Business Risk Control Management Cover Letter

In response to your job posting for business risk control management, I am including this letter and my resume for your review.

Previously, I was responsible for support for the CMB teams in adherence to both internal and external directives from ‘Second Line of Defence’ including but not limited to Compliance, Operational Risk, Information Security Risk, Business Continuity functions.

My experience is an excellent fit for the list of requirements in this job:

• Responsibility for supervising a department or a functional unit/area team
• Management responsibility for a team of professionals, including people, performance, budget and planning decisions
• Act in an advisory role / influence the direction of own discipline
• Understand functional risks in own functional area and monitor team adherence to policies
• Sound knowledge of banking regulations and operations and audit and control concepts
• Detail orientated, confident and assertive
• Support the Operational Risk Executive to create execution plans, with LOB heads and key partners, for timely issue resolution and closure
• Keep the MLWM COO and MLWM Leadership Team informed of key risk issues, actions, and mitigations

In response to your job posting for business risk control management, I am including this letter and my resume for your review.

In the previous role, I was responsible for support for the US HOST Operations teams in adherence to both internal and external directives from ‘Second Line of Defence’ including but not limited to Compliance, Operational Risk, Information Security Risk, Business Continuity functions.

My experience is an excellent fit for the list of requirements in this job:

• Prefer Investment Management or Brokerage industry experience
• Excellent use of Microsoft Office (Word, Excel, Power Point)
• Understanding of Banking organization, products and processes
• Bachelors or Equivalent License/Certificates
• Business Management, Planning & Analysis (P&A), Finance and or Risk experience a benefit
• Familiarity with Risk & Control Self-Assessment (RCSA) process
• Knowledge of applicable US laws and regulations and financial services industry regulators
• Understanding of banking operations and the financial services regulatory and risk management environment

I am excited to be applying for the position of business risk control management. Please accept this letter and the attached resume as my interest in this position.

In my previous role, I was responsible for general Business Management support to Risk group heads and senior risk managers including delivery of strategic business initiatives, priorities and ad-hoc projects.

Please consider my experience and qualifications for this position:

• Build relationship that fosters ongoing and proactive communication with Audit, Legal, Risk, and Compliance partners who support GWIM
• Participate in QA/QC/ RCSA process
• Work closely with Operational Risk Executive to prepare updates for Fed and OCC for MLWM COO
• Demonstrated experience leading teams and developing talent
• Demonstrate experience of managing operational risk within appetite and during operational change or re-organisation
• Preferable to have Wealth Operations, or an Audit/Compliance background
• Experience in a risk management and/or Compliance capacity within a global corporate environment
• Establishment, enforcement and ownership of assigned RBWM (Retail Banking and Wealth Management) operational manuals, procedures and policies

I am excited to be applying for the position of business risk control management. Please accept this letter and the attached resume as my interest in this position.

In my previous role, I was responsible for support in ensuring that the country CMB team implements compliance policies and procedures in respect of CMB business, including money laundering deterrence programmes and regulatory projects (including Global Standards, FATCA, Turquoise, Slumber etc.

My experience is an excellent fit for the list of requirements in this job:

• Participation in workgroups developing improvements and changes to the risk management methodologies
• Monitoring of the risk management process compliance, efficiency and effectiveness through appropriate KPI systems
• Monitoring of the performance of major and critical contracts and escalation of critical contracts to local and global management
• Facilitation of monthly Contract Performance Calls including the set-up of the agenda together with GBU and Division
• Facilitation of Global Contract Reviews Calls including the Group Risk Management Committee, including documentation of decisions and follow up on agreed actions
• Follow up and monitoring on the execution and impact of actions decided in Global Contract Reviews, escalation to management in case of deviations
• Basic understanding of commercial/financial topics
• Prefer demonstrated proficiency in using multiple systems, platforms and applications

Please consider me for the business risk control management opportunity. I am including my resume that lists my qualifications and experience.

In the previous role, I was responsible for support in ensuring that CMB region and country has a robust and compliant Business Risk Control Management capability within ‘First Line of Defence’ aligned to the Global model.

My experience is an excellent fit for the list of requirements in this job:

• Deep understanding of financial services regulatory requirements and current regulatory developments
• Certified as a Consumer Credit Compliance Professional (or willingness to become certified) and to maintain certification with continuing education and/or additional certifications
• Experience effectively communicating and driving change
• Effective management, organization, and leadership skills
• Experience working with general counsel in obtaining legal interpretation and implementation preferred
• Experience working with internal compliance, legal and risk in obtaining interpretation and implementation preferred
• Critical thinking/analytical skills and intellectual curiosity
• Advanced knowledge of the financial services sector, particularly with the competitive dynamics and products in retail banking and risk management