Risk & Controls Manager Job Description

Risk & Controls Manager Job Description

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Risk & controls manager provides credit policy and systems advice to key stakeholders; Credit Executives, Sales, Service, Implementations, Product Risk and Risk Operations.

Risk & Controls Manager Duties & Responsibilities

To write an effective risk & controls manager job description, begin by listing detailed duties, responsibilities and expectations. We have included risk & controls manager job description templates that you can modify and use.

Sample responsibilities for this position include:

Engage cross-functionally with control leads within Card Services, and attendControl Lead meetings asrequired
Identify weaknesses, gaps, and opportunities for process, organizational, and technology improvements focusing and the overall Risk and Controls agenda and communicate results effectively
Recommend improvements to close control gaps and establish meaningful quality assurance plans with results monitored and reported to Senior Management
Review and Report Process Exceptions and Errors and provide standardized reporting to management
Monitor system entitlements and perform routine recertification to ensure proper access control
Assist with oversight, maintenance and testing of PB Global Client Service Business Resiliency and Business Continuity plans
Ensure consistent vetting and communication of process and control changes
Work with Risk Management and Legal/Compliance to keep internal policies and procedures in compliance with Corporate policies and federal regulations
Work with key GCO stakeholders to evaluate and report on the adequacy and effectiveness of management controls and provide appropriate recommendations for improvement
Develop a business engagement model and track the various levels of control adoption data profiles and business processes to evolve this best practice agenda

Risk & Controls Manager Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Risk & Controls Manager

List any licenses or certifications required by the position: CISA, CPA, CIA, CFA, APRM, CA, SOX, CISSP, CRISC, CRCM

Education for Risk & Controls Manager

Typically a job would require a certain level of education.

Employers hiring for the risk & controls manager job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Accounting, Business, Finance, MBA, Management, Computer Science, Graduate, Information Technology, Economics, Education

Skills for Risk & Controls Manager

Desired skills for risk & controls manager include:

Audit methodologies and developing key internal audit deliverables
Risk assessment and scenario analysis methodologies
Credit broking and insurance markets
ERP systems is an advantage
Financial Services
Financial Services regulations
Gained through working within the general insurance and consumer credit industry would be helpful
Global regulations
Internal policy and supporting principles and processes
Key regulatory obligations

Desired experience for risk & controls manager includes:

Have attained or be demonstrably working towards the CA, ACCA and/or Certified Information Systems Auditor (CISA) qualification, or equivalent
Experience in auditing IT systems
A developed understanding of risk concepts
Strong business acumen and demonstrated proficiency in general business disciplines and software applications
Ability to operate and manage comfortably and effectively in a fast-paced, highly-matrixed environment
5 plus years controls analysis experience in Insurance, Mutual Fund, Information Technology, and/or Public Accounting (SOX, SAS70, SSAE16)

Risk & Controls Manager Examples

1

Risk & Controls Manager Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of risk & controls manager. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for risk & controls manager
  • Focusing on building upon your existing experience of the Financial Services industry to develop genuine insight, knowledge and experience of the regional FS marketplace, whilst imparting this knowledge on your team and developing their capabilities in tandem
  • Recommend and lead the implementation changes to methods of performing work
  • Manages recommendations regarding hiring, promotion, salary, termination , for direct reports and subordinate staff
  • Work with the Director, BMI Business Risks and Controls to assist IPS senior management in identifying, assessing, and managing business continuity related risk for their respective areas and work with them to develop appropriate risk management strategies
  • Ensure business areas develop and maintain viable business continuity plans that fulfill Corporate Business Continuity (CBC) requirements, reflect organization changes as they occur, and align with business priorities and the risk appetite of their business area
  • Assist with maintaining and improving the control environment, Support RCSA Facilitation & Control, Coordinate Business Resiliency, Improve Audit ratings, Execute Functional Process Reviews
  • Coordinate and support the Audit and Compliance agenda
  • Evidencing required internal approvals / checks for implementing products and services
  • Air Traffic Control governance on outsourcing and ensure compliance to outsourcing service management requirements
  • New global / regional regulatory initiatives and operating model / process changes
Qualifications for risk & controls manager
  • 5-7 years experience in client/customer service or mid-office/operations
  • Bachelor's degree in Accounting, Finance, Business Management or other relevant field
  • Minimum of 5 years management experience in an internal audit or public accounting capacity
  • Strong competency in risk and control assessment, and audit skills
  • Strong competency in Excel, Access, SQL and other business intelligence tools
  • Provides quality assurance and controls over the metrics and reporting methodology and procedures
2

Risk & Controls Manager Job Description

Job Description Example
Our company is looking for a risk & controls manager. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for risk & controls manager
  • Provide GRC advice and support to our financial services clients, understanding their business requirements and translating them into efficient and integrated GRC control frameworks
  • Implementation hand-shakes with Treasury Services (‘TS’) Implementation partners in Risk, Audit, Compliance, Legal, Business Management, Product, Document Management Organization, Commercial Bank (and other Line of Businesses that we service) and regionally with TS EMEA and NAMR
  • OReview and approve Project Management processes for internal change control management, including production runbook profiles for data mapping, trigger logic, and distribution schedule via Share Point
  • OReview and approve Financial Chargeback Allocation to Line of Business
  • OFormalize invoice payment process
  • OReview and approve vendor request and/or consider business needs for custom reports, as required
  • OManage access requests and permissions for Print Operations SharePoint site and/or vendor customer portal(s)
  • ODirect and oversee projects within the defined standard operating process and create standards to establish efficiencies with a strong focus on following best practices using an analytical mindset
  • OBuild strategic relationships to influence Business Owners to comply with standard operating processes
  • OManage and communicate process and/or quality control gaps to mitigate risk
Qualifications for risk & controls manager
  • Proven leadership in collaborating across multiple groups and effectively influence teammates, management and other stakeholders to implement change and resolve conflicts
  • Developing, presenting, and defending clear, concise, and relevant risks and issues using facts and data in a timely basis
  • Prepares clear, concise and accurate documentation and LOD 2 oversight metric results
  • Pursues work with enthusiasm,energy and drive
  • Experience and knowledge of compliance and testing functions/process
  • Collaboratively working with management to improve internal controls and processes
3

Risk & Controls Manager Job Description

Job Description Example
Our growing company is looking for a risk & controls manager. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for risk & controls manager
  • ODemonstrate superior conflict resolution and problem solving skills
  • OStrong ability to guide and influence while driving results and cooperation from cross-functional teams
  • OReview vendor production reports and take appropriate action per standard operating procedures
  • ORoutinely review incidents and documented resolutions in Print Operations SharePoint Incident Tracking System
  • OReview all Material Setup Requests (MSR) changes monthly to ensure accuracy of information
  • OInventory Management Oversight at print vendors
  • OEnsure audits of vendor samples are completed per Production Runbook specifications
  • Developing/maintaining Charters for each sub-workstream within the overall Risk & Controls workstream
  • Creating/maintaining a delivery plan for each sub-workstream, and an overall workstream plan
  • Identifying and managing risks, assumptions and issues, and managing dependencies with other workstreams
Qualifications for risk & controls manager
  • Working business teams, ORM, TRMIS and regulators to develop and maintain a toxic combination business function matrix that will be used to monitor and reduce our access risk to business applications
  • Expert knowledge in the Risk Management Field to support access governance functions
  • Knowledge and understanding of the Wholesale Bank’s business lines and products is an asset
  • Organizational awareness and sensitivity - strong ability to develop, manage and maintain productive relationships with business partners, stakeholders, and employees
  • Previous experience coaching and developing employees
  • Ability to lead, impact, and influence various stakeholders without having the formal authority to do so
4

Risk & Controls Manager Job Description

Job Description Example
Our innovative and growing company is hiring for a risk & controls manager. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for risk & controls manager
  • Managing reporting to the Cloud PMO and workstream communications overall
  • Must have an inquisitive and curious nature
  • Previous experience of Process Management and Operational Risk Management will be an advantage
  • Detail orientation with good analytical and organisational skills
  • Able to deliver quality and timely reporting
  • Ability to challenge and influence Senior and Process Managers when necessary
  • Customer focus - able to build relations, meeting corporate and internal customer needs
  • Develop and improve global policy and governance content by soliciting input from global finance community, analyzing recommendations, and aligning with business processes and objectives while ensuring compliance with U.S. GAAP
  • Ensure policy and governance alignment with subject matter experts
  • Evaluate and assess policy exemption requests submitted via the RFA System to determine the potential financial and internal control impact
Qualifications for risk & controls manager
  • Ability to manage a number of different ongoing initiatives at any given time
  • Manage Working Group
  • Knowledge and understanding of risk management practices and principles, including experience with Business Continuity planning
  • Strong existing understanding of business processes, operations, platforms, and business drivers
  • Strong proficiency in PowerPoint
  • Experience of working in controls area
5

Risk & Controls Manager Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of risk & controls manager. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for risk & controls manager
  • Conduct self-assessments and develop action plans
  • Coordinate the risk event process
  • Monitor risk through reviews of key incidences and root cause analysis
  • Management of all applicable Processes, Activities, Risks and Controls within the Firms Operational Risk system of record oversight of any Issues and Action Plans
  • Develop, implement, oversee, and execute on Quality Control Program that focuses on key risks and evaluate the effectiveness of the mitigating controls
  • Perform gatekeeper function for addition of Phoenix issues/ action plans and closure of completed action plans
  • Be educated to degree level or with equivalent experience
  • Working with the AAC leads to develop & implement existing & new market propositions across a number of industry sectors
  • Delivering a portfolio of large & complex technology engagements across our business
  • Developing and executing plans to remedy any non-compliant policies
Qualifications for risk & controls manager
  • Experience of project management disciplines particularly business analysis
  • Strong cash and liquidity product knowledge necessary
  • Interpersonal skills with ability to work different geographies and cross functional partners
  • Analytic skills / aptitude
  • Good/relevant experience as a Business Analyst or Project Manager
  • Ability to persuade and influence with tact and assertiveness

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