Operational Risk Controller Resume Samples

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AH
A Hessel
Anthony
Hessel
804 Spencer Flats
Dallas
TX
+1 (555) 150 2228
804 Spencer Flats
Dallas
TX
Phone
p +1 (555) 150 2228
Experience Experience
05/2015 present
Los Angeles, CA
Senior Operational Risk Controller
Los Angeles, CA
Senior Operational Risk Controller
05/2015 present
Los Angeles, CA
Senior Operational Risk Controller
05/2015 present
  • Performance of key controls on Portfolio Managers and Distributors appointed by the management company
  • Ensure integrity of Pune Process Performance Monitoring Report by analyzing outcomes reported by LECS within GLAO/SOX/Regulatory Reporting Framework program
  • Reporting and/or escalation of the exceptions identified to the funds or management companies’ board of directors
  • Preparation of reports for the funds or management company’ board meetings
  • Co-ordinate timely and accurate completion of the monthly Key Performance Indicators (KPI) reporting
  • Operational risk monitoring with associated control indicators
  • Maintenance of a constructive working relationship with the funds' central administrator, custodian bank, portfolio managers and distributors through regular communication
12/2008 12/2014
Houston, TX
Operational Risk Controller Equities
Houston, TX
Operational Risk Controller Equities
12/2008 12/2014
Houston, TX
Operational Risk Controller Equities
12/2008 12/2014
  • Support the development and execution of the ORC strategy for the assigned portfolio
  • Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risk in the assigned portfolio
  • Stay abreast of industry news and regulatory developments pertinent to the assigned portfolio to facilitate a more proactive approach to risk identification and mitigation
  • Lead root cause analyses on internal operational risk events and benchmarking analyses on events that occurred in the industry
  • Help promote and instil a culture of Operational Risk Management and operational excellence across the assigned portfolio
  • Partner with stakeholders in the business and logistics functions to continually improve our operational risk control processes and business operating models; support business growth; and make informed cost/benefit decisions
  • Review and approve new business initiatives and offshoring / outsourcing activities
08/2005 09/2008
Dallas, TX
Operational Risk Controller
Dallas, TX
Operational Risk Controller
08/2005 09/2008
Dallas, TX
Operational Risk Controller
08/2005 09/2008
  • Provide expert guidance on the development of relevant policies and control documentation
  • Develop and execute the ORC strategy for assigned portfolio
  • Assist global colleagues in execution of various streams of operational risk related work ( RCSA, SOX, InfoSec, BCP)
  • Develop and execute the ORC strategy for the assigned portfolio
  • Develop and execute the ORC strategy for the assigned portfolios and functions
  • Strong team building, relationship management, and project management
  • Develop and execute the ORC strategy for the assigned IB business sector portfolio
Education Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
Harvard University
Bachelor’s Degree in Business
Skills Skills
  • Excellent organizational skills and the ability to work to deadlines
  • Excellent organisational skills and the ability to work to and manage a team to deadlines, experienced in a line role managing direct reports
  • Excellent written and verbal communication skills, and ability to deal with colleagues/clients of all levels
  • Strong appreciation of operational risk concepts, with experience in an internal audit or operational risk type role
  • Analytical skills with a control focus and high regard for attention to detail
  • A sound background in control evaluation/ operational risk control and have strong communication/ report writing skills
  • Technical expertise in treasury and asset/ liability management
  • Strong MS office skills
  • Deliver independent risk assessment and reports that shed light on our risk profile
  • Strong client and partner relationship abilities
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1

Operational Risk Controller Resume Examples & Samples

  • Supporting local EMEA senior management in terms of roll out of Firm mandated Risk programs and in establishment of appropriate local governance framework
  • Produce risk reporting for EMEA, Global and AP regions
  • Perform monitoring and review activities over incidents, issues and action plans logged in FinRISC owned tools
  • Perform data analysis for identification of thematic issues and escalate, suggest remediation as appropriate
  • Partner with colleagues and internal clients on various projects, for example improve the collection, monitoring and reporting of risks and key risk indicators
  • Participate in efforts for process standardization, short-term tactical improvements and longer term strategic initiatives to enhance metrics reporting processes
  • Assist global colleagues in execution of various streams of operational risk related work ( RCSA, SOX, InfoSec, BCP)
  • Co-ordination of all aspects of EMEA Finance Business Continuity Planning (BCP) including
  • Co-ordinating periodic plan refreshes with all plan owners to ensure completion by Finance/Firm deadlines
  • Ensuring functional consistency across plans and leading quality assurance reviews
  • Ensuring appropriate recovery strategies are in place for the division. Lead appropriate remediation activities to completion as necessary
  • Maintaining EMEA Finance Rapid Notification Scenarios and ensuring they are aligned to current organisational structure
  • Co-ordinating annual BCP testing and ensuring completion per Firm guidelines
  • Providing regular BCP training/guidance to EMEA Finance Management, Plan Owners and Recovery Essential Personnel (REP) on overall BCP planning process and BizCon tool
  • Communicating appropriately to Plan Owners and REPs as necessary in preparation for or during an event (incl. dissemination of information received from BCM team)
  • Liaising with BCM Coverage Officer and Finance Senior Management on a regular basis to provide BCP status on plan refresh, testing, and other BCP matters as necessary
  • Sharing best practices with counterparts in Americas and Asia regions
  • Execution of EMEA Finance Information Security initiatives
  • Co-ordination of the New Product Approval (NPA) process for EMEA Finance
  • Assisting and supporting team members and global colleagues in development of enhanced reporting and improved risk mitigation initiatives relating to FinRISC responsibilities as outlined above
  • Strong appreciation of operational risk concepts, with experience in an internal audit or operational risk type role
  • Excellent organisational skills and the ability to work to and manage a team to deadlines, experienced in a line role managing direct reports
  • Committed and self-motivated individual who can demonstrate initiative & problem solving abilities
  • Strong client and partner relationship abilities
  • Strong MS office skills
2

Senior Operational Risk Controller Resume Examples & Samples

  • Performance of key controls on Portfolio Managers and Distributors appointed by the management company
  • Performance of due diligence on new investment products and counterparties (including portfolio managers, distributors,…). Due diligences may require some business travels within Europe (around 5-10 days a year)
  • Monitoring of future changes in the asset management regulations in order to anticipate impact on the current control and contractual framework and implementing the necessary changes within the timeframes prescribed by regulators
  • Operational risk monitoring with associated control indicators
  • Reporting and/or escalation of the exceptions identified to the funds or management companies’ board of directors
  • Preparation of reports for the funds or management company’ board meetings
  • Review and coordination of contractual updates with the legal team
  • Maintenance of a constructive working relationship with the funds' central administrator, custodian bank, portfolio managers and distributors through regular communication
  • An University Degree in Finance, Accounting or Law
  • At least 3-5 years of experience in portfolio management, distribution, operational risk management or advisory within the asset management industry (at a portfolio manager, a management company, an advisory / audit / consulting firm, a fund distributor or a legal firm – small to medium structure, entrepreneurial mindset and practices )
  • An outstanding team player with excellent communication skills and also with resilience and motivation to operate individually
  • Experience in managing senior stakeholders, up to and including board level
  • Strong knowledge of the European and Luxembourg regulatory environment and of the alternative investment funds business (and related risks)
  • Exposure to or experience at various actors of the fund industry (portfolio managers, distributors…), countries (such as for instance Luxembourg, UK, Ireland, Switzerland, Germany and/or Italy) and investment strategy (including alternative ones) would be a distinctive advantage
  • Ability to think out of the box and critical thinking
  • Result-oriented/ability to work under pressure and deliver quality results
  • A perfect command of English is required. A good command of German or French is considered a serious asset
3

Operational Risk Controller Equities Resume Examples & Samples

  • Support the development and execution of the ORC strategy for the assigned portfolio
  • Lead root cause analyses on internal operational risk events and benchmarking analyses on events that occurred in the industry
  • Partner with stakeholders in the business and logistics functions to continually improve our operational risk control processes and business operating models; support business growth; and make informed cost/benefit decisions
  • Provide guidance on the development of relevant policies and control documentation
  • 5 or more years of experience within Investment Banking with specific technical knowledge of equities (both cash and derivatives)-Middle Office / Trade Support experience, or direct Investment Banking Risk Management experience ideal. Candidates with experience in Change the Bank / Program Management Teams will also be considered
  • We are looking for a candidate with effective relationship building, communication and analytical skills who has demonstrated the ability to work effectively with and influence people up, down and across organizations
  • The candidate must be a self-starter and entrepreneurial with relevant experience in a global organization and strong knowledge of capital markets and trading activity in Equity products front to back, and cross-product support functions
  • Credentials - Must have college degree, with advanced degree strongly preferred; Special industry certification in risk, financial analysis, accounting or six sigma strongly preferred
4

Operational Risk Controller Foreign Exchange Resume Examples & Samples

  • Review and approve new business initiatives and offshoring / outsourcing activities
  • Provide expert guidance on the development of relevant policies and control documentation
  • Coordinate with other risk control functions and leverage internal audit and external reviews to develop a complete and integrated view of risk
  • A degree graduate with at least 10 years of relevant experience and specific technical knowledge of fixed income products and finance
  • Strong knowledge of capital markets and trading activity in Rates, Credit and FX products front to back, and cross-product support functions
  • Strong knowledge of internal control design, traded product front-to-back processes, cross product support and risk management principles
  • Strong technical knowledge of foreign exchange products, fixed income products, a solid foundation in the building blocks of traded products, the functioning of capital markets and investment banking activities
  • Experienced in one or more of trading, product control, middle office, operations, business management, risk control and auditing (ideally combined with more recent functional experience); good knowledge of traded product information technology
  • Strong team building, relationship management, project management and problem solving skills
  • Demonstrable professional integrity and a strong work ethic
5

Operational Risk Controller Resume Examples & Samples

  • Develop and execute the ORC strategy for the assigned portfolio and proactively oversee the identification, assessment, measurement, mitigation and monitoring of operational risk in the assigned portfolio
  • Escalation of high and critical risks and those not adequately addressed to the Regional / Global Head of ORC
  • Lead root cause analysis on internal operational risk events and, where deemed relevant, benchmarking analyses on events that occurred in the industry - you'd be required to stay abreast of industry news and regulatory developments pertinent to the assigned portfolio to facilitate a more proactive approach to risk identification and mitigation
  • Partner with the business and logistics management to continually improve our operational risk control processes and business operating models; support business growth; and make informed cost/benefit decisions. You'd be required to coordinate with other risk control functions and leverage internal audit and external reviews to develop a complete and integrated view of risk
  • Provide expert guidance on the development of relevant policies and control documentation and processing of new Business Requests / Enabling business growth: Support controlled business growth activities for Equities business initiatives through review and assessment of new business initiatives
6

Operational Risk Controller Resume Examples & Samples

  • Develop and execute the ORC strategy for the assigned IB business sector portfolio
  • Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risk in the assigned portfolio
  • Stay abreast of industry news and regulatory developments pertinent to the assigned portfolio to facilitate a more proactive approach to risk identification and mitigation
  • Partner with the business and logistics management to continually improve our operational risk control processes and business operating models; support business growth; and make informed cost/benefit decisions
  • Four year bachelor's degree or international equivalent
  • 4 or more years of experience in with specific technical knowledge of fixed income/and or equity products and finance
  • We are looking for a candidate with strong leadership, relationship building, communication and analytical skills who has demonstrated the ability to work effectively with and influence people up, down and across organizations
  • The candidate must be a self-starter and entrepreneurial with relevant experience in a global organization and strong knowledge of capital markets and trading activity in IB products front to back, and cross-product support functions
7

Operational Risk Controller Foreign Exchange Resume Examples & Samples

  • Support Senior ORC team to execute the ORC strategy for the assigned portfolio
  • A degree graduate with at least 4-5 years of relevant experience and specific technical knowledge of fixed income products
  • Strong written and verbal communication skills and ability to communicate complex issues succinctly and clearly to non-technical persons
8

Operational Risk Controller Equities Resume Examples & Samples

  • Singapore-based candidates are welcome to apply as we may have potential openings coming up for Singapore office
  • A degree graduate with at least 4-5 years of relevant experience and specific technical knowledge of fixed income products and finance
  • Proven leadership, relationship building, communication and analytical skills
  • Ability to work effectively with and influence people up, down and across organizations
  • Strong knowledge of capital markets and trading activity in Equities products front to back, and cross-product support functions
  • Strong technical knowledge of equities products, a solid foundation in the building blocks of traded products, the functioning of capital markets and investment banking activities
  • Experience in process and organizational design
  • Strong written and verbal communication skills in English and ability to communicate complex issues succinctly and clearly to non-technical persons
  • Special industry certification in risk, financial analysis, accounting or six sigma strongly preferred
9

Operational Risk Controller Global Asset Management Resume Examples & Samples

  • Proactively supervise the identification, assessment, measurement, mitigation and monitoring of operational risks
  • Escalation of high and critical risks and those not adequately addressed to the Regional Head of ORC
  • Partner with business management to continually improve our operational risk control processes and business operating models; support business growth; and make informed cost/benefit decisions
  • Coordinate with other risk functions and leverage internal audit and external reviews to develop a complete and integrated view of risk
  • Help promote and instill a culture of operational Risk management and operational excellence across the assigned portfolio
  • Strong relationship building, communication and analytical skills who have demonstrated the ability to work effectively with and influence people up, down and across organizations
  • A self-starter and entrepreneurial with relevant experience in a global organization and strong knowledge of the Global Asset Management Business
  • Strong knowledge on internal control design, traded product front-to-back processes, cross product support (incl. roles and responsibilities) and risk management principles
  • Functional experience in one or more of Trading, Product Control, Middle Office, Operations, Business Management, Risk Control and Auditing (ideally combined with more recent functional experience); good knowledge of traded product information technology
  • Strong technical knowledge of Equity and Fixed Income products, a solid foundation in the building blocks of traded products, the functioning of capital markets and the asset management industry
  • Experienced working in a global, multicultural, performance-driven organization
  • Must have experience in process and organizational design
  • Knowledge of banking/securities industry regulatory, legal and accounting frameworks in APAC is also desirable (e.g. Dodd Frank, FATCA)
10

Senior Operational Risk Controller for Busa Resume Examples & Samples

  • Ensuring all operational risks in the business are well understood and controlled
  • Independent review of the design and operating effectiveness of the internal control environment
  • Advisory to the business on methods, techniques, tools, and governance for risk identification, assessment, mitigation and reporting
  • Supporting the business in defining their qualitative and quantitative risk appetite and making sound risk-reward decisions
  • Actively monitor remediation of risks and ensure they are sustainably addressed
  • Supporting the Bank USA (BUSA) business in defining its quantitative and qualitative Operational Risk Appetite and in making sound risk-reward decisions on controls and business plans
  • 7-10 years of experience within the financial services industry specific to Banking
  • Good organizational and process skills
  • Previous experience with risk and controls in an enterprise environment (e.g., Operational, IT, Credit, etc.)
  • Ability to work in a highly collaborative environment
  • Proficiency in Microsoft Office Suite: in particular Excel, PowerPoint and Access
  • Strong time management skills - ab
  • Li-EL1
11

Operational Risk Controller Resume Examples & Samples

  • Develop and execute the ORC strategy for the assigned portfolio
  • Help promote and instil a culture of Operational Risk Management and operational excellence across the assigned portfolio
  • Review and approve new business initiatives
  • Ability to work effectively with and influence people across the organizations
  • Strong knowledge of wealth management front to back, and cross-product support functions
  • Knowledge of Basel II and Sarbanes-Oxley preferred
12

Market & Credit Risk Operational Risk Controller Resume Examples & Samples

  • Assessing the integrity of the process to identify, assess, manage and remediate OR operated by these functions
  • Completing group-wide risk assessments for market and credit risk for operational risk and raising awareness of the importance of our approach to operational risk
  • Lead root cause analysis on internal operational risk events and, where deemed relevant, benchmarking analyses on events that occurred in the industry
13

Operational Risk Controller Resume Examples & Samples

  • Develop and execute the ORC strategy for assigned portfolio
  • Help promote and instil a culture of operational Risk management and operational excellence across the assigned portfolio
  • Review and approve the function’s approach (including ongoing significant changes) to internal controls assessments
  • Bachelor's degree or international equivalent
  • 10 years + experience within Investment Banking in a Finance or Risk function
  • Accounting qualification preferred
  • Strong written and verbal communication skills with the ability to covey complex issues succinctly to senior management
  • Ability to influence and persuade senior management and peers to adopt ideas
  • Strong team building, relationship management, and project management
  • Strong business analysis and problem solving skills
  • Ability to easily to manipulate and analyse broad range data
  • Comfortable with ambiguity
  • Self-starter with a track record of success and progression
  • Must be process oriented and have strong attention to detail
  • Strong Microsoft Office Suite skills (e.g., Power Point, Excel, Access, Word)
14

Senior Operational Risk Controller Resume Examples & Samples

  • Ensure Team Leads comply ORC process and policies related to General Ledger Account Ownership Sarbanes Oxley Compliance, Regulatory Reporting Framework, reporting of operational issues/incidents
  • On an ongoing assess op risk issues reported by Legal Entity Controllers, review root cause analysis, and ensure adequacy of remediation and its impact on SOX 404 i.e. control matter
  • Finance Workstation is a governance tool that monitors daily critical tasks and monthly key performance indicators of processes deployed to Pune. It currently covers ~70 processes. Responsibility and accountability. Ensure timely submission of report through FWS on a monthly basis
  • Ensure LEC’s have reported key control issues (e.g. GLAO/SOX/Control Improvement Points/Operational Loss) through FWS and Pune Process Performance Monitoring Report
  • Ensure integrity of Pune Process Performance Monitoring Report by analyzing outcomes reported by LECS within GLAO/SOX/Regulatory Reporting Framework program
  • Co-ordinate timely and accurate completion of the monthly Key Performance Indicators (KPI) reporting
  • Expert knowledge of SOX framework and thorough understanding of Pune SOX processes and key controls. Active participation in Global SOX meetings
  • Collaborate and partner with Regional Operation Risk teams for matters related to SOX/GLAO/RRF/Op Risk Incidents
  • Ensure timely completion of various activities of SOX 404 i.e. Beginning of the Year, Operating Effectiveness Test and End of Year sign offs for key controls, process related to SOX in Pune
  • Participate in global and/or regional initiatives including quality assurance reviews, front to back reviews and theme based deep dive reviews
  • Team Leads in Group Finance, Pune
  • Pune Head of GLAO/SOX
  • Regional Operational Risk and Control teams
  • Global Head of GLAO & SOX
15

Operational Risk Controller Resume Examples & Samples

  • Develop and execute the ORC strategy for the assigned portfolios and functions
  • Proactively supervise the identification, recording, assessment, measurement, mitigation and monitoring of operational risk in the assigned operational and investment areas
  • Escalation of high and critical risks and those not adequately addressed to C&ORC management
  • Help promote and instil a culture of operational risk management and operational excellence across the assigned portfolio
  • Control expertise - Must possess strong knowledge of internal control design, traded product front-to-back processes, cross product support (incl. roles and responsibilities) and risk management principles
  • Functional experience - Must have experience in one or more of portfolio management, product control, middle office, operations, business management, risk control and auditing (ideally combined with more recent functional experience); good knowledge of product information technology
  • Product knowledge – must have strong technical knowledge of asset management and investment products
  • Business experience – Must have experience in a global, multicultural, performance-driven organization; Must have experience in process and organizational design; Knowledge of Basel II and Sarbanes-Oxley preferred
  • Industry experience – Must have knowledge of asset management regulatory and operational risk frameworks
  • Core competencies
  • LI-Recruiter
16

Operational Risk Controller Resume Examples & Samples

  • 3-5 years of experience in the financial services industry
  • Excellent organizational skills and the ability to work to deadlines
  • Financial product knowledge
17

Operational Risk Controller Resume Examples & Samples

  • 1st Level of Control Result Reporting
  • Coordination with other Operational Permanent Control /Risk ORC teams for incident & risk monitoring and follow-up action plan
  • Promote action plans of high quality and monitor the implementation with bottom-up & top-down communication
  • Regular Risk Assessment
  • Control method alignment with other OPCs
  • Participate and contribute to Internal Control Committees of related entities
  • Educational background: Bachelor degree in Business or similar degree
  • Min. 3 years’ experience in operational control/ capital markets operation/ project management / internal control or audit will be considered
  • Languages: English; fluent in Mandarin/Cantonese/French is a plus
18

Operational Risk Controller Resume Examples & Samples

  • Perform review and analysis of consequential risks, in detail, by theme or by trend
  • Deliver independent risk assessment and reports that shed light on our risk profile
  • Provide business management and senior committees in the region with information and insights required to manage risk
  • Perform second-line-of-defense activities in relation to consequential risks
  • Ensure risk frameworks are designed well and operating effectively
19

AVP, Operational Risk Controller Resume Examples & Samples

  • As appropriate, conduct reviews on operational risk metrics (risk events, RCSA, KRIs, etc) including the responses and action plans, and assessing the effectiveness of these as adequate mitigants to the risks identified
  • Identify and alert senior/unit management of systemic operational risk issues/emerging trends across businesses, whilst ensuring that there are appropriate preventive/detective controls in place
  • University degree or equivalent, with major study in finance, business administration, accountancy or economics
  • A self starter who is adaptable and embraces change and willing to learn and share
  • Good presentation and inter-personal skills, with ability to work with and influence individuals of different seniorities
  • Comprehensive knowledge of banking products/services, activities and operations
  • Analytical and able to identify potential operational risk exposures in business activities, new product/service offerings and outsourcing initiatives, and assess the appropriateness and adequacy of mitigating controls required
  • Able to work with business/support units at all levels in rollout of various operational risk management processes
  • Must be a team player with ability to work professionally with team members and workgroups formed with other business/support units
20

Operational Risk Controller Resume Examples & Samples

  • TRC acts as the primary 'second line of defense' for liquidity and funding risk and oversees all Treasury risk-taking activities
  • MRMC is the independent control function performing model validation in conjunction with TRC for models used within Treasury
  • C&ORC is an independent control function focused on review of controls front-to-back