of experience/knowledge with technology implementation
Strong project management skills; experienced with technology implementation
Relationship manager with analytic capability; must be comfortable working with end users to fully understand impact of process /technology/policy changes within an organization
Experienced team leader with strong influencing skills; able to delegate
Demonstrated facilitation experience; effective at leading large group exercises for the purpose of gathering input and requirements
Must have excellent oral/written communications skills
Able to anticipate obstacles and develop solutions to complex challenges
Possesses Organizational awareness and political savvy
Working knowledge of Change Management Models
Thrives in a fast paced environment. Comfortable managing through ambiguity and change
Big picture thinker, connects disparate ideas to develop strategies to solve problems
Able to influence without direct authority
Fosters a collaborative culture - brings people together to solve challenges across the organization

KTO Business Risk & Controls Resume Examples & Samples

Provide guidance and support to line of business to better understand, own, proactively identify, measure and manage risk, and integrate risk mitigation into their strategic decisions and management activities
Facilitate the implementation of risk management policies, programs and procedures across KTO, while maintaining engagement of line of business stakeholders and risk management disciplines
Strengthen the first line of defense by ensuring sound business practices, processes, procedures, persons, and technology exist to manage risk within the corporate appetite
Direct and provide oversight for the development and implementation of risk and control self assessments and related risk profiles across KTO
Complete the quarterly KTO risk profile including facilitating review and approval with executive leadership and corporate risk management
Provide overall monitoring and oversight of risk, control and compliance activities, along with periodic reporting to senior management, risk review and regulators. Escalate issues to senior leadership and risk management as needed
Design and execute risk related oversight processes, initiatives, supplementary reviews and assessments as warranted to proactively identify risks and/or maintain control design/monitoring sustainability and accountability
Stay abreast and provide guidance to senior and executive leadership on new products, corporate risk assessments, self-identified issues, risk review and regulatory exam findings, vendor/third party management responsibilities, customer complaints, losses and any other factors that may affect internal controls, testing, and reporting
Continuously monitor the evolving regulatory environment for new and changes to consumer laws, regulations and guidance and proactively enhance processes to maintain compliance
Assist in the development of methodology to measure and report risk and internal control weaknesses, and establish risk related meeting, reporting and management communication cadence
Coordinate audit and pre-regulatory exam preparation activities; facilitate responses to findings; validate remediation plans are appropriate, resolved timely, and corrective actions implemented prior to closure; along with providing periodic updates to management
Support business continuity, incident response, compliance training, and other cross functional risk management and support activities ensuring external events are considered and managed accordingly
Recruit and develop high performing Risk Managers and Analysts to support risk, control and compliance activities, along with mentoring, setting priorities, directing efforts and monitoring employee performance, as applicable
Administer the Initiative Risk Review Process (IRRP) for KTO
Act as a technology risk and control subject matter expert as a member of the KeyCorp Disclosure Committee
Co-chair the Security and Technology Risk sub-committee of the Operational Risk Committee
Build and maintain the program using international frameworks, FFIEC input and industry best practices
Working with corporate program owners ensure appropriate control implementation for GLBA, Sox, MNPI and other business applications
Communicate IT risk and information security risk and control assessment results to other LOBs to include in their risk profiles as appropriate
College degree or equivalent with emphasis on business, risk management or computer/information science
Previous management experience of direct reports
MBA and professional certification (e.g. CISA, CISSP, CIA, IT-RISC) preferred
7 – 10 years banking industry knowledge, with progressive experience in one or more of the following: banking regulatory compliance, audit, risk management, information security or bank operations
An strong understanding of one or more control frameworks such as Cobit, NIST, COSO, RISK-IT and FFIEC requirements, as well as, bank regulations and guidance
Strong organization skills and ability to manage multiple projects and competing priorities to achieve goals with minimal supervision
Demonstrated ability to be self-motivated, adaptable, build and manage relationships, and work in a dynamic, fast paced team environment
Ability to gain support on difficult issues, manage multiple fast paced projects, and provide effective reporting to cross functional teams, businesses, high level management and regulators
Solid written and communication skills and ability to “sell” difficult/complex concepts
Demonstrate team work and accountability with strong interpersonal skills and the ability to interact effectively with external and internal clients including executive managers, along with building and sustaining collaborative relationships

Risk & Controls Operating Group Lead Resume Examples & Samples

5 years AML/BSA or related Compliance experience preferred
Knowledge of Bank Secrecy Act/Anti-Money Laundering, USA PATRIOT Act, and OFAC regulations
Understanding of the BMO Harris Banks business, processes and operations Knowledge of the Banks approach to risk management including Audit, internal controls and/or similar oversight procedures preferred
Demonstrated ability to interpret and disseminate regulatory changes and their application to BMO Harris Bank Demonstrated ability to analyze applicable regulatory risks and apply understanding to development of policies and processes
Demonstrated ability to examine the work of others to oversee compliance ability to work independently, prioritize workload and meet deadlines Strong organizational and interpersonal skills

Risk & Controls Operating Group Lead Resume Examples & Samples

Understanding of the BMO Harris Banks business, processes and operations
Knowledge of the Banks approach to risk management including Audit, internal controls and/or similar oversight procedures preferred
Demonstrated ability to interpret and disseminate regulatory changes and their application to BMO Harris Bank
Demonstrated ability to analyze applicable regulatory risks and apply understanding to development of policies and processes
Demonstrated ability to examine the work of others to oversee compliance
Ability to work independently, prioritize workload and meet deadlines

AVP FCC Critical Risk Controls Resume Examples & Samples

The role will support the Regional Head of Critical Risk Controls and Senior Investigations Managers in conducting complex, deep-dive reviews through analysis and report production
Assist coordination of the acquisition of quality information and data to support the CRC team in the conduct of reviews, preparation of MI and production of high-level reports and briefings
Assist development and maintain close working relationships with CRC members and stakeholders to ensure for efficiency and effectiveness in conducting reviews
Assist in developing the Global Strategic Plan to assist stakeholders in meeting Monitor and regulatory obligations through a robust FCC control framework in the first and second lines of defense
Support engagement of the Issues Management Team to ensure all high-risk issues are integrated into exiting action plans or incorporation into future reviews to be conducted by the FCC Assurance, CMAT or CRC teams
Financial acumen (ability to develop business case, ability to budget, analyze, track project financials)
Strong conceptual skills (business models, organizational design) and analytical skills (business
Performance, market & competitive dynamics)
Proven ability to provide risk input to key business decisions
Strong Communication and interpersonal skills
Strong negotiation, influence and conflict management skills
Excellent written & verbal communication skills in the English language
Background in FCC, or experience with risk strategy and policy setting
Demonstrated flexibility across multiple domains and functional areas
Structure analytical approach
Demonstrated ability to quickly develop an understanding of customer needs and wants in order to deliver compelling value propositions
Demonstrated ability to build relationships with key stakeholders and senior leaders
Working across cultures and in matrixes organizational structures
University Degree or equivalent work experience

Asset Servicing Manager Risk & Controls Resume Examples & Samples

Exceptions management – ensuring all breaks assigned to the team are cleared in line with specified thresholds
Ensuring all Business deliverables are achieved and all DCFC requirements completed on a daily basis
Be responsible for ensuring all your team’s events are processed accurately within the event timelines
Organise and control the day to day running of the team responsibilities
Escalate processing errors and potential risks to line manager upon discovery
Acting as an intermediary and escalation point between processing staff and Section/Department Manager
Focusing on versatility, performance and development of staff within the team
Holding regular 121 and team meetings with team
Attend monthly Best Practice conference calls
Complete Appraisal reviews and interviews with team members, including goals and development planning
Partake in interview selection process for new recruits to the team
Collate stats and attend weekly meeting with Manager to discuss previous week highlights, and forward planning for team
Ensuring all Controls and Procedures are adhered to
Identifying areas of risk and implementing further Controls where necessary
Acting as an example to other team members, creating an ethical and motivated team environment
Regular review and update of Manager’s Control Assessment, Flow Charts and Procedures for the team
Verification of FT instructions
Check and sign Weekly Bloomberg Blotter report for sign off by Department Managers
Monitoring individual and team Overtime and redistributing workloads where relevant
Maintain individual/team Versatility Matrix
Monitoring holiday requirements to ensure appropriate cover is in place
Ensure all Quality Control reports are completed within the required timeframes
Monitor and allocate all incoming instructions and advices
Review and provide feedback on Service Level Agreement applicable to the team
Assessing resource requirements for Business deliverables
Strategically plan and prepare developments
Providing regular updates of all outstanding commitments to Manager
Acting as an example amongst Peers and Subordinates, creating an ethical and motivated team environment
Collate highlights for seniors on all Developments
Leader in Team Projects, and providing updates to Manager
Review and maintain test plans for all systems used within the department, including regression testing
Ensure DCFC form is completed on a daily basis
Ensure Causal Code analysis is completed weekly for distribution
Prior Experience in Corporate Actions an advantage
Excellent interpersonal, written and verbal communication skills and the ability to communicate and influence at any appropriate level
Good organisational skills, ability to work under pressure, demonstrate initiative and prioritise workload
Ability to learn quickly
Possess the ability to develop good working relationships with various levels of management and external departments
Candidates should be advanced in the use of excel and comfortable with data manipulation via pivot tables, v-lookups, macros and compare and merge functions
Relevant Work Experience
Prior Experience in Corporate Actions
Excel (including macros)

CCB Infrastructure Risk & Controls Resume Examples & Samples

Establish strong relationships with management in technology, related control groups such as Risk Management, Compliance, and Audit colleagues
Lead audit engagements covering Consumer & Community Banking Infrastructure Risk & Controls technology including risk assessments, audit planning, audit testing, directing audit staff, control evaluation, audit report drafting, and follow-up and verification of issue closure
Accountable for meeting deliverables and adhering to department standards
Provide coaching and feedback to other team members
Monitor key risk indicators, significant change activities and escalation of emerging technology issues to management in a timely fashion
Stay up-to-date with evolving technology changes and market events impacting technology processes
Develop recommendations to strengthen internal controls and improve operational efficiency
Must have 5+ years of relevant experience in internal/external auditing, or consulting
Must have experience planning/leading/executing audits or similar projects, and providing staff with written and verbal feedback
Minimum Bachelor's degree in Management Information Systems, Finance, Accounting, or other related discipline. An MBA degree and/or professional certification, such as CISA, CISSP or CIA is a plus
Proficiency in risk analysis, and strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness
Proven ability to multi task, complete projects on time and on budget, and be able to adapt to changing priorities
Working knowledge of application controls, for example Access Administration, Change Management, Security Configuration and Business Resiliency
Enthusiastic, self motivated, and effective under pressure
Prepared to travel to business locations domestically (up to 25%)
Any candidate not meeting ALL the qualifications can be considered for an Associate, Auditor role

Manager Risk & Controls Resume Examples & Samples

Ensure Accounts Receivable reporting effectiveness
Drive periodic portfolio review with engagement PPDs and periodic bad debt review process
Identify and communicate potential engagement adjustments
Understand and influence excellent accounts receivable processes and strategies within the businesses
Optimize AWIR to maximize cash flow for Deloitte
Minimum of 5 years of relevant finance experience, preferably in a professional services firm
Project Management: Proven leader with demonstrated capabilities in the areas of project planning and adherence to schedule, scope, quality, and risk
Leadership: Ability to manage projects and processes as well as execute deliverables through strong leadership capabilities and the ability to organize and influence the productivity of others
Accountability for Results: Holds self and others accountable for ensuring results are achieved, producing results with minimal supervision, and taking action on items beyond formal job responsibilities; sets high expectations for self and others and pursues excellence in delivery
Executive Presence: Strong communication skills, excellent interpersonal skills to include both oral and written, and ability to create as well as deliver effective presentations
Innovative / Insightful: Generates innovative ideas to challenge and improve the status quo, while providing creative insights and recommendations for continual improvement related to receivables management practices
Analytical: Ability to work in a dynamic environment that requires critical thinking, cause and effect analysis, and issue resolution
Financials: Understanding of financials and firm accounting policies and procedures

Risk & Controls Resume Examples & Samples

C-Suite in defining their risk appetite and strategy
Chief Risk Officers in overseeing and challenging risk frameworks, and
Chief Audit Executives to provide a layer of governance over whether risk management strategies are effective

Risk & Controls Director Resume Examples & Samples

In addition to this you will have
Risk, audit or control advisory experience from a professional services firm
Demonstrable technology, media & telecommunications industry experience
Ability to think laterally across diverse client business processes
High level of planning and organisational skills
Attention to detail / focus on quality

Risk & Controls Specialist Resume Examples & Samples

Implementation of Sarbanes-Oxley (SOX) requirements within the business
Risk assessment of key business processes in order to identify potential internal control weaknesses and recommend opportunities for improvement
Perform internal control reviews of Landing Systems’ businesses and make recommendations for control improvements
Interface with both Internal/External Auditors to insure their requirements are met
Prepare clear, concise reports on procedures performed related to the control environment
Prepare and present presentations to Senior Management
Support the research and preparation of accounting position papers
Ad hoc accounting support as needed
4+ years of experience with Big 4 or regional public accounting firms
Experience in a manufacturing environment required
Demonstrated leadership competencies with the ability to work effectively across all levels and functions within the business
The ideal candidate should have the potential to succeed the Hiring Manager for Risk & Controls
Can effectively manage relationships with Internal/External Auditors, as applicable
Demonstrated experience with ERP platforms, SAP preferred
Strong interpersonal skills with the ability to motivate diverse teams towards aligned objectives
Thorough knowledge/experience in project management, strong analytical and organizational skills
Strong oral and written communication skills and proven presentation skills
Proactive and results driven
Must be able to travel up to 20% domestically and internationally

IT Risk & Controls Lead Resume Examples & Samples

Assist with development and execution of annual and ongoing IT audit risk assessments
Assist with planning the IT audits and determine audit scope and approach based on the risk assessments
Demonstrate and apply a clear understanding of internal control technical and regulatory requirements (SOX/MAR/FDICIA/SSAE16)
Develop and maintain a collaborative relationship with Internal Audit and other risk and control professionals across the organization
Ensure IT audit procedures completed by audit firms address the objectives, scope and risks of the audit program, and review documentation for adherence to expected standards and guidelines
Review all testing results and related conclusions
Assist prepare and educate business partners and control owners on requirements and expectations for IT internal controls assessments
Develop strong relationships with key business stakeholders to develop a thorough understanding of the business, relevant IT risks and core processes
Assist with successful execution of the quarterly SOX self-certification process
Lead ad-hoc projects to deliver improved processes and controls as requested by the business
Support governance of the Optum's SSAE 16 and Control Reporting program including testing coordination with external auditor firms, business case review and sign-off for newly proposed SSAE 16 or Control Report requests. You would help monitor and implement new regulatory guidance in coordination with the external audit firms and the business owners
Bachelor's degree in Management Information Systems (MIS), Computer Science, Accounting or related discipline
2+ years of relevant business experience which includes but not limited to IT controls, IT internal audit, and/or public IT accounting experience
Ability to influence others, establish credibility with business partners and drive cultural change
Big 4/SOX GCC Experience
2+ years of experience in IT audit and information security, IT internal controls, and/or SSAE16 / SOC 1 & SOC 2 reporting
Professional qualification (CPA, CISA, CIA, CISSP, HCISPP)
Ability to effectively coach and mentor staff
Track record of effective project management skills
Desire to make a positive impact with the ability to manage multiple tasks and shift priorities

Risk & Controls Mgr Resume Examples & Samples

Bachelor’s degree in Accounting, Finance, or business related field, or equivalent experience
Strong understanding of risks and controls and the ability to ask challenging questions to ensure that the integrity of the controls environment is maintained
Experience with Capital Markets and SOX 404 controls
Advanced studies/degree
CPA or CFA license
Ability to work with and influence process owners, Senior Directors and Officers in the 1st Line of Defense
Ability to interact effectively with internal and external auditors and testing teams, and be a strong team player

Risk & Controls Prf Resume Examples & Samples

Engage with 2nd and 3rd Lines of Defense, including the external auditor and regulators
Work individually and with the business to identify, develop and implement operational efficiency and controls
Ability to perform root cause analysis over operational events
Monitor and report on risks and issues
Escalate to management and perform analysis over emerging risks and issues
Present to management analysis over risks, controls and projects
Ability to negotiate and influence situations and people
1-3 years experience in conducting risk assessments
1-3 years experience in conducting audits at a public accounting firm or as an internal auditor
Experience in testing manual and automated controls
Strong Excel, PowerPoint and SharePoint skills
Bachelor’s degree in Business, related field or equivalent work experience in COSO, COBIT, SOX
MBA, other graduate degree or advanced studies including CIA, CPA, CFA
Experience in commercial real estate (Multifamily)

Risk & Controls Senior Resume Examples & Samples

Supporting the establishment and maintenance of SOX and operational controls across all I&CM business activities
Continuously monitoring I&CM control environment to identify control gaps, emerging risks and mitigation strategies
Tracking, monitoring and reporting on I&CM risk and control issues
Supporting implementation of new requirements related to Three Lines of Defense initiatives, Prudential Management Operating Standards and enhanced Capital Markets Compliance Program as needed
Bachelor’s degree in Finance or Accounting
5+ years of audit, control, compliance or operational risk experience in the financial services industry
Demonstrated ability to assess the adequacy of internal controls in mitigating risk
Experience implementing Sarbanes-Oxley requirements and/or Risk and Control Self-Assessments (RCSA)
Ability to develop effective relationships across the firm
MBA or other advanced degree a plus
Understanding of capital markets trading and/or middle and back office functions

Risk & Controls Senior Resume Examples & Samples

Work with 1st Line management to design processes and develop policies and procedures
Document risk assessments, including new and changes to existing processes
Lead engagements with 2nd and 3rd Lines of Defense, including external auditor and regulators
Experience in conducting audits at a public accounting firm or as an internal auditor
Strong written, verbal and visual communications skills
Excel, PowerPoint and SharePoint skills
Ability to develop relationships across the business and company
Experience in commercial real estate (Multifamily) securities or other fixed-income securities
Experience in CMBS capital markets trade execution/settlement, middle/back-office functions
Experience with compliance and/or operational risk functions within a financial services firm
MBA, other graduate degree or advanced studies including CPA or CFA

Risk & Controls Dir Resume Examples & Samples

Establish proper program structures, governance and resources
Provide leadership and direction across work streams to ensure proper planning, execution and escalation for all deliverables including governance, enterprise and divisional policy, standards, procedures, risk assessment and treatment, and metrics & reporting
Perform on-going prioritization and recalibration of the program implementation roadmap
Ensure transformation roadmap and delivery meet the requirements of regulatory guidelines and leading industry standard and practices, and aligned with Freddie Mac strategic objectives and organization goals
Engage stakeholders at all levels across businesses and divisions to ensure effective communication and sufficient stakeholder input and buy-in
Provide regular updates to the Chief Risk Officer - IT on the overall health of I&T risk transformation program and prepare necessary information to facilitate management discussion and decision making. This includes Board presentation preparation
Contribute to the strategic planning process of the I&TRM Program
Liaise with overall 3LoD maturity program on behalf of I&TR
10+ years of experience as senior technology or risk leader in private or public sector
10+ years of experience in risk, control and governance disciplines
5+ years of experience in managing large transformation program
Information Security expertise and skills
MBA or Masters in a technology or risk-related field
CISO experience

Risk & Controls Dir Resume Examples & Samples

Define the governance structure and framework for policies and standards within ITRM
Drive the development of all internal (relevant to ITRM processes) policies and standards
Oversee the maintenance of all ITRM policies and standards
Understand and maintain all ITRM methodologies
With the help of the ITRM Risk Architect, review IT policies that sit in the 1st Line of Defense risk management to identify gaps in control listings and provide feedback on updates to wording to ensure proper incorporation of IT risk controls
Take part in the approval process of IT policies that sit in the 1st Line of Defense risk management
5+ years of experience with policies and standards management
10+ years of experience in information risk management
Broad knowledge and experience in information security and IT risk management in general
Knowledge of Microsoft computer applications to perform daily tasks working with electronic documents (e.g., reviewing documents, updating documents)
Strong communication skills, both verbally and in writing, with associates at all levels
Ability to drive strategic alignment and mobilize execution
Strong expertise in technology processes and controls
Required: Bachelor’s degree
Preferred: certification CISSP, CISA
Preferred: Knowledge and skills across

Risk & Controls Dir Resume Examples & Samples

Provide up-to-date I&T risk posture at both aggregated and individual risk type level to the Chief Risk Officer – IT, as well as the respective risk committees and forums as needed
Act as the senior point of contact to assist and respond to questions from key stakeholders throughout the risk treatment lifecycle. Manage required escalations and communication
Provide input to assist maintain process, risk and relevant control framework at enterprise and divisional levels
Provide I&T guidance and risk advisory support to key initiatives
Collaborate closely with other I&TR leaders to mature the overall I&TR capabilities and drive transformation, with accountability to mature risk assessment lifecycle and treatment
Manage 2nd line risk assessment of all activities that consists of I&T risks, key areas may include
Third party, applications, processes, infrastructure, projects, personnel, facilities, user defined technologies, and mergers & acquisitions, strategic initiatives
Manage 2nd line risk assessment and provide independent risk view, including
Risk profiling (inherent risk assessment)
Risk and scenario analysis for information and technology risks
Residual risk
Risk trends and development
Facilitate and oversee management’s review of risk issues identified through risk assessment processes
Oversee, monitor and report risk treatment plan creation, approval, execution through completion in alignment with I&TR methodology and risk profile requirement agreed
Manage the validation and closure of risk treatment and action plans
Monitor maintenance of issues within the risk repository
12+ years of experience with risk assessments and treatment within information and technology risk, control and governance disciplines
Strong expertise in information risk and technology risk, and the risk management processes (e.g. risk assessment and risk treatment)
Experience in building risk management framework and teams at enterprise level
Understanding of risk governance, information risk and technology risk management principles, leading industry best practices, standards
Ability to oversee multiple information and technology risk management processes and key stakeholders simultaneously
Visible experience in stakeholder communication and engagement across businesses and divisions including IT and information security department, at all corporate levels including corporate Board
Ability to identify and challenge risks and enable appropriate decision making
CISO experience preferred
ISACA Risk IT framework
ISACA COBIT 5.0
ISO 31000-series and 27000-series, 13335

Risk & Controls Dir Resume Examples & Samples

Define risk appetite framework and methodology for I&T Risk
Facilitate risk appetite definition and development across businesses and divisional operational units to enable proper risk reporting
Define I&T risks metric and data requirements, including key indicators and threshold reporting for KRI, KCI and KPIs
Define business and functional requirements to support information and technology risks analysis, monitoring and reporting
Maintain integrity and quality of KPIs and KRIs
Oversee and manage I&T risks aggregation, analysis, trending, monitoring and reporting
Manage I&T risks, controls, compliance and coverage reporting
Own and manage risks process related to enterprise-wide risk management reporting tools and systems
Strive to achieve predictive risk monitoring
Experience in risk metric design, implementation and reporting at enterprise level
Strong expertise in information risk and technology risk, and the risk management processes
Understanding of business processes and interrelations to information and technology risk
Understanding of risk governance principles and industry framework and standards
Strong communication and stakeholder engagement skills
Experience in mobilizing initiatives in matrix organization
IT Risk management and Information Security experience
Knowledge and skills across
COSO
NIST Cybersecurity framework
Third party risk management

Risk & Controls Resume Examples & Samples

Develop and maintain strong business and technology relationships with Corporate functions such as Audit, Risk both within LOB’s and Global Technology Infrastructure
Manage and monitor consistent, effective monthly control testing across Core Server Support teams, providing management with transparency over what these risks are and how they can be addressed
Respond to regulatory enquiries and exams
Participate in or lead programs to improve or remediate the control environments
Manage the team of 6 – 8 members that is responsible for Server related Risk and Controls and represent Core Server Support team in audit, regulatory and other meetings
Automate repetitive tasks. Develop team’s capability to take up more challenging projects/tasks
Support the establishment of a culture focused on the pro-active awareness and improvement of the control environment
Performance Management, mentoring and coaching the team
Extensive experience in the risk & controls environment including risk identification, control evaluation, testing, sampling methodologies, technology controls, audit engagement process, controls substantiation, etc
Experience with regulatory and corporate requirements e.g. SOX, SSAe16, SAS70, Monetary Authority of Singapore (MAS) etc.,
Strong domain knowledge
Ability to adapt to a dynamic work environment and constantly changing priorities
Ability to develop strong client relationships and maintain them as a global team
Certified PMP/Prince II
Six-Sigma Knowledge/Certification
Demonstrable ITIL Process experience
Knowledge of controls frameworks: COSO, COBIT, FFIEC

CAS Risk & Controls Spec Resume Examples & Samples

Manage the Sarbanes Oxley 404 Compliance (SOX) Administration Process, including
Provide certain administrative support to the VP of CAS, including calendar management
As necessary, assist in the coordination of more complex travel arrangements for the CAS VP
Assist CAS Leadership team with logistical support such as organizing team lunches/special events, team room organization, off-site storage, etc
Manage weekly Brown Bag learning sessions (logistics, substitute session leaders, materials)
Maintain electronic and hard copy filing systems for key deliverable archives
Maintain a department Purchasing Card (Pcard) and process Pcard expense reports
Organize and process vendor invoices, ensuring timely payment
Respond to special requests, as necessary
2+ years of working in a support role in accounting/finance or equivalent experience with a large, complex and rapidly changing organization, preferred
Prefer BS/BA degree in Finance, Accounting or Information Systems
Strong and written communication skills required
Strong skills in organization and project management
Advanced analytical abilities
Focus on delivering results, and work ethic based on a strong desire to exceed expectations
Advanced computer skills and knowledge of working with multiple systems, including but not limited to Microsoft Office Suite and Sharepoint
LI-AD1

CTI Risk & Controls Automations Manager Resume Examples & Samples

Good interpersonal, verbal and written skills
Contributor
Act with urgency, courage and conviction
Be accountable – own the outcome
Act with integrity – do what is right
Understanding technology infrastructure
Analytical approach with an eye for detail and emphasis on accuracy

RBS IT Risk & Controls Resume Examples & Samples

Understand the production of Management control pack(MCP) for all regions (US, APAC, India and UK)
Understand the Financial Domain across various Risk Areas including Service Management, IT Management & Production Management
Understand the different scorecards, dashboards etc for MCP and enhance the existing automated process with ETL establish on SQL database. This also includes UI designing
Work with IT teams, including outsourced functions, requiring an understanding of technical issues relating to Application and the platform
Work closely with dev, infrastructure and business analysts, testing teams located at various locations
Ensure optimum performance and stability of the code developed and deployed
Coordinate with dev and test teams; ensure that the environments are available for all the test requirements. Coordinate with Infrastructure team and ensure that the application versions are promoted to QA/UA, pre-prod and prod environments
Perform development tasks
Perform analysis, estimation, development, testing and documentation for all assigned development tasks
Take ownership of issues through to delivery or issue resolution or escalation, as appropriate
Code optimization, performance tuning, demonstrations to QA, BM teams, SMT BM’s, builds and deployments
Take ownership of QA, UAT and Production releases
Ownership of Change process – raise Prod Change requests, follow up for approvals, maintenance of release and configuration plans
Develop specialist knowledge in relevant systems, sharing that knowledge, as required, with global teams
Liaise with stake holders on potential process improvements and work towards streamlining and standardizing all BM reporting and bring in the reporting factory concept over a period of time
Comply with Bank standards and established processes
Train, guide and mentor new hires in the team, as applicable
Proven working experience in web programming
4 - 6 years of hands on experience in programming skills and in-depth knowledge of modern HTML5/CSS
Familiarity with at least one of the following programming languages: ASP.NET MVC, JavaScript and C#
An understanding of how web applications work including security, session management, and best development practices
Adequate knowledge of relational database systems, Object Oriented Programming and web application development
Hands-on experience with network diagnostics, network analytics tools
Basic knowledge of Search Engine Optimization process
Aggressive problem diagnosis and creative problem solving skills
Strong organizational skills to juggle multiple tasks within the constraints of timelines and budgets with business acumen
Ability to work and thrive in a fast-paced environment, learn rapidly and master diverse web technologies and techniques
Development experience with SQL
Logical mind with keen analytical skills
Clear and concise communicator, in both written and verbal
Organised and efficient
Ability to respond well to pressure
Strong interpersonal skills with ability to work effectively across team boundaries
Familiarity with development life cycle and development tools
Previous experience of Investment Banking
Familiarity with Investment Banking domain concepts, workflow and terminology
Understanding of Credit Risk Domain

Risk & Controls Senior Resume Examples & Samples

Develop sound understanding of corporate Model Risk Policy and Standards, and related divisional Procedures
Review model documentation and ongoing model monitoring reports for accuracy, completeness and compliance with policy, standards and procedures
Facilitate ongoing model monitoring meetings and annual model reviews
Interact with model users, Enterprise Model Risk, Financial Engineering, Risk & Controls, and Internal Audit on behalf of I&CM modelers
Sheppard new models and model changes through the change management process
Facilitate UAT of new models and model changes; work with model owners and users to develop and execute test plans
Develop and maintain project plans, business requirements and business cases
Develop and maintain SharePoint site for model-related artifacts
Maintain model and model use inventory
Collaborate with 2nd line on further development and enhancement of model inventory application
Conduct extensive UAT on model inventory application
Establish controls for the mitigation of operational risk
Bachelor’s Degree plus 5 – 7 years of related experience, or combination of education and experience
Excellent interpersonal and communication skills, particularly written communication skills
Demonstrated experience with Microsoft Office (Word, Excel, PowerPoint, Visio, SharePoint)
Self-directed, with the capability of managing multiple priorities and efficient in proposing solutions
Experience in an audit or controls environment
Demonstrated experience creating and maintaining SharePoint site

Division Risk & Controls Dir Resume Examples & Samples

Ensuring divisional compliance with all Single-Family Business and corporate risk management frameworks, including developing and maintaining appropriate process, risk, control, and issue documentation
Applying sound judgment in the evaluation of risks and controls, including effectively challenging the identification and acceptance of risks and the adequacy of controls
Facilitating robust and insightful discussions during Risk and Control Self-Assessments to ensure appropriate evaluation of risks and documenting self-assessments in a comprehensive and cohesive manner
Performing effective root cause analysis by identifying control gaps and weaknesses, analyzing impacts, and recommending corrective actions as appropriate
Monitoring status of audit and testing activities and providing updates to divisional leadership, as well as facilitating interactions with auditors and testers as needed
Promoting an effective risk management culture by developing programs to increase risk and control awareness and understanding for business partners
Identifying and reporting key risk and operational control indicators
Hiring, supervising, developing and mentoring staff
7+ years of relevant risk and control experience, including operational risk/process management and/or audit experience
Strong understanding of Prudential Standards and COSO
Prior experience in the financial services industry, including knowledge of primary and/or secondary mortgage markets
Analytical and problem solving mindset; demonstrated intellectual maturity and ability to interpret ambiguous and/or complex issues
Solid interpersonal skills with the ability to develop positive working relationships and interact effectively with all levels of staff and with multiple business partners and stakeholders; ability to collaborate, influence and gain the support of others without damaging relationships
Proven people management skills, including delegation of assignments to subordinates and successful coordination with multiple business partners and stakeholders
Excellent verbal and written communication skills with the ability to facilitate large group discussions; executive-level communication experience
Highly motivated and energetic self-starter with strong organizational and time management skills and proven ability to operate in a fast-paced changing environment, including the ability to effectively and independently manage multiple projects simultaneously
Advanced knowledge and expertise of Microsoft Excel and experience with standard business tools (Windows, Office Professional, Visio, SharePoint, etc.)
Advanced studies, degrees or certifications such as MBA, CIA or other relevant professional certifications
Sarbanes-Oxley (SOX) and Basel experience

Risk & Controls Prf Resume Examples & Samples

Assist with operational risk reporting, including
Support the execution of the Operational Risk Committee (ORC), including assisting with the production of committee reporting packages and meeting administration/coordination related activities
Lead data mining and analytical efforts for the team
1+ years of related work experience
Strong working knowledge of Microsoft Excel, PowerPoint and Word
Strong attention to detail and time management skills
Strong working knowledge of data mining tools such as Visual Basic Access Database
Experience in risk and controls, including governance frameworks such as COSO and COBIT, etc

Risk & Controls Operating Group Lead Resume Examples & Samples

Line of Business (LOB)/AML Partnership (50%)Establish and maintain collaborative relationships with LOB management and develop knowledge of LOB products, operating environment, customers and trends
Apply understanding of LOB operating environment and in-depth knowledge of AML and OFAC regulatory requirements to determine implications of AML regulations on LOB policies, processes and procedures. Anticipate potential issues related to changes in the regulatory and/or operating environments
Regularly interact with LOB staff regarding AML and OFAC risk management issue tracking and initiatives. Represent the U.S. AML Office in meetings and initiatives to boost AML/BSA compliance efforts/programs
Advise LOB management on AML regulatory implications of new products and processes
Report LOB AML compliance issues to the AML Risk and Controls Manager
Understanding of the BMO Bank's business, processes and operations
Knowledge of the Bank's approach to risk management including Audit, internal controls and/or similar oversight procedures preferred. Demonstrated ability to interpret and disseminate regulatory changes and their application to BMO Bank. Demonstrated ability to analyze applicable regulatory risks and apply understanding to development of policies and processes

Risk & Controls Specialist Resume Examples & Samples

Maintain Sarbanes-Oxley (SOX) compliance within the business
Participate on the implementation team for the Landing Systems FASB/IASB Revenue Recognition standards
Prior experience with Revenue Recognition and clear understanding of the new rules
Demonstrated experience with ERP platforms, SAP FICO preferred
Must be able to travel up to 25% (2 weeks per quarter) domestically and internationally
This position is eligible for relocation assistance

CCB In-business Risk / Controls Resume Examples & Samples

FORMACION BASICA
Professional Degree in Economics, Business Administration, Finance or Industrial Engineering, or related
Intermediate to Advanced English
Strong sense of compliance and controls
Highly motivated and self-driven; works well within a small team
Strong ability to prioritize and be deadline driven
Hability to understand and give regulatory advise
Undertanding of business and processes
Honesty, integrity and independence
Solid Office product skills and Management Systems
QUALIFICATIONS / EXPERIENCE REQUIRED
3+ years within Citi or similar banking / controls and performance
Relevant Business Administration degree, or similar that shows close connection to Business Performance and Management activities

Senior IT Risk & Controls Specialist Resume Examples & Samples

Lead the assessment and documentation of IT and information security controls as part of on-going compliance efforts (SOX, SSAE-16 SOC, etc.)
Certified Information Systems Auditor (CISA) or equivalent professional certification (e.g., CRISC)
Knowledge of and experience with

Senior Manager, KCB Business Risk & Controls Resume Examples & Samples

Lead the KCB Sales & Service Monitoring Program design and execution in accordance with the framework, business strategies, and/or regulatory requirements/guidance operating with a lens and understanding around client impact when assessing and monitoring sales and service strategies and practices
Provide oversight in assessing KCB sales and service practices to ensure transparent, fair and equitable treatment of all clients, accurate depiction of product/service features to meet client needs and overall financial wellness
Direct testing/assessment of performance goals, incentive programs and other rewards (including payouts), sales strategy, culture and education tools/communications, account opening/closing procedures, sales and service controls, client complaints, and HR/Ethics Helpline issues for alignment with safe, sound, ethical behaviors and strategic objectives
Provide direction and oversight for quarterly assessments of testing, control effectiveness, residual risk, risk metrics and encourage proactive identification of weaknesses and/or control gaps, while supporting sound recommendations to address control gaps
Monitor, and provide guidance on findings, remediation plans, and exception requests, escalating risks and issues outside of risk appetite, as applicable
Provide guidance and support to lines of business to better understand, own, proactively identify, measure and manage sales and service risk, and integrate risk mitigation into their strategic decisions and management activities
Strengthen the first line of defense by ensuring sounds sales and service business practices, processes, procedures, persons, and technology exist to manage risk within the corporate appetite
Provide direction on the incorporation of sales and service risks and controls into the risk and control self assessment process and quarterly risk profile within the Governance Risk and Compliance application,
Provide overall monitoring and oversight of sales and service risk, control and compliance activities, along with periodic reporting to senior management, risk review and regulators. Escalate issues to senior leadership and risk management as needed
Facilitate the implementation of risk management policies, programs and procedures across KCB and channels, while maintaining engagement of line of business stakeholders and corporate risk management
Recruit and develop a high performing team to support risk, control and compliance activities, along with mentoring, setting priorities, directing efforts and monitoring employee performance, as applicable
Continuously monitor the evolving regulatory environment for new and changes to sales and service practices laws, regulations and guidance and proactively enhances processes to maintain compliance
Coordinates sales and service practices audit and pre-regulatory exam preparation activities; facilitates responses to findings; validates remediation plans are appropriate, resolved timely, and corrective actions implemented prior to closure; along with providing periodic updates to management
Support development of change management planning, design and implementation including communication and training
Develop good rapport and communication, and create a network of resources within lines of business, corporate risk management and legal partners, risk review and regulators
5 + years of experience with internal audit, risk management or other independent review roles, preferably in the financial services industry with Community Bank business segment experience a plus
5 + years of increasingly complex assignments and projects spanning multiple functional disciplines, in addition to experience in building and leading a high performing team
Heightened understanding of financial services industry landscape and regulatory environment
Proven experience working successfully across business lines, disciplines and leadership levels within an organization
Strong organizational skills and ability to manage multiple projects and competing priorities to achieve goals with minimal supervision
Credible leader with strong interpersonal skills and an established reputation for interacting effectively with all levels of staff, including executive managers and regulators, and gaining support for ideas/solutions. Build and sustain collaborative relationships with an emphasis on team work and accountability
Ability to clearly articulate vision for future state; provide big-picture view/ enterprise view; decisive and directive when necessary
Foster and encourage frequent, open and honest feedback; learn from setbacks and mistakes to drive improvements; independently seeking learning opportunities
Proven analytical and problem solving skills, decision making and ability to drive continuous improvement
Proficient use of personal computers including use of Microsoft Office and various web-based software applications and databases

Risk & Controls Specialist Resume Examples & Samples

To lead the Control & Audit compliance agenda within Global Diageo Business Service or Group Functions
To support the Management in delivering best-in-class control environment, increase control and compliance awareness and coordinate / ensure smooth delivery of internal control procedures
Provide management support during internal and external audit
Takes time out to identify key networks and starts to build on these relationships
Anticipates stakeholder needs based upon current, past experience and understands priorities
Pushes forward own ideas about improvements to current approaches; speaks up to check understanding
Identifies root cause of issue and potential solutions involving all impacted parties
Understands accounting principles, accounting policies and standards and how they can be applied to optimise performance and control risk
Actively searches for risks using internal and external data sources, monitors predictive indicators within and outside of own function
Analyse available information and trends and act accordingly

CDO Risk & Controls Resume Examples & Samples

7-10 years control/compliance experience in a medium, Multi-national Corporation or an entity with similar global reach and complexity
Experience in data management and project management
Knowledge of data quality and data acquisition life cycle
Effective interpersonal skills and ability to participate in and lead "virtual" teams
Solid analytical and problem-solving abilities
Demonstrated organization skills with the ability to multi-task effectively in a high-volume environment
High degree of attention to detail
Ability to quickly take on new tasks and complete them within deadline
Power User of: Word; Excel; Access; PowerPoint and

Risk & Controls Senior Resume Examples & Samples

Support the preparation and execution of the Risk & Control Committee (R&C) reporting process, including assisting with development of monthly reports to stakeholders, quarterly reports to the Senior Operating Committee and Audit Committee/Risk Committee of the Board of Directors
Support the quarterly BARC Aggregation Analysis process, including assisting with the production of the related reporting to the ORC, ERC and BOD
Support monthly Operational Key Risk Indicator reporting, including working with business area liaisons to gather and understand monthly results
Support other operational risk reporting demands as needed (e.g. annual 1st Line of Defense assessments, etc.)
Support automation needs/efforts for the team
Excellent interpersonal and communication skills (written and oral)

Risk & Controls Dir Resume Examples & Samples

Execute a current state assessment of the data management landscape and processes
Define future state data management model with input from major data owners and consumers
Develop Enterprise Data policy and standards
Build and manage an I&T data management requirement library based on the standards
Perform on-going risk assessment and analysis, monitor risk treatment plans, and facilitate risk trade off decisions
Perform independent risk oversight of data strategy and roadmap implementation
Oversee day-to-day execution of data management processes once implemented
Identify and implement tools to facilitate data risk management processes and provide benchmark reporting
Build out a supporting data management risk team and fully integrated with overall information risk management processes and operating model
10+ years of experience with data management in private or public sector
Bachelor’s degree in related field, Master's preferred
ISACA Risk IT frameworko ISACA COBIT 5.0

IT Risk Controls Specialist Resume Examples & Samples

Coordinate select operational risk processes and activities
Fluent English (both speech and writing)
Good working knowledge of MS Office (Excel, PowerPoint)
Experience with/knowledge of control frameworks (COBIT, NIST, ITIL or others)
Strong demonstration of UBS's principles and behaviors
Ideally, some experience in international IT service, financial or consultancy organization
Professional qualifications such as CISSP, CISA, CRISK, etc) will be distinct advantages

Senior Manager Risk Controls & Operational Effectiveness Resume Examples & Samples

Minimum of 5 years of leadership experience within Brokerage industry
Minimum four years proven and broad based risk experience or equivalent, including experience of Audit, Risk, Compliance or Security related activity or equivalent
Proven experience in partnering and influencing employees and key stakeholders to meet and exceed business goals
Extensive knowledge of the Canadian investment industry, including financial products, markets, regulations and industry practices, typically acquired through extensive management experience within the on-line brokerage environment
Proven management and leadership skills, with solutions focus
Licensed with the IIROC as Supervisor ABM/ BM
Completion of the CSC and CPH (Canadian Securities Course and Conduct and Practices Handbook)
Completion of the Branch Manager’s Course
Completion of the Partner, Director and Officers exam an asset

Division Risk & Controls Prf Resume Examples & Samples

Draft risk and control matrix and demonstrates an understanding of procedures performed to test controls
Obtain and analyze data to provide management information on business operational results and risks
Produce robust analytical reports that provide a deep awareness and understanding of key business challenges and issues
Bachelor’s degree in Business, related field or equivalent work experience
Experience in data analytics and reporting
Experience in commercial real estate (Multifamily) or financial services firm
MBA, other graduate degree or advanced studies including CFA

Risk & Controls Senior Resume Examples & Samples

Assisting in the development of annual test plans
Conducting process design reviews
Developing sampling methodologies (for testing) and test scripts
Testing primary/key operational and compliance controls and documenting test results
Ensuring compliance with corporate operational controls testing policies/standards
5-7 years of operational risk/process management and/or audit experience
Prior experience with controls testing (design reviews and operational effectiveness testing)
Sound analytical and communications skills
Knowledge of primary and/or secondary mortgage markets
Previous big four experience and/or relevant professional certifications (Six Sigma green belt/black belt, CIA, etc.) a plus

Risk & Controls Senior Resume Examples & Samples

Provide resolutions to an extensive range of complicated problems. Solutions are innovative, thorough, and practicable
Work under limited direction and open to collaboration
Independently determine and develop approach to solutions. Work is evaluated upon completion for adequacy in satisfying objectives
Represent the organization as the principal customer contact
Often perform project leadership role. Interact with internal business partners, senior management and personnel on matters frequently requiring coordination across organizational lines
Lead the development and execution of governance processes; ensure timely response to project requirements and quality deliverables from the governance team
1-2 years of experience developing and/or working with SharePoint sites
Expert knowledge in MS Office, including Excel and Word (must know how to perform V-lookups, pivot tables, complex filtering of data, and other advanced functions)
Database design, development and management
Works under limited direction; independently determines and develops approach to solutions. Work is evaluated upon completion for adequacy in satisfying objectives
Interacts effectively with Multifamily staff, management and internal business partners on significant technical and business matters frequently requiring coordination across organizational lines
Ability to work well in team settings as well as independently
Ability to work with remote business partners, who may be located in different geographic locations and time zones
5-7 years of related professional experience required, with 2 or more years of experience specifically related to business continuity and/or disaster recovery
CBCP, MBCP, MBCI or similar business continuity/disaster recovery certifications a plus

Risk & Controls Prf Resume Examples & Samples

Developing and maintaining documented self-test plans for the 1st LOD
Planning and performing 1st LOD testing of control design and effectiveness consistent with the corporate self-testing standard
3 or more years of Audit and/or Risk Management experience within the financial services industry
Proactive self-starter with good time-management skills and a strong work-ethic
CPA, CIA or other professional certification

Risk & Controls Mgr Resume Examples & Samples

Manage the Compliance team and ensure all activities of Risk and Control Governance and operations are carried out as expected throughout the service lifecycle
Recommend changes to policies and establish procedures that affect immediate organization's operation
Work on issues of diverse scope where analysis of situation or data requires evaluation of a variety of factors, including an understanding of current business trends
Act as an advisor to subordinates to meet schedules and/or resolve technical problems
Manage the coordination of the activities of a section or department
Recommend changes to policies and established procedures as required
Occasionally lead a cross-functional / cooperative project team efforts
Develop and maintain effective critical success factors and key performance indicators
8+ years of IT management and technical operations experience
3+ years in managing compliance functions as described above
Bachelor’s degree in Computer Science, Information Technology, related field or equivalent work experience
Effective leadership in managing technical teams, performance management, budget management, partnership, technology integrations, technical operations and risk management
Experience in establishing and managing industry best practices and automation to effectively discover and resolve potential unauthorized changes using tools such as Tripwire (file integrity solutions), ServiceNow
Commanding experience in partnering with stakeholders, change owners, vendors and support teams effectively manage day to day operations and to continuously sustain and improve the processes and automation
Experience in working with audit teams to understand COBIT/COSO controls and issues and develop and execute action plans to ensure that the issues are prevented from occurring and the process is continuously improved
Knowledge in other related IT Service Management Processes such as: Incident Management, Problem Management, Configuration Management (including CMDB), Release Management, IT Service Continuity Management, Service Level Management, Service Validation and Testing
ITIL v3 foundation and any ITIL V3 intermediate level course
Excellent Relationships Management, Inter personal skills
Strong Conflict Management, Communication, Analytical and Problem solving, Risk management

Senior Risk & Controls Specialist Resume Examples & Samples

Facilitate the execution of Risk and Control Self-Assessments (RCSAs) with process owners and key stakeholders and document the risks and controls
Assist in assessing RSD’s compliance with ORM policies and standards, identifying any potential gaps and assessing and monitoring related remediation plans
Develop ORM training and presentation materials as needed
Prepare RSD’s Operational Risk Committee reporting, i.e., gather and synthesize operational risk information including key risk indicators (KRIs), loss events, review results, and remediation efforts
Update operational risk heat maps
Collaborate with RSD’s business areas to formalize and implement a third-party risk management (TPRM) process that adheres to the enterprise-wide TPRM policy, including developing and maintaining an inventory of third parties
Coordinate ORM activities with ERM, Compliance and Internal Audit to ensure consistency and alignment
Update and enhance the SOx/MAR process narratives and other related documentation based on interviews and process observations with process owners
Identify the key controls of the processes, assess the adequacy of their design, and provide recommendations for control enhancements as needed
Test the operating effectiveness of the key controls
Interact and coordinate with Internal Audit on SOx/MAR activities
Bachelor’s degree in Business or Economics
2-4 Years SOx and internal controls experience, preferably in the life and annuity industry
1-3 years’ experience related to operations and operational risk management preferred
CPA with public accounting experience preferred
Analytical, problem-solving, project management and process skills
Ability to collaborate with operational and financial experts to evaluate, identify risks, provide risk and controls assessment guidance and propose enhancements to the design of controls
Excellent interpersonal and communications skills, including ability to demonstrate diplomacy in sensitive situations and to interact effectively with all levels of leadership
High level of professionalism and ability to work independently
Ability to prioritize and execute on multiple, simultaneous and complex priorities

Head of Risk & Controls Resume Examples & Samples

Thorough understanding of how to develop a key controls framework
Understanding of the importance of IS & Programme controls
ARIS proficient (desirable)
MS Excel, Word, Power Point and Outlook proficient
Ability to manage change and capacity to work flexibly whilst prioritising deliverables and planning accordingly
Thorough understanding of what delivers great customer service
Ability to display confidence and creditability

Wealth Management Client Onboarding Risk & Controls Resume Examples & Samples

Work closely with key business stakeholders, including but not limited to Regional COOs, Legal, Compliance, Business Management, Oversight & Control, and Technology on fulfilling responsibilities of the Client Onboarding Risk and Controls team
Support and proactively manage the Risk Controlled Self Assessment (RCSA) process; partnering closely with the RCSA Manager to identify processes, activities, risks, and controls related to the Client Onboarding model to maintain a robust global assessment
Assess business risks with current processes; Work with Regional Leads and teams to ensure adequate detective and preventative controls are in place to mitigate risk
Support the administration of our global RCSA testing cycle; manage testing calendar; validate BSDs; assist in performing control tests; and validate test strategies
Identify gaps in procedures and/or controls; liaise as necessary with other business units and stakeholders to escalate issues for resolution
Proactively engage in the management of Action Plans within client onboarding organization, including facilitating the opening of action plans, issue and severity identification, identify milestones, oversight of plan tasks, validation, manage chain of approvals and closure
Foster awareness of the RCSA and Action Plan process across the Client Onboarding organization and create process, policies, and procedures as necessary to proactively manage the RCSA risk stripe and drive global consistency
Perform root cause analysis and work with appropriate groups as part of the Risk & Controls team recommending controls and solutions when researching risk events, operational processes, and new regulatory initiatives
Administer quality metrics and reporting support aimed at identifying recurring control issues and track trends. Proactively assess areas for process improvement and make/propose changes as needed
Develop and manage timely and effective communications across the line of business
Create and support various management reporting tools, including scorecards, weekly executive summaries on open action plans, and other executive reporting needs
Act as a subject matter expert on RCSA matters
Facilitate meetings, prepare documentation, and meeting minutes, as necessary
1-3+ years of experience within a financial services, operations, audit/compliance field preferred
Knowledge of AML/KYC requirements preferred
Strong knowledge of risk and control techniques/procedures
Experience in risk management techniques from both a detection and mitigation perspective
Ability to work effectively in a team environment and ability to adapt to a rapidly changing business and technological environment
Strong organizational and time management skills, including prioritization

Risk & Controls Senior Resume Examples & Samples

Developing and maintaining 1st LOD testing work papers (e.g. testing results, identifying exceptions and making recommendations for process improvements)
5 or more years of Audit and/or Risk Management experience within the financial services industry
Solid understanding of Sarbanes-Oxley requirements and Risk and Control Self-Assessments (RCSA)
Understanding of capital markets trading, securitization and/or middle and back office functions

Risk & Controls Mgr Resume Examples & Samples

Building and supervising a team of experienced and junior staff to execute self-testing actives
Providing feedback, coaching and advice to staff to aid in professional growth and development
Developing and administering programs, procedures, project schedules and team performance requirements for achieving self-testing objectives
Managing the assigned self-testing plan, follow-ups, and other projects to ensure that they are completed on time and in keeping with the corporate self-testing standard
Overseeing the preparation of testing reports to identify and communicate issues and recommendations for process and control improvements where necessary
Developing and maintaining detailed procedures to document self-test plans and work papers
Partnering with appropriate groups within I&CM and Investments CFO to ensure timely and appropriate corrective actions are implemented
Providing the I&CM COO and Director of Risk and Controls with timely status updates and communication of issues
Developing management reporting related to self-testing activities
8 or more years of Audit and/or Risk Management experience within the financial services industry
Bachelor’s degree in Accounting, Finance, or related discipline or an equivalent combination of education and experience from which comparable knowledge and skills may be acquired
Ability to analyze and assess the adequacy of operational controls and identifying opportunities for process improvements and efficiency gains
Solid understanding of operational risk management and audit industry best practices
Proactive self-starter with good people management skills and a strong work-ethic
Experienced supervising staff and ability to motivate a team to achieve success
Ability to think critically and logically
Ability to develop effective relationships across the firm, including with senior leaders
Public accounting or internal audit experience preferred
Knowledge of secondary mortgage market and Freddie Mac’s business
Understanding of capital markets trading, securitization, and/or middle and back office functions

Risk & Controls Mgr Resume Examples & Samples

Implement policies, programs, practices and supporting technology that assess, monitor and report the operational risk profile of the Single Family Operations Division
Provide leadership and subject matter expertise/training to the business in support of compliance with Operational Risk Management framework components
Analyze data captured for Business Risk Profile reporting, and ensuring thorough execution, documentation, and loop back for action as required by the Operational Risk Management Framework components
Maintain diligent follow up on Issues Management activities with appropriate stakeholders to communicate all findings and conclude all action plans as directed, including all applicable summary and trend reporting for transparency
Ensure all owned processes, methodologies, and procedures are kept current, consistent with documentation requirements, reviewed periodically for compliance and assessed against the business need and reputation risk
Coordinate, facilitate and oversee risk assessments to flesh out key risks (operational, compliance, technology, 3rd party, etc.…)
Formulate independent point of view and effectively challenge the business on a diverse scope of issues
Swift escalation of new risks and issues when exposure exceeds the businesses appetite
Provide guidance and support to the business in the development and documentation of risk, issue, and control descriptions and remediation plans
Embed the risk function in the change process to ensure material risks are fleshed out and addressed proactively
Partner with Vendor Risk management to ensure material 3rd party risk is regularly assessed, managed and accounted for in the risk system
Oversee the development of Risk Acceptance proposals to ensure they’ve been properly vetted and challenged prior to presentation to executives for decision
Facilitate Root Cause Analyses and impact assessments for qualifying operational loss events. Ensure timely entry of event documentation in event recording system
Support of other risk and operations related activities as warranted
8-10 years of experience in either operational risk, compliance or audit including 2+ years at a manager level
2+ years of people management experience required
3+ years of risk advisory experience at a big 4 firm or the like is preferred
Undergraduate degree or equivalent experience required. Advanced degree preferred
Proven ability to partner and work collaboratively with all groups and levels including Directors and Vice Presidents, cultivating and developing productive and trusted relationships
Proven experience operating at high standards of quality and accuracy within required timeframes
Possess critical thinking skills capable of analyzing complex situations and distilling its critical components

Risk & Controls Resume Examples & Samples

Learn about business processes, risk management, information technology, IT governance, IT audit, IT risk management in a challenging client facing environment
Analyse how organisations, processes and IT systems work
Approach technology and business issues from a risk point of view, such as risks relating to information security, IT operations, change management, IT projects, third party relationships, governance, quality, continuity and regulation
Interview clients and analyse information to evaluate processes, assess controls and risks, validate findings and help develop remediation strategies
Advise IT management to set up, improve and manage their IT and related processes and to align these to better practices and risk appetite
Help clients strengthen their resilience and prepare them to respond effectively to, and recover from, incidents and crisis situations
Help share findings and recommendations to the client through reports and presentations
Work independently as well as in a team on range of projects at a range of clients
Work in self-managing teams and take responsibility for your work and the work of team members
Take charge of projects and client relationships
Be responsible for leading teams and coaching colleagues
Practice and sharpen business, people management, coaching, presentation, interview, and many other skills
Play a role in developing the broader team, e.g. through training and team building

Risk & Controls Senior Resume Examples & Samples

Support the preparation and execution of the Issues Management Update reporting process, including assisting with the production of monthly reports to stakeholders, quarterly reports to the Enterprise Risk Committee (ERC) and Audit Committee/Risk Committee of the Board of Directors (BOD)
Bachelor’s degree in Accounting, Finance or related field of study plus 5-7 years of related experience, or combination of education and experience
Demonstrated understanding and experience in audit or risk and controls framework, including governance frameworks such as COSO and COBIT, etc
Strong working knowledge of Microsoft Office (Excel, Access, PowerPoint, Word, SharePoint)
Ability to understand and work with a diverse group of stakeholders across the company

Risk & Controls Prf Resume Examples & Samples

Identifying deficiencies in the design, operating effectiveness of controls and providing recommendations
Conducting testing of assigned controls and producing well-written work papers for review by the Supervisor
Creating clear and concise documentation
Working independently under normal supervision
Minimum of two years of IT Audit experience with a focus on risk based auditing
Bachelor’s degree in Auditing, Management Information Systems, Information Technology, Computer Science or Accounting with a focus on Accounting Systems or related discipline
Knowledge of Sarbanes-Oxley and COBIT and strong analytical skills
Outstanding people, organizational as well as written and oral communication skills
Must work well in a team-oriented environment as well as independently
CISA certification preferred
Advanced degree and professional certifications such as CISSP, CISM, PMP or CIA
Prior experience auditing IT Operations (Unix, Mainframe, Windows, distributed databases, web technologies, enterprise architecture, virtualization, network)
Knowledge of industry standards such as NIST, ISO, and ITIL
Banking/financial services experience

Risk & Controls Resume Examples & Samples

Lead a range of technology risk engagements (including IT internal audit, IT risk management and IT controls advisory) across our clients in Financial Services, Public Sector, and Technology, Media and Telecoms
Work with senior client stakeholders to help them better manage their technology risks through pragmatic and fit for purpose solutions
Lead teams to achieve successful engagement outcomes for the client and our business, including managing engagement risk, quality and finances
Contribute to the development of our people through on-the-job coaching and structured training
Support new revenue streams through identification and qualification of opportunities in the market, and contributing to business development activities
Contribute to streamlining and innovating our technology risk service offerings

Senior Manager, Supervisory Risk & Controls Resume Examples & Samples

Ability to influence others through the development of strong working relationships
Proven supervision and oversight skills with a working knowledge of industry standards and policies; and
Experience executing both strategic and tactical objectives
Highly effective organizational and time management skills
The ability to perform a gap analysis
The ability to identify root cause
Experience implementing process improvements
The ability to work independently, with minimum guidance; and
The ability to work on multiple projects and prioritize based on regulatory risk and business needs

Lead Manager, Business Risk & Controls Resume Examples & Samples

Responsible to lead, coordinate and provide oversight for the design and execution of specific risk programs and initiatives; provide ongoing oversight and governance
Proactively evaluate internal and external research, including leveraging peer benchmarks to identify current and emerging risk issues and develop response strategies to address gaps
Strengthen the first line of defense by implementing and ensuring sound business practices, processes, procedures, people, and technology exist in the businesses and that external events and emerging risks are considered and managed within the corporate risk appetite
Work with various stakeholders and peers to develop and connect risk impacts across KCB
Along with Director, KCB Business Risk & Controls to help drive the culture around risk in all businesses
Provide guidance and support to lines of business to better understand, own, proactively identify, measure and manage risk; integrate risk mitigation into strategic decisions and management activities
Direct and provide oversight for the development and implementation of risk and control self-assessments and related risk profiles across KCB
Provide direction and oversight for quarterly assessments of testing, control effectiveness, residual risk, risk metrics and encourage proactive identification of weaknesses and/or control gaps
Monitor, and provide guidance on findings, remediation plans, and exception requests, escalating risks and issues outside of risk appetite
Complete the quarterly risk profile including facilitating review and approval with executive leadership and corporate risk management
Provide overall monitoring and oversight of risk, control and compliance activities, along with periodic reporting to senior management, risk review and regulators. Escalate issues as needed
Design and execute risk-related oversight processes, initiatives, supplementary reviews and assessments as warranted to proactively identify risks and/or maintain control design/monitoring sustainability and accountability
Stay abreast and provide guidance to senior and executive leadership on corporate risk assessments, self-identified issues, risk review and regulatory exam findings, vendor/third party management responsibilities, customer complaints, losses, customer facing materials requirements, security and technology risk acceptances and any other factors that may affect internal controls, testing, and reporting
Lead the Business Initiative Decision process, providing guidance and support to lines of business in completing all phases of the process
Continuously monitor the evolving regulatory environment for new and changing consumer laws, regulations and guidance and proactively enhance processes
Develop methodology to measure and report risk and internal control weaknesses, and establish risk related meeting, reporting and management communication cadence
Coordinate audit and pre-regulatory exam preparation activities; facilitate responses to findings; validate remediation plans, resolved, and corrective actions implemented prior to closure; along with providing updates to management
Lead business continuity, incident response, compliance training, and other cross functional risk management and support activities ensuring external events are considered and managed accordingly
Recruit and develop high performing Risk Managers and Analysts to support risk, control and compliance activities, along with mentoring, setting priorities, directing efforts and monitoring employee performance
Represent Community Bank on Risk Governance Sub-Committees, Operating Councils and Working Groups as applicable
Develop change management planning, design and implementation including communication and training
Bachelor’s Degree with emphasis on business and risk management. Master’s degree preferred
At least 7 years of experience with audit, risk management or other independent review roles, preferably in the financial services industry with Community Bank business segment experience a plus
At least 7 years of increasingly complex assignments and projects spanning multiple functional disciplines, in addition to experience in building and leading a high performing team
Authoritative understanding of financial services industry landscape and regulatory environment
Ability to achieve quality results in a fast-paced, deadline driven, competing priority environment
Demonstrate sound and effective critical thinking, problem solving and conflict management skills in a dynamic, fast paced team environment; ability to “connect the dots”
Strong organizational skills and ability to manage multiple projects and competing priorities to achieve goals
Self-disciplined, self-motivated, and adaptable with the ability to lead others towards common outcomes and execution of strategy, while sharing knowledge, insights, and experiences to help others develop
Credible leader with strong interpersonal skills and an established reputation for interacting effectively with all levels of staff, partners and stakeholders
Ability to clearly articulate vision for future state; provide big-picture view/ enterprise view; decisive and directive
Highly polished and confident communication ability; possesses written, verbal and stand-up presentation skills, adjusting communications to audience

Operational Risk & Controls Management Resume Examples & Samples

To support the design and implementation of the ServCo control framework
To embed the control framework into BAU ensuring that all appropriate MI reporting and governance structures are in place and that this meets the requirements of our key stakeholders
Maintain oversight of the BAU control framework, managing any change requirements and continuous improvements that ensure the framework remains fit for purpose
Design, embed and govern in BAU the Appointed Representative (AR) framework for ServCo. Ensuring the framework continues to deliver all regulatory requirements
Ensure the ServCo has internal controls in place that meet the SUP12 requirements from the FCA handbook for Appointed Representative
Design and implement the controls interface between ServCo and Trading Entities at a Service level for 1st Sep. This involves the coordination across the controls community to identify key controls for each service and the ongoing reporting / performance of the key controls back to the Trading Entities
Monitor the output from the controls interface post 1st Sep and focus on continuous improvements as BAU engaging across multiple levels of key stakeholders
Design, implement and monitor the ServCo Internal Accountabilities Framework, ensuring there is an appropriate reasonable steps framework in place that meets regulatory requirements
Support the implementation and ongoing maintenance of the ServCo Controls Committee
Each new design of the control framework will require the appropriate syndication and interlock within ServCo and with our Trading Entity stakeholders

Risk & Controls Mgr Resume Examples & Samples

Managing I&CM self-testing plan and follow-ups to ensure that they are completed timely and aligned with the corporate self-testing standard
Providing senior management with timely status updates and communication of issues
Bachelor’s degree in Accounting, Finance, related discipline or equivalent work experience
Ability to analyze and assess the adequacy of operational controls and identify opportunities for process improvements and efficiency gains

Icg-tts-in-business Risk & Controls Head-svp Resume Examples & Samples

Deep understanding of the TTS product suite
Leadership skills including ability to work effectively and drive results with a virtual global team
Ability to build rapport and work closely across geographies and corporate functions
Experience, or exposure to Transaction processing, a plus
Knowledge of regulatory environment
Risk based thinking and analytical mind set
Self-starter who can work independently
An estimate of 15% travelling required

Risk & Controls Director Resume Examples & Samples

Lead all efforts relative to internal and external audits ranging from client requested to financial statement audits to independent SOC audits
Develop and execute comprehensive project plans to ensure the collection of requested data, the communication of control changes and the delivery of all audit materials and reports are timely, complete and accurate. Oversee and lead all audit finding remediation efforts
Proficient knowledge of all product solutions across the Health, Wealth and Career verticals globally. Manage external audit relationships from contracting through ongoing strong business partnerships
Direct team in the execution of reviews relative to the design and effectiveness of controls for operational processes, system implementations, company policies, new products and services
Analyse review results, draw conclusions and make recommendations to senior management regarding the development and implementation of new controls as necessary
Partner with Technology and the business to develop, gain funding and approval for IT solutions, present case to Senior Leadership at Capital Governance and budgeting meetings
Oversee the corporate sub-contractor control review program
Direct external evaluations of sub-contractor operation controls, data protection safeguards and physical/environmental controls
Lead annual risk assessment and prioritization discussions with the leadership of Legal, Compliance, Product and the business
Present review results, findings and remediation plans to key stakeholders. Oversee all remediation
Extensive experience within Risk & Controls environment
Strong leadership skills; ability to model desired work values and practices for other team members and create a team setting that encourages both individual and team accomplishments
Excellent oral and written communication skills; ability to present complex issues/data with a high level of clarity and impact
High degree of discretion and independent judgment with an understanding of controls
Demonstrated ability to plan, manage and execute projects while ensuring deliverables and specifications are met
Knowledge of audit concepts, GAAP, defined benefit, defined contributions and/or health and benefits administration a plus, excellent technical, analytical, problem solving, interpersonal and communication skills, MS Office Suite, Excel and Word

Risk & Controls Business Partner Resume Examples & Samples

Partner with the functional owner and business users of the applications to develop long term strategies to meet the business needs while considering ITGC and ICFR
Working with user department and stakeholders, provides subject matter expert advice and consultation in regards to internal control on the design and implementation of effective technology processes across the company
Monitors the results of IT general controls related to change management, access and segregation of duties and the activities impact accounting systems
Participates in the establishment, organization, and implementation of short- and long-range goals, objectives, policies, and operating procedures; monitors and evaluates program effectiveness and effects changes required for internal control improvement
Represents the Financial Control function to various user organizations as well as to various external entities in areas of IT related controls
Understand the long-term business control strategy and leverage other control function groups (i.e. Internal Audit and SOX program office) to drive continuous control improvement
Work with IT and Development teams during infrastructure changes to ensure accuracy of financial data
Supports the relationships between business and vendors to ensure business requirements, including control requirements, are met, and issues are addressed. Responsible for the overall governance of the performance of agreed service by third party vendors
Liaison with internal and external audit to ensure reporting and audit requirements are met
Experience performing requirements and/or process analysis in a control culture where security controls and business controls are integral part of business requirements
Extensive understanding of iterative requirements management disciplines and software development life cycle
Strong risk and controls background; IT Internal Audit experience a plus
Familiarity with SOX and other control framework such as COSO and COBIT is highly desirable
Experience in business relationship management and business process management
Exceptional problem solving, critical thinking, and collaborative skills
Excellent influence and persuasion skills and negotiation and conflict resolution capabilities
Willingness to learn and support new application modules and technologies
CPA or CISA a plus
Public Accounting audit experience a plus
7 to 10 years of experience that is directly related to the duties and responsibilities specified

Risk & Controls Lead NAM Cbsu Resume Examples & Samples

Execution oriented with strong attention to detail
Ability to work under pressure, in sometimes ambiguous circumstances, and manage to tight deadlines or unanticipated changes in expectations or requirements
Ability to work in a matrixes environment and partner with virtual teams
Ability to build and foster internal relationships
Expert level proficiency in the Microsoft tool suite including SharePoint, Excel, Word, PowerPoint, Visio, and Project. Heavy use of Pivot Tables, VLookups and other advanced Excel functions
Knowledge of Anti Money Laundering (AML), Know Your Customer (KYC), Customer/Enhanced Due Diligence (CDD/EDD)
CAMS certification a plus

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