Risk Management Group Resume Samples
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Risk Management Group Resume Samples
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SF
S Ferry
Shany
Ferry
895 Kathryn Mount
Houston
TX
+1 (555) 399 8413
895 Kathryn Mount
Houston
TX
Phone
p
+1 (555) 399 8413
Experience
Experience
Phoenix, AZ
Risk Management Group
Phoenix, AZ
Lakin, Harris and Hintz
Phoenix, AZ
Risk Management Group
- Providing regular management information to senior management in Macquarie Capital and to RMG
- Assist with the management and maintenance of the global sanctions framework
- Assist in the production of management information reporting on financial crime matters
- Execute consequence management program, including responding to staff concerns
- Assist with the ongoing development of surveillance program and desk procedures
- Escalate matters of interest to the line manager, and work alongside business compliance and sales/ trading desks for resolution
- Assisting Control Room in identifying and managing conflicts of interest and ensuring effective conflict management and insider dealing controls
Philadelphia, PA
Executive Assistant Risk Management Group
Philadelphia, PA
Stark Inc
Philadelphia, PA
Executive Assistant Risk Management Group
- Providing back-up/holiday support to other assistants in the group; and
- Compilation and formatting of PowerPoint presentations
- Processing expense reimbursement and invoice payments
- Co-ordination of team events, including training sessions and conferences i.e. room bookings, catering, attendance registers etc.
- Update and maintain organisation charts, mailing lists
- Coordinating business travel and accommodation
- Ad hoc administration support for cross-RMG projects
present
San Francisco, CA
VP, Collection Centre, Risk Management Group
San Francisco, CA
Leuschke Inc
present
San Francisco, CA
VP, Collection Centre, Risk Management Group
present
- Implement collection strategies with champion & challenger analytics and drive cost effective strategies
- Enhance recovery dollars by implementing a hybrid recovery model
- Review the end-to-end collection workflow and recommend digitialization/automation for strategic cost management
- Review the overall collection workflows / strategies and recommend collection actions to best control the delinquency rate, flow rate, Non-Performing Loans as well as Credit Loss Allowance
- Review the overall service quality performance of various teams in Collection Centre and recommend actions to the team for continuous service quality enhancement
- Support and resolve the complaints via regulatory body, i.e. HKMA
- Good knowledge in banking operations especially in collection field
Education
Education
Bachelor’s Degree in Accuracy
Bachelor’s Degree in Accuracy
Ball State University
Bachelor’s Degree in Accuracy
Skills
Skills
- Be a self-starter, with strong communication skills and the ability to forge and maintain strong relationships internally and externally
- You have strong interpersonal skills, initiative and a good eye for detail
- Good analytical and problem solving skills and the ability to present information in a clear, concise mannerfO
- Good knowledge of the UK and European financial crime regulatory environment including 3rd EU AML Directive and JMSLG
- Ability to learn and understand applicable regulatory rules and regulations and industry best practices
- A team member who builds strong relationships with clients and colleagues, but also able to work independently, determine priorities and meet deadlines
- Strong excel skills (pivot tables, data visualisation, etc)
- Ability and strong desire to work as part of an effective and collaborative team
- Knowledge of a major European language or other foreign language would be desirable
- Strong knowledge about global affairs
15 Risk Management Group resume templates
Read our complete resume writing guides
1
Cib-country Risk Management Group Country Risk Enhanced Stress & Risk Metrics Resume Examples & Samples
- Strong academic background with undergraduate degree in economics, finance, mathematics, sciences or related disciplines
- Prior experience in risk management, specifically with respect to stress testing practices and metrics
- Knowledge of credit and market risk products
- Excellent attention to detail and aggressive control mindset
- Effective written and verbal communication; ability to work in small teams including Reporting and Technology colleagues
- Advanced Microsoft Office skills, particularly Excel; knowledge of JPMC infrastructure and risk systems a plus (MaRRS, Gauss, CRI)
2
Risk Management Group Resume Examples & Samples
- Providing day to day regulatory advice and guidance to the business on rules and internal policies, including supporting the business with new products and services
- Managing the day to day relationship with the relevant exchanges, managing queries and requests
- Conducting monitoring activities including desk reviews and thematic reviews for compliance with FCA and Exchange rules and requirements
- Providing training to the business on relevant rules and requirements
- Conducting enquiries and investigations where necessary
- Contributing to ad hoc projects and the work of the broader regional compliance team
- Previous experience (3-5 years) of trading floor compliance at a financial services institution focusing on fixed income products
- Commodities experience would be highly beneficial
- Good knowledge of the UK and EU regulatory requirements, including FCA/PRA and Exchange requirements
- Be a self-starter, with strong communication skills and the ability to forge and maintain strong relationships internally and externally
3
Risk Management Group Resume Examples & Samples
- Degree educated and/or relevant financial crime compliance experience gained within financial services industry (knowledge of investment banking products and services is desirable)
- Good knowledge of the UK and European financial crime regulatory environment including 3rd EU AML Directive and JMSLG
- Client focused with good communication skills both written and verbal, confidence in being challenged
- A team member who builds strong relationships with clients and colleagues, but also able to work independently, determine priorities and meet deadlines
- Good analytical and problem solving skills and the ability to present information in a clear, concise mannerfO
- Ability to be flexible and adapt to new changes and challenges is a must
- Ability to prioritise work flows and ensure deadlines are met
- Knowledge of a major European language or other foreign language would be desirable
4
Risk Management Group Resume Examples & Samples
- Identifying local regulatory gaps and determining appropriate remediation
- Managing the execution of the annual regulatory assurance plan
- Managing the implementation and ongoing execution of electronic surveillance across all business units
- Proactively managing and developing the regional M&S team
- Helping develop and implement regional strategy including governance, planning, policy, procedures and training; and
- Working with the global M&S management team to continually identify efficiencies and drive initiatives to achieve greater compliance and business oriented results
5
Executive Administrative Assistant Risk Management Group Resume Examples & Samples
- Diary management and phone support for the senior staff in each division
- Business travel bookings, including co-ordination for international visitors
- Expenses processing; including vendor invoices and corporate card expenses
- Co-ordination for visitors including security access and desk requirements
- Co-ordination of new starters, leavers and staff transfers, such as desk and technology requirements and system access
- Co-ordination of team meetings and functions (internal and external) including venues and catering
- Liaison with IT and Business Services areas as required
- Co-ordinate papers required for team meetings
- Maintain team documentation, including organization charts and phone listings
- Maintain stationery orders and printer requirements
- Distribute all incoming mail, and arrange couriers when required
- Filing and archiving of files
- Independent thinker, ability to carry out duties with minimal supervision
- Ability to manage workload and deadlines effectively
- Sound interpersonal skills and relationship building abilities
- Enthusiasm, motivation and the ability to be proactive
- Strong MS Suite skills – in particular Outlook, Excel, Word; and
- Knowledge in Powerpoint a plus
6
Risk Management Group Resume Examples & Samples
- A bachelor level or higher degree in finance, commerce, mathematics or engineering
- A strong mathematical and statistical skill set
- A financial services background, preferably in investment banking or a trading systems support area
- A sound understanding of financial markets
- A good working knowledge of the nature and payout mechanics of derivatives and derivative pricing models
- Excellent communication skills as you will be communicating with and influencing people at all levels across the bank's global offices
- Ability to communicate effectively with both IT and business specialists and develop specifications which clearly articulate issues/requirements and proposed solutions
- The ability to understand and communicate complex concepts
- The ability to detect and resolve underlying problems as well as to drive process improvement
- Good organisation skills with the ability to work towards and meet deadlines
- Tenacity and flexibility with the ability to work autonomously and to manage a number of activities simultaneously
7
Risk Management Group Resume Examples & Samples
- Assisting with all aspects of regulatory assurance reviews such as planning, scoping, reviewing, testing, documenting and reporting
- Communicating results of reviews to the business
- Maintaining and updating the monitoring plans; and
- Assisting with reporting and metrics for the Regulatory Assurance team
8
Risk Management Group Resume Examples & Samples
- Performing surveillance on a daily basis, escalating and following up issues to a successful conclusion
- Providing subject matter expertise on asset classes falling within coverage area i.e. securities
- Building productive and trusting relationships with stakeholders within the Business and Compliance
- Supporting the Regional Head of Surveillance as required e.g. producing MI, representing the Surveillance at team meetings etc
- Assisting in the on-going documentation of surveillance processes and procedures
- Assisting with the wider global surveillance strategy
- Working knowledge of Reuters and other front-office / market data applications
- Ability to write VBA, SQL and / or R
- Experience using data visualisation applications
9
Risk Management Group Resume Examples & Samples
- Implementation, communication and maintenance of restrictions on trading, advice and research
- Facilitating wall crossings from initial request to the resumption of normal duties
- Communication and maintenance of the firm's disclosures and positions. This will require liaison across the firm at all levels of management
- Assisting in developing policies and systems for firm wide administration of compliance issues
- Management of conflicts of interest across the operating groups
- Initial entry and processing of transactions and conflict checks
- Legal, risk, compliance or broad banking background
- General understanding of investment banking businesses and products
- Ability to pick up and run with new information quickly and effectively
- General knowledge of the concepts of conflicts of interest
10
Risk Management Group Resume Examples & Samples
- Degree educated, with financial crime experience gained within financial services, preferably in an investment banking environment
- Relevant knowledge and experience in relation to one or more of Enhanced Due Diligence, sanctions compliance and/or anti-bribery & corruption compliance
- Knowledge/exposure to the sanctions and/or anti-bribery and corruption regulatory requirements of jurisdictions outside EMEA, e.g. US, would be an advantage
- Knowledge/exposure to emerging markets, commodities, advisory relationships and fund management would be an advantage
- Strong analytical and problem solving skills and the ability to present information in a clear, concise manner
- Client focused with persuasive communication skills both written and verbal, confidence in being challenged
- A team member who builds strong, open relationships with clients and colleagues, but also able to work independently, determine priorities and meet deadlines
- Ability to adapt to new changes and new challenges
11
Risk Management Group Resume Examples & Samples
- Global Remit
- Large complex environment
- Join experienced and professional internal audit team
- Demonstrate the ability to engage and build relationships with a range of stakeholders
- Are self directed and comfortable working autonomously
- Enjoy working in an evolving and dynamic environment
- Tertiary qualification ideally in Finance
- Hold additional qualifications in information systems, operations or accounting highly regarded (e.g. CISA, CA)
- Knowledge and proven experience in Financial and IT Auditing essential
- Experience in Banking & Financial services desired
- Proven leadership abilities in various activities, not necessarily just within a professional environment
- Demonstrate the ability to thrive in situations both within working environment and extracurricular activities
12
Risk Management Group Resume Examples & Samples
- Providing timely and accurate advice on the PRA and APRA's requirements and expectations
- Reviewing new business, product and transaction proposals across Macquarie for compliance with prudential standards for authorised deposit-taking institutions
- Liaising with APRA and the PRA, including approval requests, reviews of Macquarie's operations by APRA and the PRA and proposed new prudential rules or changes to prudential regulation and policy
- Drafting, reviewing, updating and implementing group wide policies, procedures and guidelines
- Influencing, and participating in, group wide projects and strategic planning, including on reform of banking regulation; and
- Educating business and support groups on APRA and PRA standards, guidance and expectations, as well as changes to the prudential framework
- Some experience with prudential regulation of financial institutions
- A good understanding of a wide range of financial products and transactions
- Tertiary qualifications in one or more of finance, economics, accounting, law or public policy
- Strong relationship management skills and an ability to engage with a broad cross-section of individuals; and
- Excellent and confident written and verbal communication skills
- Some understanding of Basel II, Basel III and PRA or APRA's regulatory capital rules; and
- Working in, or with, a trading environment in a financial institution
13
Risk Management Group Resume Examples & Samples
- Assisting with transactions early in the deal process, identifying key issues and co-ordinating the credit response
- Present complex structures in a concise and clear manner, including making recommendations to senior risk management staff
- Ongoing and self-initiated monitoring of counterparty and industry developments
- Timely response to trading line requests
- Managing and monitoring client exposures and preparing annual review of existing limits and counterparties
- Coordinate and compile internal reporting
- Potential in due course to participate in client visits to gain a better understanding of the client's position (particularly where documented information is limited)
- Assisting in the negotiation of legal documentation
- Outstanding qualifications, preferably with some application to commerce, finance, accounting, engineering, law or economics
- Advanced Excel skills are desirable
- A collegiate team member who builds open dialogue-based relationships with clients and colleagues
- Persuasive communication skills (both written and verbal) combined with confidence when being challenged
- In-depth analytical skills
- Strong commercial orientation and understanding of business and risk-related issues
- The ideal candidate will have previous work experience in a financial institution, and will have an understanding of derivative products
14
Risk Management Group Resume Examples & Samples
- Due diligence of documentation, to expose any covenants or clauses that may impact the structure or pricing of a transaction
- Annual review of existing limits and self-initiated monitoring of market performance and outlook of counterparties
- Portfolio analysis and stress testing
15
Risk Management Group Resume Examples & Samples
- Ensuring an effective Compliance environment is maintained in Macquarie Capital in EMEA
- Escalating and reporting regulatory risks to senior management in Macquarie Capital and to RMG
- Providing regular management information to senior management in Macquarie Capital and to RMG
- Providing appropriate transactional (so far as it relates to the regulatory framework) and regulatory compliance advice to the Macquarie Capital business EMEA
- Provide technical advice and support for new product and projects
- Working alongside senior management in Macquarie Capital and to RMG assess the regulatory risks attributable to Macquarie Capital and formulating and designing appropriate controls (including training, assurance and surveillance) to manage such risks
- Assisting Control Room in identifying and managing conflicts of interest and ensuring effective conflict management and insider dealing controls
- Overseeing the policy and procedures for managing conflicts between research analysts and corporate broking personnel and investment banking activities
- Assisting in administration of other bank-wide policies including privacy, substantial shareholding and anti-money laundering; and
- Contributing to the wider work of the Compliance team in regional and global projects
16
Risk Management Group Resume Examples & Samples
- Possess proven experience auditing Securities, Commodities, Futures, Credit and Investment Management businesses and key International Regulatory requirements
- Academic qualifications, ideally in Finance or Accounting
- Hold additional Financial markets qualifications
- Possess commercial experience outside internal auditing
- Demonstrate strong data analytical skills
- Demonstrate the ability to thrive both within working environment and extracurricular activities
- Demonstrate a history of delivery and performance to high standards
17
Change Manager, Risk Management Group Resume Examples & Samples
- Work with all RMG divisions and multiple business operating groups to plan and implement significant change initiatives with consideration of the cumulative impact to RMG and the Macquarie operating groups
- Develop the end-to-end change management documentation, including executive stakeholder analysis, business impact assessments, and change delivery plan
- Track and report on the stakeholder impact of change across RMG's project portfolio
- Planning of knowledge transfer requirements to ensure impacted stakeholders are able to adopt core changes from the introduction of the new processes and relationships, and for some a new system, and the change is embedded within BAU processes post implementation
- Delivery of a comprehensive communication plan, and drafting of key project communication outputs – including working with RMG leaders, SMEs and technical experts and teams for key messaging cascade and change communication phasing outcomes to the impacted business teams
- Implementation of change management execution plans to those impacted by the change, to deliver leader alignment and workplace participation; and
- Management of end to end change, including executive stakeholder analysis, detailed business impact assessments, high level change delivery plan, and change project management
18
Risk Management Group Resume Examples & Samples
- Assisting compliance professionals to complete training needs analysis aligned to the compliance risk assessment
- Managing the production, maintenance and execution of a regional compliance training plan
- Working with SMEs to deliver face to face training across a broad range of issues
- Managing the production of online compliance training
- Writing and editing compliance education and communications materials, including online courses
- Championing effective compliance training record keeping, including full utilisation of the global learning management system
- Working with compliance colleagues to ensure regulatory training requirements are met
- Developing methods to assess training effectiveness
- Demonstrated experience in the successful design and delivery of training in a professional services environment
- Experienced gained within Compliance, including knowledge of Senior Managers Regime, Conduct Regime, Certification Regime and RDR frameworks
- Ability to develop and train others
- Ability to work autonomously and deliver results within deadlines
19
Risk Management Group Resume Examples & Samples
- Managing and monitoring a distinct portfolio of energy clients, tracking exposures and preparing ongoing reviews of existing limits and counterparties
- Working closely with the business team to assist with new transactions early in the deal process, identifying key issues and co-ordinating the credit response
- Outstanding qualifications, preferably with some application to commerce, finance, accounting, engineering, law or economics. European language skills are also desirable
- Strong commercial orientation and understanding of business and risk-related issues, with an interest in learning about energy markets
- The ideal candidate will have previous work experience in a financial institution or commodities firm, and will have an understanding of derivative products
20
Risk Management Group Resume Examples & Samples
- Potential market manipulation and misconduct
- Potential insider trading and other Control Room related issues (working with the Control Room)
- Employee trading
- Potential money laundering (working with the FCC team); and
- Misuse of electronic communications
- You will be responsible for
- Performing surveillance on a daily basis, escalating and following up issues to a successful conclusion (including the drafting of STRs)
- Maintaining adequate documentation of alerts and their resolution
- Working with local Compliance staff to determine an appropriate, coordinated level of surveillance
- Maintaining the documentation of surveillance parameters and system/user procedures
- Assisting in the design and development of manual tactical surveillance
- Assisting with the UAT of new systems/models as appropriate; and
- Developing comprehensive and accurate metrics for distribution to Compliance and business management
21
Risk Management Group Resume Examples & Samples
- Facilitation and oversight of the implementation of the Operational Risk Management Framework (ORMF)
- Development and the provision of training and advice about operational risk policies and methodologies across Macquarie's global business
- Reviewing new business initiatives ensuring that key operational risks are identified and managed and that appropriate stakeholders are engaged in the approval process
- Demonstrable experience in working with businesses and support functions in the assessment and management of operational risk
- A working knowledge of the regulatory environment in which Macquarie operates
- Tenacity, agility and a proven ability to sustain high levels of performance in a fast-paced, output focused environment
22
Risk Management Group Resume Examples & Samples
- Perform day-to-day monitoring for specific violent or political threats which could potentially directly impact Macquarie's operations
- Provide situational awareness of breaking and emerging issues occurring globally through Internet observation, news media reporting, social media monitoring and industry networks
- Provide timely and accurate intelligence support to the head of Global Security, regional security managers, and as needed adjacent risk and resilience and technology security managers, across multiple regions and jurisdictions
- Support the critical role of incident reach back support by providing time-sensitive intelligence reporting to Global Security decision makers to ensure that regional security managers can mitigate immediate risk and incidents
- Supports regional crisis management security teams during times of emergencies
- Develop intelligence products that include a coherent and usable assembly of facts, inferences, charts, and findings which highlight regional security incidents to include: criminal actions, transport related accidents, major civil unrest, political unrest, terrorism and natural disasters Support regional security managers and Technology Security, as needed, on security and fraud investigations
- Support and improve threat analysis and forecasting methodologies within Global Security
- Provide current and accurate information on emerging events and trends that could impact Macquarie to internal risk stakeholders and strategic customers. This reporting would be both in response to inquiries and proactively when trends of developments require notification with the bank
- Serve as an threat intelligence liaison to outside sources and entities (peer and industry forums, government and law enforcement)
- Understand the complexities of Macquarie risk management operations and be able to communicate effectively across multiple lines of business
- Assist Global Security and Technology Security with special projects as directed
- Strong intelligence gathering skills
- Experience in risk assessment and understanding of the risk management continuum
- Excellent relationship and network building skills
- High levels of drive and enthusiasm
- Self-starter who can work unsupervised and take initiative
- Experience in risk analysis, report writing, intelligence management
- Minimum of 3 years risk analysis work experience, preferably at an intelligence or law enforcement agency, private sector security organization or academic institution
- Minimum Master's degree in a risk management-related discipline, e.g. foreign politics, geopolitics
- Experience in research, report writing, producing and presenting briefings to senior staff
- Use of risk metrics and models to articulate and forecast risk
- Strong global law enforcement and/or analysts network will be an advantage
- Strong knowledge about global affairs
- Basic understanding of cyber risk and mitigation
- Written and spoken proficiency in Spanish. Any other foreign language will be an advantage
23
Risk Management Group Resume Examples & Samples
- Ensuring the integrity of the firms Chinese Walls and information barriers
- Providing advice on all compliance and regulatory matters to the corporate advisory teams in London, South Africa and Germany
- Review of outside business interests from a conflicts perspective, including external directorships
- Facilitating Chinese wall crossings from initial request to the resumption of normal duties and maintenance and administration of associated systems
- Produce and deliver training on key policies and procedures
- Assisting in administration of other bankwide policies
- Supporting position reporting
- Addressing staff dealing enquiries including obtaining exemptions for employees
- Contribution to the wider work of the Compliance team in regional and global projects
24
Risk Management Group Resume Examples & Samples
- Undertaking day-to-day surveillance of the energy businesses in the Americas - focusing at first predominantly on gas and power, with potential for expansion into other asset classes such as swaps and futures as well as undertaking cross asset surveillance
- Analysis of trading patterns and behaviors
- In addition to the daily surveillance conducted, assist with design and improvement of surveillance techniques and extend coverage to areas as needed
- Escalate matters of interest to the line manager, and work alongside business compliance and sales/ trading desks for resolution
- Maintaining adequate documentation of alerts and their resolution, including generating reports on monitoring statistics and escalations
- Collaborate and share ideas with the other regional M&S teams
- Assist with the ongoing development of surveillance program and desk procedures
- 2-5 years relevant experience in the financial services space and/or understanding of compliance issues in an energy trading environment (physical and financial)
- Solid understanding of gas, power and/or oil markets
- Strong excel skills (pivot tables, data visualisation, etc)
- SQL/VBA would be an advantage
- Articulate writing, communication and presentation skills
- The ability to interpret trading data
- Analytical and investigative mindset, attention to detail
- Ability to manage through the day-day deadlines while maintaining a high degree of accuracy and quality
- Ability to work independently with remote management
- The ability to develop relationships across various stakeholders, including local and regional advisory Compliance staff, and the front office businesses
25
Executive Assistant Risk Management Group Resume Examples & Samples
- Diary management, co-ordination of meetings & appointments as required for Head of RMG Central and cross-RMG projects
- Coordinating business travel and accommodation
- Processing expense reimbursement and invoice payments
- Compilation and formatting of PowerPoint presentations
- Update and maintain organisation charts, mailing lists
- Providing back-up/holiday support to other assistants in the group; and
- Ad hoc administration support for cross-RMG projects
- Strong organisational and communication skills
- Confident, proactive and professional manner
- Willingness to learn new skills; and
26
Risk Management Group Resume Examples & Samples
- Daily monitoring of personal/employee trade activities, policy exceptions and resolutions
- Manage broker account request/cease letters regarding duplicate confirms and statements
- Respond to staff inquiries via phone and email
- Conduct insider trade surveillance for trading businesses
- Assist with teach-ins and new hire information packs and training
- Execute consequence management program, including responding to staff concerns
- Assist with management reporting
- Medium term – to train and mentor admin staff / offshore team to
- Review and entry of statement trade data
- Administration personal trade platform
- Maintain employee account and trading records
- Assist in other compliance tasks as required to ensure team objectives are achieved
- Solid understanding of US securities trading businesses and prior experience having performed a similar role in a Personal Account Dealing / Insider Trade Surveillance functions
- Sound interpersonal skills and relationship building abilities with all levels of seniority within the business, maturity to navigate front-office discussions regarding personal dealing escalations
- Integrity and sensitivity in communications with employees regarding personal financial information
- Ability to work through tasks systematically and monitor own work to ensure consistency and timeliness
- Ability to learn and understand applicable regulatory rules and regulations and industry best practices
- Ability and strong desire to work as part of an effective and collaborative team
- High level of engagement and participation in discussion about compliance policy and strategy
- Attention to detail and a team player
- Preferred candidate would have a US Series 7 qualification (or held one in the past)
- Effective written communication skills for report writing and analysis
- Strong Microsoft Office skills – Access, Excel, Word and Outlook
27
VP, Collection Centre, Risk Management Group Resume Examples & Samples
- Implement collection strategies with champion & challenger analytics and drive cost effective strategies
- Enhance recovery dollars by implementing a hybrid recovery model
- Review the end-to-end collection workflow and recommend digitialization/automation for strategic cost management
- Review the overall collection workflows / strategies and recommend collection actions to best control the delinquency rate, flow rate, Non-Performing Loans as well as Credit Loss Allowance
- Implement digitialization/automation initiatives in Collection for enhancing customers’ experience, such as, Live Chat, collection on mBanking OMNI
- Review the overall service quality performance of various teams in Collection Centre and recommend actions to the team for continuous service quality enhancement
- Support and resolve the complaints via regulatory body, i.e. HKMA
28
Executive Administrative Assistant Risk Management Group Resume Examples & Samples
- Providing executive administrative support to the senior staff in the RMG team in Singapore
- Provide team administrative support to across the RMG team, including
- Co-ordination of new starters, leavers and staff transfers, such as desk requirements and system access
- Distribute all incoming mail, and arrange couriers when require
- Additional administrative tasks as required
29
Risk Management Group Resume Examples & Samples
- You have at least 5 years compliance experience in a financial services, investment banking, broker-dealer or regulatory environment, preferably with demonstrable Control Room or Information Barriers experience
- You possess a working knowledge of global capital markets, especially as it relates to the U.S. regulatory environment, investment banking and research interactions generally
- You possess a working understanding of the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA Research related rules, the Global Research Settlement, conflicts mitigation, disclosure and management
- You have an interest in having substantial involvement and partnership with the business
- You possess the ability to work independently, determine priorities and meet deadlines, while keeping an open communication with the Americas Control Room team and Management and a strong desire to build and sustain a remote team
- You have strong interpersonal skills, initiative and a good eye for detail
- You have strong organizational, written and verbal communication and negotiation skills
- You have the ability to take a pragmatic, commercial approach to compliance while achieving desired outcomes
- You demonstrate team leadership, mentoring and management capability, either direct or project related; and
- You have a strong desire to learn, lead and make decisions in a hands-on, fast paced, high volume environment