Operational Risk Resume Samples

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LD
L Daugherty
Lavonne
Daugherty
40457 Beverly Port
New York
NY
+1 (555) 986 2092
40457 Beverly Port
New York
NY
Phone
p +1 (555) 986 2092
Experience Experience
Los Angeles, CA
Operational Risk
Los Angeles, CA
Daugherty-Wunsch
Los Angeles, CA
Operational Risk
  • Facilitation of operational risk event collection, performing detailed reviews of events, tracking of remediation, conducting trend analysis and reporting
  • Conducting scenario analysis, developing and maintaining a library of case studies
  • Working with senior stakeholders within the business and federation divisions, strengthening and developing the risk framework and its individual components
  • Conducting scenario analysis, coordinating development of case studies to quantify and measure operational risks, maintaining a library of case studies
  • Identifying, monitoring and analyzing risk measures
  • Developing, implementing and updating of policies, procedures and systems; and
  • Work with other support functions to enhance second line controls, including automating the monitoring processes
New York, NY
Operational Risk Mgr
New York, NY
Strosin and Sons
New York, NY
Operational Risk Mgr
  • Manage and coordination ERM’s review process of High Risk NBIs among all risk types
  • Develop and prepare timely reporting within ERM division to support effective ERM’s reviews and timely feedback NBI sponsoring divisions
  • Prepare analysis to support EOR officers’ decision with regard to granting exemption or exceptions to the NBI standard
  • Foster and maintain relationships within the 3 lines of defense community – serving as central point of contact/communication regarding the NBI program
  • Manage the NBI website to ensure the contents are relevant and up-to- date
  • Strong knowledge of risk management framework
  • Working knowledge of Microsoft Office (Excel, Word, PowerPoint, SharePoint)
present
Houston, TX
Head of Operational Risk
Houston, TX
Cormier LLC
present
Houston, TX
Head of Operational Risk
present
  • Assist in developing policies and procedures for local staff, including adapting existing Group policies
  • Build and lead a team of Operational Risk Managers to effectively monitor and assess operational risk management across India and Sri Lanka
  • Head up a Risk Management team and train and develop staff
  • Management of 1 AVP analyst who may work in a different location (eg US)
  • Provide expert guidance on the development of relevant policies and documentation
  • Lead special projects / task forces / working groups relating to the Operational Risk framework or identified OR risk issues
  • Input to the develop and execution of the OR strategy and framework, regionally and in-country
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
University of California, Irvine
Bachelor’s Degree in Accounting
Skills Skills
  • Strong knowledge of and experience with Legal and Compliance divisional responsibilities within an investment bank / broker-
  • Self-starter who can work independently and proactively with strong organizational skills and attention to detail
  • Excellent interpersonal, financial and analytical skills and ability to work in a fast paced environment
  • Excellent communication skills, both verbal and written; ability to produce concise and effective presentations with impact and influence
  • Strong analytical skills and attentive to details
  • Multi-tasking and able to work under pressureProficiency in Microsoft Office applications, expertise in macro/VBA will be
  • Strong organizational skills (project management experience a plus) and attention to detail
  • Strong knowledge of and experience with Legal and Compliance divisional responsibilities within an investment bank / broker-dealer
  • Strong technical and quantitative aptitude to be able to understand and determine quantification of operational risks, ideally
  • Excellent interpersonal, verbal and written communication skills – able to present with impact and influence
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15 Operational Risk resume templates

1

Head of Operational Risk Resume Examples & Samples

  • Coverage includes all LOBs in the SEA region – Singapore, Malaysia, Indonesia, Vietnam, Thailand
  • Own and deliver Aggregated Risk Profiles (ARPs) by Country
  • Requires the country ORO to assess the business mix for each country, review the relevant sub-LOB ARPs and include the relevant risks to the country ARP
  • Input to the develop and execution of the OR strategy and framework, regionally and in-country
  • Interact directly with country heads, local business leads, attend local BCCs and document challenge
  • Promote and instill a strong culture of ORM, partner with the business to continually improve OR processes and business operating models supporting safe business growth and informing risk related decision making
  • Review high risk new business initiatives and off shoring/outsourcing activities in conjunction with the local CAO offices
  • Support the Business on risk assessment of change initiatives across APAC, providing oversight on a portfolio view of change initiatives
  • Collaborate and coordinate closely with CIB OROs and ensure OR standards are communicated, understood and applied in the countries - review adherence to COR governance, standards, policies & framework across LOBs, functions and countries
  • Facilitate scenario analysis with businesses to stress the control environment under simulated conditions, drive accurate capital allocations and input to local ICAAPs as required: run in-country scenario analysis workshops which may include LOB specific scenarios
  • Review and incorporate internal & external loss data sets, conduct scenario analysis, understand the impact on the capital calculation and optimize outputs
2

Operational Risk Department Metrics Resume Examples & Samples

  • Set the strategic direction and vision for operational risk metrics, reporting, and data governance globally
  • Govern the metrics program, including setting data standards, defining technology requirements, determining fitness for purpose, performing data quality enforcement, and consistently aligning programs with strategic technology direction
  • Develop data analytics program using operational risk data (event data, risk assessments, control/risk issues, external event data, peer data, etc.) to produce insightful analyses to support risk identification, risk communication, risk mitigation strategies, resource prioritization as well as assessments of the effectiveness of the operational risk framework and capital adequacy
  • Represent the operational risk department in a variety of high profile internal and external forums
  • MS or PhD in Data, Engineering, Statistics, Mathematics, Financial Engineering, or a related field
  • Significant experience (8+ years) in Risk, with fluency in Operational Risk
  • Extensive experience solving analytical problems using quantitative approaches
  • Comfort manipulating and analyzing complex, high-volume, high-dimensionality data from varying sources
  • A strong passion for empirical research
  • Ability to communicate complex quantitative analysis results in a clear, precise, and actionable manner
  • Technical fluency in a high number of analytical tools
  • Experience working with large disparate data sets
  • Strong project management and organization skills with the ability to multitask and prioritise; ability to work under pressure and to tight deadlines
  • Ability to work in a small team environment, building and maintain a network of contacts and coordinating with a large number of stakeholders
  • Knowledge of operational risk modeling and AMA frameworks an advantage, but not essential
  • Native or strong fluency in English
3

VP Operational Risk Resume Examples & Samples

  • Based in New York, U.S., reporting to the Regional Head of Operational Risk for Americas
  • Coverage of all Global Private Banking activities in the Region including functions and HTS activity
  • Regular interfacing with the wider GPB operational risk team and Regional cross-business operational risk teams
  • Regular interaction with country and regional CAOs and BRCM / business management
  • Complex stakeholder engagement covering the business, functions and regional cross-business Operational Risk teams in multiple locations
  • Experience working in a risk management function or similar discipline
  • Financial services experience including knowledge of the business, process, systems and products
  • Ideally, knowledge and understanding of HSBC’s structure, products, processes and systems
  • Team player with communication, organization, presentation and influencing skills whilst maintaining the ability to operate proactively and independently with confidence where required
  • Fiduciary Risk experience, in particular with Discretionary Investment or Trust, is preferred
4

Operational Risk Mgmt Resume Examples & Samples

  • Implement the enterprise operational risk framework in Asset Management
  • Understand the Enterprise operational risk framework
  • Understand the Asset Management business and operations
  • Assist Asset Management staff in implementing the enterprise risk framework (risk identification and analysis, risk metrics, mitigation solutions, risk assessments, etc.)
  • Monitor operational risks in Asset Management, identify gaps and deficiencies and make mitigation recommendations
  • Collaborate with TIAA Asset Management investment boutiques to monitor their operational risks and to improve their mitigation solutions
  • Prepare comprehensive operational risk reports on a regular basis for both TIAA Asset Management and its investment boutiques to highlight key issues, trends and potential impacts
5

Operational Risk Modelling Resume Examples & Samples

  • 3-5 years of work experience in a financial institution with solid understanding and practical experience of model development
  • Strong experience in VBA/S-Plus/R or other similar packages necessary
  • Experience in Basel II/RWA and Economic Capital requirements
  • Experience in an operational risk management role is strongly preferred
  • Strong organisational skills and ability to work under pressured timelines
  • Team player but comfortable with self-working
  • Ability to communicate complex concepts to varied audiences in a logical and precise manner
6

SVP Operational Risk Resume Examples & Samples

  • Changing of the current culture and mind-set, of the various disparate approaches and reporting across the control environment of the US Bank, working in a collaborative, consulting approach
  • Support business initiatives without compromising standards of internal control. The jobholder will liaise with businesses to foster the understanding and spirit of controls and ensure accurate and objective reporting to Senior Management
  • Emerging markets and/or rapid growth in the business and/or constant changes in regulatory requirements also pose an operational risk challenge. The jobholder needs to be able to quickly analyze complex situations, influence these strategies with practical, effective and commercial solutions through a comprehensive assessment if the operational risks are perceived to be too high and also to aid in the mitigation of risks
  • Ensure that potential risk areas are accurately identified by management. Support management efforts to identify mitigating actions, ensuring independence of thought and lateral thinking
  • Build and maintain a strong “business-facing” team with sufficient resources and skills
  • Must be able to work effectively with individuals at a higher-level within the organization
  • Must be able to calmly handle stressful or pressure-oriented situations and assignments
  • Ability to effectively work and multitask in a fast-paced environment
  • Operational Risk Management is an evolving discipline within financial services. While initially regulatory driven, the benefits of good Operational Risk programs (lowered loss expenses linked to better controls as a result of Operational Risk assessments, positive regulator reviews, predictive measures highlighting potential areas for loss, etc.) have inspired managers to more readily embrace its philosophies. This has resulted in Operational Risk management becoming a growing discipline where trailblazers have the opportunity to form policy and impact regulations
  • The amount of supervision required for this position will vary, as the position is somewhat autonomous. The incumbent is expected to work within overall guidelines and timeframes making deadlines set forth
  • HNAH's program for Operational Risk Management is geared to meet the Advanced Measurement Approach and is at peer with large, complex banking organizations in the US. Many aspects of the program have been identified as Group best practice
  • The nature of the role requires close working contact with senior and executive management and all business areas across HNAH. The jobholder also works closely with Group Operational Risk and various ORIC Committees. Lastly, this position provides direct support and guidance to all business units ORIC Coordinators
  • The jobholder is required to contribute to maintaining an excellent relationship with the Regulators in relation to ORIC matters
  • The jobholder must possess strong knowledge on banking regulations and operations as well as internal control and audit concepts
  • The jobholder is expected to be highly organized and to act independently and exercise broad discretion with minimal guidance and supervision
  • Ten years proven operational risk management, management information reporting, running of operations at senior management levels, continuous quality improvement organizations, or equivalent
  • Bachelor’s degree in management, finance, economics, related field or equivalent experience; Master’s Degree preferred
7

Senior Operational Risk Capital Manager Resume Examples & Samples

  • PhD / MSc in numerical principle
  • Proven experience in a financial institution with solid understanding and practical experience of model development
  • Experience of VBA/S-Plus/R or other similar packages necessary
  • Experience in an operational risk management role is preferred
  • Outstanding Analytical and Problem Solving skills
  • Good organisational skills and ability to work under pressured timelines
8

Senior Manager IT Operational Risk Resume Examples & Samples

  • Provide IT Operational Risk advice and counsel to the GTI Pillars Executive and Management, eg. Lead analysis and make recommendations related to risk exposures, trends, early warning, education and best practice information in the area of IT Operational Risk
  • Prepare and analyze pillar profiles, recommend and oversee risk mitigation processes and communicate regular reviews to leadership management
  • Actively participate in change management practises and provide operational risk counsel to key projects
  • Provide risk advisory role relative to audits, ensuring GTI pillars are appropriately prepared
  • Accountable to promote awareness of operational risk across the pillars
  • Advocate for, influence and represent the GTI pillars’ needs and interest to ensure the development of policies, standards and practices incorporate GTI’s needs and considerations
  • Lead the implementation of IT Risk Framework, GTI Enterprise Risk Control Framework, projects and processes that mitigate IT operational risk in GTI pillars under the incumbent’s portfolio. The role provides business, operational and long term strategic guidance in the development of IT Operational risk controls, processes, and tools
  • Relationship Management with GTI pillars, Audit, ORM and other relevant governing bodies
  • Knowledge of Operational Risk
  • Excellent understanding of processes designed for control and risk management, oversight, and governance
  • Product and processing knowledge including specific knowledge of business processes/services, end to end product support and inherent risk points
  • Minimum 7-10 years experience in either Infrastructure or Risk Management
  • Engagement in significant organization changes at a senior level
  • Experience in Audits or Consulting would be a major asset
  • Risk Certification
9

Regional Head of Capital Markets IT Operational Risk Resume Examples & Samples

  • Manage and operate risk identification and control processes across the New York based Capital Markets IT organization
  • Develop approaches to identify and monitor key controls aligned to the risk universe and regulatory requirements
  • Guide and influence the development of Key Risk Indicators
  • Maintain strong relationships within the Technology team, Business Continuity, Internal Audit and Operational Risk Functions within the bank
  • Manage programs to mitigate both operationally and project delivery risks and provide comprehensive management reporting
  • Contribute to the global teams strategic direction
  • Provide Technical Subject Matter expertise on all IT Risk Matters which includes (but is not limited to) Business Continuity Risk, Information Security, Change Management Risk and Project Risk
  • Local reporting manager for a small team (1-2) of IT Risk Staff
  • Conduct Top Down Risk Assessments
  • Manage the approach and framework and conduct interviews with senior managers within the organization and their directs to identify risk and assess the risk
  • Provide recommendations and strategies to management to mitigate risk
  • Ensure appropriate reporting is in place
  • Conduct detailed (or bottom up) Risk Assessments
  • Manage the approach and framework to identify specific areas of focus and conduct a bottom up Technical Risk Assessment
  • Conduct Root Cause Analysis on incidents/events
  • Based on needs, there will be a requirement to lead or participate root cause analysis of incidents to understand root cause and develop approaches to mitigate in the future
  • 4 years within IT and/or Operational Risk
  • 4 years investment banking experience
  • 3 years within Information Technology development or operations role or Information Security Consultant
10

VP, Operational Risk, BIA Resume Examples & Samples

  • Proven track record of high performance in previous roles to include senior client management
  • Relevant professional qualifications (e.g. ACA, FRM) or postgraduate qualification in quantitative discipline for Operational Risk)
  • Good understanding of the control, regulatory and risk issues in Operational Risk
  • In depth knowledge of operational risk measurement in the context of Basel 3 and strong ability to translate this awareness into audit strategies
  • Practical Operational Risk Management experience and a good understanding of the operational risk framework and techniques (RCSAs, KRIs, KIs, Risk Events, Lessons Learnt etc.) and control activities
  • In depth knowledge of the regulatory environment and developments including Basel 3, CEBS 216
  • In depth knowledge of individual risk practices and Enterprise Risk Management
  • Comprehensive understanding and ability to interpret individual risk measurements
  • Comprehensive understanding of governance and control frameworks
  • Awareness of AMA practices within Financial Services organisations
  • Financial services industry knowledge
  • Experience of leading others during audit assignments
11

IT Operational Risk & Control Resume Examples & Samples

  • Provide guidance and advice to TDS New York technology teams on IT risks/threats/gaps, including controls and regulatory requirements
  • Participate actively in the risk and control processes (e.g. risk assessment, control self-assessment, application security review, SOX control testing, etc.)
  • Review existing and proposed technology practices to minimise risk exposure
  • Assist TDS NY technology (or business if required) in meeting applicable control and regulatory requirements
  • Lead and coordinate control gap remediation efforts and ensure open audit/regulatory items are close on time
  • Maintain up to date knowledge of local and regional technology related regulations and industry practices
  • Prepare reports to local and/or global management forums as required
  • Perform sampling and testing to prove quality of Technology team’s responses
12

CIB Operational Risk Operational Risk Oversight Manager VP Resume Examples & Samples

  • Input to the develop and execution of the OR Management Framework (ORMF) & Strategy
  • Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risk through consumption of information from the effective deployment of RCSA’s, KRI’s, scenario analysis, event management (monitoring of event recording, event trend analysis) and targeted risk assessments
  • Promote and instill a strong culture of ORM and operational excellence, partner with the business to continually improve OR processes and business operating models supporting safe business growth and informing risk related decision making
  • Support the Business on risk assessment of change initiatives across EMEA, providing oversight on a portfolio view of change initiatives
  • Collaborate and coordinate closely with in-country Control Officers to ensure OR standards are communicated, understood and applied in the countries - review adherence to ORMF, governance, standards, policies & framework across LOBs, functions and countries
  • Oversight of and Participation and oversight of monthly Regional/LOB/Functional Operational Risk Committees
  • Support for OR element of annual ICAAP process coordinated by UK Regulatory Reporting
  • Liaison with PRA & FCA and other regulators in respect of Operational Risk matters
13

Global Operational Risk & Control Resume Examples & Samples

  • Take day-to-day responsibility for validating and reporting all Client Money obligations
  • Fulfil all Proof Owner responsibilities in the reconciliation and submission of general ledgers on a monthly basis
  • Develop effective working relationships with colleagues across Operations and other business areas
  • Contribute to numerous ongoing tactical and strategic developments
  • Produce and maintain procedural documentation
  • Ability to communicate effectively with internal and external clients
  • Understanding of risks involved in the role and the ability to escalate issues appropriately
  • Ability to work under pressure and adhere to deadlines in an area undergoing immense change
  • Participate in ad hoc projects as defined by supervisor
  • Contribute to the objectives of the function and overall business
  • Contribute to the development of new techniques and processes
  • To ensure prioritisation and resolution of high-risk items
  • To minimise losses and errors across your line of responsibility, using consistently high standards, processes and controls
  • Help to create and build an environment of teamwork and encourage two-way communication
  • To assist in developing the department’s image, enhance its profile and maintain its reputation
  • Meeting all Control and Compliance requirements, in particular but not limited to all RSCA controls, as well as carrying out mandatory training, regular review and update of procedures as required ensuring that changes in process as well as new processes are fully documented
  • Familiarity with FSA Client Money regulations for the protection and segregation of client funds
  • Ability to work in a high volume-processing environment and add value to multiple projects/priorities
  • An interest and general understanding of the financial products industry
  • Understanding of security trade flows and impact on Income processing
  • Strong MS Office skills – Specifically Excel, including Macro’s and VBA
  • Good communication, problem-solving and interpersonal skills
  • Ability to understand new processes quickly and suggest change where applicable
  • Strong focus on control
  • Desire to work in a pressurised area undertaking immense change
  • Self starter
14

Regional Head of GBM Operational Risk Americas Resume Examples & Samples

  • Engagement in key Operational Risk Management governance forums (including GBM Americas Exco) and key change management initiatives to ensure that operational risk exposure is considered and addressed
  • Lead independent thematic material risk insight reviews Management responsibility a regional team and supporting framework for monitoring, oversight and relationship with direct and indirect staff in the Americas
  • Managing the site visits program, so that the regional businesses have the appropriate level of oversight, in places where we do not have team members on the ground
  • Be a trusted member of the GBM Americas governance forums
  • Closely partner with Regulatory Compliance , Financial Crime
  • Compliance and other Risk functions
  • Ensure Global Standards are fully embedded within GBM
  • Engage with and drive the GBM implementation of the Operational Risk Transformation Programme
  • Global Banking and Markets Operational Risk discharge oversight on the management and monitoring of operational risk by the businesses and their support functions
  • Candidate would need excellent interpersonal, communication and influencing skills and confidence to deal with senior and executive/C-level staff to sell the benefits of OR management and challenge their operating environment
15

Head of Operational Risk Resume Examples & Samples

  • Implement the Group Operational Risk Management Frameworks, including appropriate business continuity, fraud & security risk management
  • Develop an appropriate risk governance structure
  • Assist in developing policies and procedures for local staff, including adapting existing Group policies
  • Arrange induction and on-going risk awareness training requirements for local staff
  • Identify, assess and provide advice on risk management needs and risks in relation to establishment of
  • Develop policies and procedures for local staff, including adapting existing Group policies
  • Undertake periodic reviews of the China activities and processes to ensure operational integrity
  • Be across the latest international protective security issues and trends, including those relating to counter terrorism and business resilience
  • Provide high value advice and leadership to ensure a program of continuous improvement in fraud risk management, protective security and business continuity risk management processes
  • Maintain the relationship with local/regional Police as well as local security companies and agents where necessary
16

Operational Risk Resume Examples & Samples

  • BA/BS in finance or related field
  • 7-10 years experience in financial services ideally in an internal control function such as Audit, Operational Risk or Compliance
  • Sound and in depth knowledge of the operational risk and control environment and disciplines / best practices that are operated within a global banking and markets type business
  • Strong analytical skills especially with regards to understanding business risk, processes, procedures and operational controls
  • Excellent presentation skills especially in the creative and effective use of Excel, Word and PowerPoint
  • Flexibility for traveling within the region as needed
17

Operational Risk Modeller Resume Examples & Samples

  • Lead and further grow a team of operational risk modellers in the ongoing maintenance of the Group Operational Risk model and implementation tools
  • Support the ongoing development of the Group's stress testing capabilities in relation to the Operational Risk and the incorporation of these in the regulatory frameworks (CCAR, ICAAP, etc)
  • Support the ongoing integration of elements of the Operational Risk Framework in the Operational Risk Capital approach
  • Support the communication to senior management and the various governance groups as well as the regulatory bodies
  • Support the Operational Risk scenarios process across the various jurisdictions
  • Provide quality assurance (testing, documentation) on all quantitative elements of the operational risk model to ensure internal/external approval
  • Excellent mathematical and computing skills
18

Senior Operational Risk Resume Examples & Samples

  • A quick learner and an assertive individual who can act by following instructions or independently when appropriate
  • An organized, self-managed candidate, with capability to carry out routine work and urgent issues as they arise, with a focusbeing results focussed
  • Display knowledge & authority in dealings with all parties and maintaining priority of achieving goals
  • Display attention to detail in all aspects of work and relationships
  • Can establish themselves as a reliable point of contact
  • Ability to work independently on large projects which are key to the development /progression of the Risk Team
  • Be able to develop and manage interpersonal relationships both internally and externally
  • Excellent verbal, written and numeric skills
  • Relevant Degree or Postgraduate qualification with financial element or compliance or regulatory risk
  • Minimum of 4-6 years' work experience in an asset management, mutual funds risk or life insurance environment
  • Good understanding/working knowledge of risk measurement tools/concepts i.e. leverage, counterparty risk exposure
  • Good understanding/working knowledge of financial products including derivatives
  • Prior understanding and background knowledge of regulatory risk a minimum requirement
  • Excel proficiency essential
19

Operational Risk Director Resume Examples & Samples

  • Assist, review and challenge and provide quality assurance for the IB Risk and Control Self-Assessment (RCSA) process in the region partnering with ORM regionally and globally
  • Attendance of and active engagement in standing business partnership and control meetings focusing on identification of emerging and existing risks, escalation, mitigation and remediation to ensuring an environment of continuously improving operational risk management and reduction
  • Facilitate training as required to front office staff, Shared Services etc
20

Cib-latam Operational Risk Oversight Resume Examples & Samples

  • Input to the development and execution of the OR Management Framework (ORMF) & Strategy
  • Build and maintain strong relationships with stakeholders to facilitate open information channels and to ensure that the OR function remains aware of business change, relevant to the risk decision making process through both counsel and independent challenge
  • Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risk through consumption of information from the effective deployment of Risk and Control Self Assessments (RCSAs), Key Risk Indicators (KRIs), scenario analysis, event management (monitoring of event recording, event trend analysis) and targeted risk assessments
  • Promote and instill a strong culture of Operational Risk Management (ORM) and operational excellence, partner with the business to continually improve OR processes and business operating models supporting safe business growth and informing risk related decision making
  • Provide expert guidance on the development of relevant policies and documentation
  • Support the Business on risk assessment of change initiatives across Latin America, providing oversight on a portfolio view of change initiatives
  • Collaborate and coordinate closely with Control Officers to ensure OR standards are communicated, understood and applied - review adherence to ORMF, governance, standards, policies & framework across Lines of Business (LOBs), functions and countries
  • Promoting cross-LOB/Function consistency and adoption of best practices
  • Strong theoretical and practical knowledge of OR - practical experience in applying and managing an OR framework in financial services
  • Deep business understanding in a chosen area in addition to a general understanding of the other Lines of Business functioning in the region
  • Ability to appreciate nuances of unique CIB business models and manage across multiple stakeholder groups to achieve a consistent application of ORMF & tools
  • Practical understanding of how to apply OR tools in practice and achieve outstanding results
  • Deep understanding of regulatory requirements as they relate to best practice risk & control
  • Strong appreciation of governance – ability to structure efficiently, organize effectively and communicate clearly
  • Proven ability to critically analyze data from disparate sources against standards, highlight anomalies, understand drivers, summarize, escalate and remediate
  • Strong relationship management skills – strong influencing, communication and negotiation skills
  • Understanding of Basel II standards for capital calculation is a plus - ability to critically analyze and opine on capital allocation outputs
  • Ability to conduct training to staff at all levels and clearly and concisely communicate the process and benefits of the ORMF
21

Regional Operational Risk-reputable Insurer Resume Examples & Samples

  • Ensure an effective ERM Framework through establishing, implementing and maintating the Operational Risk management for identifying, assessing and managing operational risk and review related policies in line with Group Operational Risk policy and standards as well as all other related regulatory and professional requirements
  • Manage the process for setting the operational risk appetite
  • Design and develop all mechanisms and tools for performing risk assessment including business /functional risk appetite and stress and scenario testing for Operational Risk
  • Provide a 2nd (line) opinion on key operational risk decisions including systems, controls, people and processes including BCP, internal controls, outsourcing, models and key inherent operational risk matters as well as providing information to CRO and/or operational risk related committees to enable a decision to be made on whether or not to proceed, in accordance to company's governance structure
  • Set and agree firm-wide operational risk priorities
  • Act as the operational risk adviser to the firm, and in particular to guide senior management in their operational risk management responsibilities,
  • Establish a process and awareness for embedding operational risk
  • Bring an operational risk focused viewpoint to strategic planning and other activities of senior management
  • Facilitate the implementation of the operational risk processes, providing, coaching and guidance to business line management
  • Monitor and manage the firm's overall exposure to op risk including working with the business line and other functions to mitigate operational risk
  • Ensure a consistent approach to operational risk across the lines of business and functions
  • Co-ordinate appropriate and timely reporting of op risks reports
  • Co-ordinate op risk input to the risk committee and the board on the firm's risk profile, control infrastructure and any control failings, weaknesses and actions taken
  • Co-ordinate input to the regulators on the relevant operational risk matters
  • Liase with key control functions including IA, Compliance and Actuarial
  • A degree holder ideally in the engineering/ finance related discipline supplemented with operational management qualification (e.g Audit, CERA)
  • In-depth knowledge of the Insurance / Banking Operations, Products and Processes
  • Proven strong people and process management skills including stakeholder management skills and an ability to work successfully with senior managers across the business
  • A strong background within internal control and the review and development of operational risk policies and procedures
  • Due to the nature of the role, the preferred candidate must have hands on experience designing and conducting risk appetite, risk assessment and control, particularly related to insurance and technology business
22

Operational Risk-scenario & Control Leader Resume Examples & Samples

  • Support the MSBNA Risk and Control Self-Assessment (RCSA) program, and proactively integrate operational risk incidents and other varying processes into continual assessments
  • Support a sustained approach to the MSBNA Scenario Analysis program and relevant workshops, through coordination with the Firm’s Operational Risk Department
  • Develop knowledge of products within the Private Banking Group that are provided by US Banks, and leverage expertise to provide support to Product Specialists and Risk Leads
  • Experience with regulatory interactions, presentation, and material preparation
  • Ability to work in a fast paced environment, both independently and as part of a team
  • Highly motivated self-starter with multi-tasking abilities, and the ability to meet tight deadlines with conflicting agendas
  • Strong sense of ownership and accountability for commercial output, the control environment, and people development
  • In-depth understanding of technical risk and control environments, such as experiences in informational security and business continuity management
  • Broad knowledge of Banking Business and Functions
23

Ihc Operational Risk Mgr Ii Group Resume Examples & Samples

  • Make recommendations to the design and implementation of the Third Party Risk management framework/measurement methodologies, in coordination with the separate subsidiaries and in line with expectations of the IHC, BNPP, and regulators
  • Implement and support operational risk framework for the IHC
  • Ensure Policies, Charters and Standards are established for the IHC Third Party Program framework to include: Governance, Monitoring and Oversight, Reporting – Program, Board and Program Testing
  • Provide transparency and reporting for the IHC and subsidiaries
  • Ability to establish, prioritize and track to aggressive deliverables
  • Responsible for maintaining effective and professional relationships with senior management, business and support areas, subsidiaries, internal and external auditors, Federal and State regulators, and others dealt with in a professional capacity
  • Responsible for staying current in Third Party Risk Management techniques, industry best practices, and regulatory requirements
  • Makes recommendations when necessary to safeguard the position of the IHC and the subsidiaries
  • Performs other duties as assigned by the Third Party Program Office
  • Experience with Board level reporting and expert in presentation development
  • Alternative: Combination of education and experience (years /description) Bachelor’s degree or equivalent combination of training and experience
  • Third Party Program Governance, Oversight and Reporting
  • Support design, implementation and maintenance of policy, standards, procedures, and governance model for IHC third party risk management program
  • Works with subsidiary partners to perform necessary oversight functions to ensure effective management of third party risks and compliance with IHC program requirements
  • Ability to synthesize information into concise Board level reporting
  • Identify emerging risk trends, portfolio concentration risk
  • Provide timely updates to Program senior management and escalate issues to appropriate levels of management
  • Perform periodic/ad-hoc reviews aka testing to determine if program and operating as designed
  • Direct all aspects of reporting for the IHC governance of third party risk management highlighting trends and identifying potential areas of concern
24

Operational Risk Mgr Ii Group Resume Examples & Samples

  • Make recommendations to the design and implementation of the operational risk management framework/measurement methodologies, in coordination with the separate subsidiaries and in line with expectations of the IHC, BNPP, and regulators
  • Implement and support operational risk framework for the IHC. Specific activities are as follows
  • Ensure Policies, Charters and Standards are established for the components of the operational framework to include: Control Environment (RCSAs, FMPs, GCPs), KRI’s and KPIs, Operational Risk Data Collection and Analysis (Historical Loss Incidents, Potential Loss Incidents, External Loss incidents); Scenario Analysis, New Activities, Root Cause Analysis
  • Coordinate and implement program expectations specified at IHC level
  • Solution oriented for the challenges working at all levels of an organization and between organizations
25

Operational Risk Systems Manager Resume Examples & Samples

  • Testing, launching and administering IBM OpenPages (Operational Risk module) and Cognos reporting. Tasks include but not limited to: user account set-up and maintenance (up to 8,000 licenses), testing of system functionality and design, creation and on-going maintenance of reports, user training and troubleshooting
  • Analytical, reporting and system support for operational risk tools in IBM OpenPages (particularly RCAs) while adhering to the Bank's regulatory requirements
  • Assisting with the delivery of accurate and timely reporting for the Bank’s operational risk reporting requirements
  • Supporting operational risk administrators in the Bank's subsidiaries with system implementation based on local requirements
  • Enhancing the overall system experience for business, GOR and other users
26

Manager Global Operational Risk Resume Examples & Samples

  • Supporting the management and tracking of the Risk and Control assessment program that is conducted in significant units
  • Managing the development and background research required for each Scenario Analysis program across the 4 business lines
  • Supporting the Directors with the monitoring of the New Products Policy and Service reviews
  • Tracking and monitoring the Business units' Operational Risk Action Plans, KRIs, RCA and Business Environment survey responses
  • Participating in the development and scheduling of RCA surveys, Scenario Analysis and Facilitated Working sessions
  • Documenting of Minutes and Action Plans
  • Preparing presentation decks, training material and Operational Risk reports as required
  • Supporting other projects and activities as required and
  • Participating actively in team learning development activities and team performance achievements
  • Maintaining a high level of internal client service and support
  • Facilitating a culture of open and honest communication
  • Encouraging the generation of new ideas and approaches
  • Actively sharing knowledge and experience to enhance the development of all team members
  • General knowledge of the Banks' operating environment and organization structure is required
  • Maintain awareness of regulatory requirements and industry best practices in operational risk
  • Support the Director, Operational Risk in the review, assessment and enhancement of the Bank's operational risk management tools and methodologies including KRIs, Scenario Analysis, Business Environment Surveys, New Product & Services reviews as required
  • Participate in workshops in strategically identified business units or processes
27

Operational Risk Systems Manager Resume Examples & Samples

  • Project Management: support for key change the bank activities relating both to the C&ORC Framework and the suite of supporting tools; plan and manage specific work streams of activity, working closely with the SORT Functional Architect and IT Development team to ensure the strategic and structural integrity of the system and alignment to the framework; ensuring successful User Acceptance Testing is planned, undertaken and completed
  • Stakeholder Management: working closely with main stakeholders to identify key business needs / challenges within Operational Risk for which changes to the framework and supporting or systems are required; face off to the Business and IT for ORC solutions
  • People/Line Management : management of a team of Business Analysts, taking raw business requirements and working with the Functional Architect and IT Development team designing system solutions; comfortable dealing with external suppliers/vendors
  • Business Analysis : detailed knowledge of the requirements lifecycle and ability to turn business needs into technical requirements for the development teams; oversee development of detailed business requirements; provide quality assurance of requirements documentation; oversee analyse and model operational risk data using excel, access and C&ORC specific tools to help key stakeholders address key business challenges
28

Operational Risk Mgmt Resume Examples & Samples

  • 7-10 years of solid experience in the financial services industry with a preference for retirement, life insurance and retail financial services
  • Energetic person who is a self-starter and proactive – willing to roll up sleeves to get the job done
  • Extensive experience defining/documenting business processes and functions
  • Strong ability to think critically, comprehend detailed business, technology and risk concepts and develop and defend an independent position that’s based on a pragmatic and balanced assessment
29

Operational Risk Modelng Manager Resume Examples & Samples

  • Advanced degree in statistics/mathematical, finance or other quantitative field or commensurate
  • Minimum of 7 years of credit risk management and economic capital experience
  • Good knowledge of the credit risk models existing in the market, experience in statistical
  • Strong communication skills and the ability to express methodological and modeling concepts to senior management and regulators
  • Ability to understand complex issues and develop meaningful analyses and recommendations to
30

Operational Risk Department Business Manager Resume Examples & Samples

  • Develop annual ORD business objectives / business plan. Facilitate quarterly review progress against departmental goals
  • Provide financial management support and management information / reporting for ORD senior management team to ensure proactive budget management. Components of ORD financial management responsibilities include
  • 7-10 years of experience in financial services. Prior experience in business management, risk management, or consulting preferred
  • Strong analytic and financial management skills, with experience developing budgets and resource planning
  • Strong organization skills with the ability to multitask and prioritize; ability to work under pressure and to tight deadlines with close attention to detail
  • Strong communication, leadership and project management skills (role requires effective collaboration across a range of functional groups, both locally and globally)
  • Ability to interact effectively with senior level stakeholders. Experience in management by influence, facilitating and gaining consensus
  • Strong project management skill
31

Cib Operational Risk & New Product Avp Resume Examples & Samples

  • Develop expertise in the operational risk management process of MHBK NY Branch and MHBK (USA)
  • Monthly meeting of the Operational Risk Management Sub-Committee including preparation and review of meeting materials and meeting minutes
  • Investigation of operational risk events (e.g. system troubles, operational errors)
  • Development of new KRI / KPI
  • Control Self-Assessment process, including review and analysis of divisional results and formulation of reports to distribute to various Mizuho risk governance committees
  • Compliance with matters raised by auditors and regulators in internal / external examinations
  • Assist with coordination of the new product approval process for the Branch and MHBK (USA)
  • Assist with establishing the operational risk management framework for the Mizuho BHC
  • Integration of operational risk reporting across all entities in the Mizuho BHC and MHBK New York Branch
  • Calculation of operational risk capital requirement using the AMA (Advanced Measurement Approach) method
  • Writing policies and procedures for the Mizuho BHC, with strict attention to the local and parent company risk governance structure
  • Development of an integrated Control Self-Assessment process for the Mizuho BHC
  • Calculation of operational risk capital requirement using the AMA method
  • Assist with coordination of the new product approval process for the BHC
  • Prepare reports for market risk and liquidity risk
  • Bachelor’s degree in Finance, Accounting, Economics or Business Administration
  • 5+ years working experience for a financial institution; capital markets experience is highly preferred
  • Experience in operational risk management; knowledge/experience in market risk and liquidity risk is a plus
  • Working experience with AMA method of operational risk capital calculation is highly preferred
  • Skilled in management reporting
  • IT skills: Advanced Excel, PowerPoint; Access, VBA is a plus
  • Database management , data analytics/data reporting experience is a plus
32

Intern, Risk-operational Risk Resume Examples & Samples

  • Perform reviews on areas of emerging risks to HSBC to assess effectiveness of risk management and recommend practical solutions
  • Develop data analytics to improve and operationalize Risk Management information
  • Assist and support in faciliating risk meetings and workshops to HSBC's Business Unit and Global Function Management teams
  • Assist in preparation of monthly Risk Reporting pagackages
  • Overall minimum GPA of 3.0
  • Eligible to work in Canada
  • Passion to share your opinions and ask relevant questions
33

EVP Head Operational Risk & Control Resume Examples & Samples

  • Works effectively with individuals at a higher-level within the organization
  • Demonstrates the ability to calmly handle stressful or pressure-oriented situations and assignments
  • Ability to effectively work and multitask in a fast pace environment
  • Able to manage effectively in situations of uncertainty and ambiguity
  • Significant authority and viability to top management in the organization, yet small function with little direct staff to execute assigned tasks
  • Able to take ownership of tasks/initiatives and drive them to completion relaying on other departments’ staff to complete work – able to influence and manage others without direct reporting lines to self
  • Stay abreast of industry developments, changes in regulatory requirements and leading edge techniques for risk analysis and management. Keeps Senior Leadership apprised of changes and developments
  • Fifteen years proven risk management/analytics experience, or equivalent. Strong knowledge and understanding of multiple risk functions, including credit, operational, compliance, and market. Financial services industry experience preferred
  • Minimum of a Bachelor’s degree in management, finance, economics, related field or equivalent experience; Masters Degree preferred
  • Strong knowledge of the International Basel Accord and Sarbanes-Oxley Act, and other pieces of banking and consumer legislation at the Federal, State & local levels
  • Demonstrated ability to develop positive working relationships within the lines of business and functional risk areas to influence others to achieve a high level of performance
  • Well-developed management, interpersonal, organizational, analytical, problem-solving, negotiation, project management and verbal and written communication skills
  • Ability to manage large, diverse teams and / or projects across multiple sites, if applicable
34

Operational Risk Leader Resume Examples & Samples

  • Lead the development, implementation and monitoring of the GE Capital A&NZ Operational Risk Management Framework (ORMF) and its components for the GE Capital A&NZ business
  • Provide support and guidance for the 1st line of defence in the identification, assessment, mitigation, management and reporting of all operational risk issues
  • Provide advice, oversight and challenge to Executive
  • Tertiary education – commerce, accounting, finance and / or risk
  • Proven operational risk experience gained from leadership within a operational risk management function
  • Experience in front line, operations and / or enabling functions
  • Relevant experience within banking /and or related industry
  • Consistent role model of GE Growth Values
  • Decisiveness. Ability to make decisions with speed, urgency and accuracy when required
  • Sense of urgency/energy applied to all work and a proactive approach to identifying market changes and identifying/communicating contingency plans when faced with change
  • Ability to connect and engage with all levels in the business and appropriately flex communication style to suit these varying audiences
  • Expertise – ability to identify best practise risk solutions and approaches to enhance businesses effectiveness and competitive position
  • Resourcefulness – ability to utilise internal/external resources and networks to identify best practise solutions
  • Preparedness to challenge others thinking, while being able to foster an environment where questions, ideas and suggestions are encouraged/valued
  • Proven track record in building trust and commitment within business & with stakeholders
  • Advocate of change, with the tenacity to overcome obstacles & solve complex business problems to achieve desired outcomes
  • Firm but fair in approach to leadership … with a strong ability to lead through others … holding leaders accountable for performance and development of their teams … championing a culture of meritocracy and performance differentiation
  • Proactive leadership and demonstrated engagement across the broader GE Capital Risk organisation
35

Wealth Management Operational Risk VP-incident Response & Issue Management Resume Examples & Samples

  • Must have demonstrated ability to lead response to cross organizational incident response events
  • Effective communication skills required including strong Microsoft Office skills
  • 5+ years of financial services experience typically required with Wealth Management experience a plus
  • Specific experience in Risk, Compliance and / or Audit a plus
  • Exposure to Operations, Technology, Legal, Compliance and Risk functions is a plus
36

Cib Operational Risk Operational Risk Oversight VP Resume Examples & Samples

  • Input to the develop and execution of the OR strategy and framework
  • Provide expert guidance on the development of relevant policies and documentation in a local and global context
  • Collaborate and coordinate closely with in-country ORMs and ensure OR standards are communicated, understood and applied in the countries - review adherence to COR governance, standards, policies & framework across LOBs, functions and countries
37

Operational Risk Change Team VP Resume Examples & Samples

  • Directly reporting to ORM Programme Lead (who reports into the ORM Chief Operating Officer)
  • Delivery of and monitoring against ORM Divisional plan for BCBS239 compliance
  • Monitor the path towards compliance and track deliverables/milestones for each programme workstream to divisional plans
  • Co-ordinate with the Central Programme Team on aspects of planning and control, timely escalation of issues, and achieving Group-wide targets
  • Track the closure of capability gaps with existing strategic initiatives, and ensure remediation points are prioritised and addressed
  • Perform QA and challenge on documentation and artefacts, including process diagrams, capability grids, capability dashboards and key operating procedures
  • Establish comprehensive measurement of data quality, with thresholds and service levels for ongoing monitoring of data to standards
  • Foster and maintain strong partnerships with a range of stakeholders within the wider ORM function, both cross-divisionally and centrally
  • Transition design process and establish into a RTB operating model
38

Operational Risk Capital Specialist Resume Examples & Samples

  • Develop a strong understanding of global OR capital approaches and regulatory and industry developments
  • Develop Subject Matter Expertise on regional OR capital requirements
  • Planning and implementation of OR capital-related activities in the region
39

Operational Risk Mgmt Resume Examples & Samples

  • In depth knowledge of the asset management / investment business in terms of its investment products, front, middle and back office operations
  • Strong background in risk management or audit
  • Proven track record in delivering innovative solutions
  • Proven track record in delivering projects on time and on budget
  • Analytical problem solver
  • Approximately 15%-20% travel
40

Regional Head Operational Risk Rbwm Resume Examples & Samples

  • Successful proven track record of risk and control management, preferably within a risk, audit or compliance business line for at least three years in senior position at commensurate organisation
  • Good analytical abilities including root cause analysis
  • Excellent understanding of the operations of the business line
  • Basic understanding of other areas of risk e.g. credit, market
  • Basic technical knowledge of operational risk regulatory requirements and industry best practice (including operational risk techniques and operational risk measurement)
  • A good understanding of banking processes
  • The ability to communicate complex issues in ordinary language to a large multicultural audience
  • Proven relationship management skills and ability to influence a large and diverse group of stakeholders (often without organisational structure) through persuasion, intellect, experience, strong interpersonal skills etc
  • Leveraging of skills of the wider team (HBUS and elsewhere) and ensuring that there is coordinated activity and ability to manage priorities to ensure delivery in a constantly changing environment
41

Regional Head of Operational Risk Hts & Functions Resume Examples & Samples

  • Extensive industry experience in an investment banking environment
  • Commercially minded
  • Expertise in advanced operational risk frameworks in major financial services firms
  • Demonstrable experience of managing a geographically diverse team
42

Svp Operational Risk, Rcsa Resume Examples & Samples

  • Collaborate with Operational Risk Management leader to design and manage the Risk & Controls Self-Assessment (RCSA) processes as a component of the Operational Risk Framework
  • Provide expertise and leadership for program implementation within GECC Operational Risk Group, GECC Business Units and Functional Risk Areas
  • Drive integration of functional risk assessment activities at GECC
  • Manage RCSA team(s) including supporting activities related to hiring, training, coaching, and developing professional staff
  • Lead the continued development of RSCA in the Businesses, Functional areas and with the Internal Control Assurance process
  • Drive compliance, standardization and efficiency
  • Bachelor’s degree in Finance, Business, Operations or Risk Management or related field and minimum of 8 years of experience in relevant Finance, Business, Operations and/or Risk Management roles (or High School Diploma / GED and 12 years of relevant experience in, Finance, Business, or Risk Management roles)
  • Broad and comprehensive knowledge / experience in Operational Risk
  • Specific experience in risk and control assessment activities within Operational Risk
  • Proven organizational and project management skills in a global matrix environment
  • Strong leadership skills and experience managing others
  • Proven ability to interact with senior management, develop presentations for an executive audience, and drive change across an organization
43

Operational Risk Department Resume Examples & Samples

  • Assess the effectiveness of relevant Control Functions using the following key dimensions
  • Risk Identification: Identify and assess risks related to the information and systems supporting Firm activities globally
  • General Oversight: Participate in relevant (or in scope) governance, steering, and working group committees and review metrics and escalation reports to monitor risk and control-related developments, issues and trends
  • Procedures / Assessment: Review execution of relevant procedures and assess assurance mechanisms for how effectively they identify weaknesses or failures of key controls
  • Minimum of 5 years’ worth of work experience in the financial services industry
  • Risk Management (Operational Risk) experience a plus
  • Ability to multi-task with attention to detail
  • Strong proficiency with Microsoft Office
  • Knowledge of SharePoint and Archer is required as is a good working knowledge of relational databases
  • Ability to develop strong working relationships and be able to communicate clearly, both in writing and verbally
  • Attention to detail, project management and prioritization skills will be key in balancing day-to-day activities
  • Knowledge and experience in technology risks and controls
  • CISM or CISSP certification a plus
44

Ficc Operational Risk Executive Resume Examples & Samples

  • Oversee the execution of an end-to-end operational risk coverage model. Responsibilities include
  • Challenge and advise FICC and influence a strong risk culture
  • Ensure the successful execution of all program elements: Risk & Controls Self Assessment (RCSA), Internal/External Operational Losses, Scenario Analysis, Governance
  • Identify, escalate, and prioritize emerging and thematic operational risks
  • 10+ years of FICC business experience and/or sound knowledge of FICC products (e.g. FX, Commodities, Rates)
  • Strong internal drive and ability to take ownership for managing risk for mulitple product lines
  • Strong internal drive and partnering skills
  • Ability to develop independent point of view and challenge
  • Ability to effectively influence senior leadership
  • Excellent written, verbal and presentation skills 
  • Operational risk or other risk discipline (e.g. Compliance, Credit Review, Audit)
  • Six Sigma Certified preferred abut not required
  • Bachelor degree required, Masters preferred
45

CIB Risk-operational Risk Oversight Resume Examples & Samples

  • Develop and implement framework for conducting end to end process reviews and thematic deep dives of critical cross business/LOB Shared Infrastructures to ensure (1) risks and controls -- including handshakes and dependencies -- are appropriately managed and reflected across multifunctional/LOB RCSAs and (2) loss scenarios are appropriate and consistent. Shared infrastructures include common settlement platforms & process utilities, global delivery & service centers and material external linkages (CCPs, etc)
  • Build and maintain strong relationships with stakeholders to facilitate open information channels, to leverage existing initiatives and to prioritize Shared Infrastructure reviews based on inherent risk profiles and input from key stakeholders
  • Proactively drive the identification, assessment, measurement, mitigation and monitoring of OR from various sources including RCSA’s, KRI’s, scenario analysis, event management (monitoring of event recording & trend analysis) and targeted risk assessments. Ensure risk management & control practices continuously evolve to address news and regulatory developments
  • Independently validate and endorse business OR profiles and provide constructive challenge when residual risk levels are deemed to exceed appetite or appear underestimated
  • Collaborate and coordinate closely with control partners to ensure OR standards are communicated, understood and applied - review adherence to ORMF, governance, standards, policies & framework across LOBs, functions and countries
  • Promote cross-LOB/Function consistency and the adoption of best risk management practices
  • 15+ years of strategic and/or process management, with relevant business, technical or risk/control experience gained within an international financial institution or financial services firm
  • Deep understanding of international markets, regulatory environments, and best practice risk & control
  • Ability to collaborate effectively with stakeholders across all levels of organization. Strong influencing skills (written and verbal) with ability to challenge the status quo, gain consensus and drive change
  • Practical understanding of/ability to apply OR tools to achieve a consistent results. OR experience a plus
46

Operational Risk Administrator Resume Examples & Samples

  • Production of daily activity stats to the Operational Risk Team
  • Liaison/scheduling/follow up with business functions on outstanding actions relating to incident or risk management activities
  • Production of incident and risk reports and data as required to Risk Management committees, the Operational Risk Team and business users as required
  • Undertake general administration duties including maintenance of SharePoint Site, ensuring procedure documentation and terms of reference are updated / reviewed by the appropriate owner on a timely basis
  • Assisting the business with daily queries
  • Adhoc Minute / note taking
  • Self-motivated, flexible and able to work independently
  • Strong Word and Excel skills
47

Head of Operational Risk Mgmt Resume Examples & Samples

  • Stays current in operational risk management techniques, industry best practices, and regulatory requirements
  • Assists the Head of Operational Risk in supervising, directing, training, mentoring, and evaluating staff, and in
  • Master’s/Advanced Degree in Finance or related quantitative field required
  • Five or more years supervisory/managerial experience
  • Alternative: Combination of education and experience (years /description) Combination of education and experience
  • Extensive knowledge of Banking products and back end operations in an operating environment, as they relate to risk management
  • Ability to present ideas in a clear and concise manner to all levels of the organization
  • Excellent planning/organization/prioritization abilities
  • Strong experience with control and disclosure systems
  • Strong knowledge of banking laws, regulations, regulatory expectations, accounting pronouncements, and SEC regulations
48

Operational Risk Rcsa Coverage Lead Resume Examples & Samples

  • The candidate will be responsible for managing the NY based RCSA Coverage team and ensuring close co-ordination with the London based team to ensure consistent and timely RCSA execution
  • The candidate will be responsible for facilitating the completion of the Firm’s Global RCSA program for individual areas as defined in the Coverage Model, working closely with Business Unit and Support groups in all phases of the assessment. Facilitation involves
  • Working with the BU Op Risk coordinators to identify key risks and controls, evaluate inherent and residual risk, and establish mitigation plans
  • Communication of timelines and deliverables
  • Ensuring that the RCSA is executed in accordance with related Firm-wide policies and regulatory oversight
  • Facilitation of transparency sessions on behalf of coverage areas
  • Working with the Central RCSA Support Team in Budapest to review independent quality assurance on the RCSA submissions and ensure resolution of issues
  • Working closely with the ORD Risk Management teams to provide effective independent review and challenge of RCSA content to the Business Units and Support Groups and identification of risk themes
  • Ongoing RSCA reporting and results analysis (including thematic analysis) to senior management and business stakeholders
  • The candidate will also will also be responsible for coordinating and delivering training and communication on all aspects of the RCSA process, standards and technology
  • The candidate will be required to work in close collaboration with BU Op Risk Coordinators (ORCs) to ensure that Operational Risk related process and procedure policies are updated and communicated appropriately,
  • The candidate will also be required to work in close collaboration with other work streams within ORD, for e.g. the Operational Risk Metrics program as well as ongoing review, assessment & collection of Key Risk Indicators
  • The candidate must ensure close co-ordination within the Global RCSA teams to ensure consistency and identification of common risk themes
  • Regular updates must be provided to the Global RCSA PMO team on all relevant initiatives and input is required to help manage program timelines and deliverables
  • The ideal candidate will have 8-10 years of related experience at an investment banking institution or a background in management consulting with a track record of rapidly acclimating to a fast-paced and constantly changing environment while working under pressure
  • Operational Risk background and/or prior experience executing/managing Risk and Control Assessments either at the business or firm level is required
  • MS Office proficiency: The candidate must have strong excel and power point skills and a strong capability in visual representation of information and data, and have experience in creating succinct and relevant risk reporting
  • Communication: The ability to actively and proactively engage with key stakeholders (i.e., not afraid to speak up)
49

Operational Risk Modeller Resume Examples & Samples

  • Support the ongoing maintenance and further development of the Group Operational Risk Scenario framework across various jurisdictions (incl. policies and procedures required to meet regulatory and best practice standards)
  • Support the ongoing integration and linkage of the Operational Risk Scenarios framework with other elements of the Operational Risk Framework (e.g. Risk and Control Self-Assessments, Metrics, Control initiatives etc)
  • Support the preparation (incl. training of business experts) and governance (incl. facilitation) of the annual scenario processes across various jurisdictions
  • Support the communication to senior management within Risk Management department and Business divisions, the various governance groups as well as the regulatory bodies
  • Support the Operational Risk capital process (incl. macroeconomic stress testing) across the various jurisdictions
  • Excellent organisational skills and ability to work under pressured timelines
50

VP Operational Risk Resume Examples & Samples

  • Operational Risk Management is an evolving discipline within HSBC and the industry. While initially regulatory driven, the benefits of good operational risk programs (lowered loss expenses linked to better controls as a result of operational risk assessments, positive regulator reviews, predictive measures highlighting potential areas for loss, etc.) have inspired managers to more readily embrace its philosophies. This has resulted in operational risk management becoming a growing discipline where individuals have the opportunity to form policy and impact regulations
  • HSBC’s program for Operational Risk Management is geared to meet the Advanced Measurement Approach for of Basel II and is at peer with large, complex banking organizations in the US
  • Role works both independently and as part of multi-disciplined teams to support global businesses operational risk objectives as well as Group Operational Risk and Control framework
  • The amount of supervision required for this position is minimal. Incumbents are expected to work within overall guidelines and timeframes making deadlines set forth
  • Strong managerial, problem-solving, lateral thinking, analytical,communications,interpersonal, planning,project management, presentation, persuasion and decision-making skills
  • Strong managerial, problem-solving, lateral thinking, analytical, communications, interpersonal, planning, project management, presentation, time management, persuasion and decision-making skills
  • Ability to work in fast-paced environment and multi-task
51

Operational Risk Executive Resume Examples & Samples

  • 8+ years in operational risk, compliance, information security, and financial services, of which at least 4 years must include direct experience in operational risk management and/or information security. Broad technical background with understanding of information security concepts and controls
  • 4+ years experience with information security technology
  • Expertise in writing and presenting risk assessments to key executives and regulators
  • Demonstrated knowledge of general application and infrastructure architecture
  • Demonstrated knowledge key technology rules / regulatory requirements and IT risk management practices for financial institutions, such as, the OCC Heightened Standards, FFIEC, Vendor Management, PCI, GLBA
  • Strong ability to multi-task and work to established timelines and due dates
  • Ability to translate complex process, application and technology control gaps into risk
  • Ability to identify issues, create and execute control plans
  • Relationship management skills and ability to interface confidently with associates of all levels, including senior executives
  • Ability to influence at all management levels in a complex organization
  • Demonstrated ability to communicate effectively with the Banks' Regulators
  • Information Security and Risk related certifications (CISSP, SANS, CRISC or CPSM)
  • Regulatory or Technology Audit Experience
  • Understanding of regulatory reporting functions and processes preferred
52

Operational Risk Control Resume Examples & Samples

  • Following the integration of Compliance and Operational Risk in January 2014, the team has taken on additional responsibilities for the full suite of Governance, Risk and Compliance (GRC) tools across the function
  • Lead development and documentation of detailed business requirements
  • Lead requirements workshops, sometimes including a large number of business SMEs who are geographically distributed
  • Provide quality assurance of requirements documentation
  • Work with the IT teams to coordinate the end to end delivery
53

Global Head of Operational Risk for Asset Management Resume Examples & Samples

  • Oversees plans and directs the overall strategy for managing operational risk. Partners with global risk resources to ensure prioritization of efforts, consistency in approach and comprehensive reporting of risks for the global businesses
  • Oversees the development and implementation of the operational risk management framework. Adhere to enterprise program and policy requirements. Develops line of business programs as needed to effectively and efficiently manage risk. Provides feedback to assist the continued development of enterprise risk programs
  • Serves as a member of the Asset Management Risk Leadership team as well as a member of the Corporate Operational Risk Committee
  • Serves as a trusted adviser to the line of business, providing improved transparency of risk in order to facilitate risk-based decision making. Ensure the line of business stays up to date with the latest regulatory guidelines, industry practices and enterprise standards related to operational risk
  • Positions risk with internal stakeholders, clients, regulators and peers
  • Develops and maintains line of business programs for operational risk, including programs for losses, RCSAs, contingency account monitoring, top down control reviews, operational risk costing, satellite office risk assessments, operational risk roadshows, cybersecurity risk projects, and risk playbooks. Works with the manager due diligence team to ensure framework alignment for review of controls at sub-advisers
  • Develops policies, procedures and business practice standards in support of various risk programs
  • Maintains current understanding of the regulatory environment and business environment in order to identify emerging risks
  • Perform target risk reviews to assess risks around areas of heightened or emerging risk
  • Oversees implementation of operational risk programs for line of business. Produces operational risk profile reports for the global business based on program output
  • Facilitates completion of cross-function risk activities including covered employee risk evaluation and the Legal Entity Risk Assessment
  • Participates as needed in corporate or line of business risk committees and governance bodies. Administers operational risk committees for line of business
  • Serves as needed as a risk consultant in new product forums and technology development steering groups
  • Maintains regular touch point meetings with key internal business partner areas and peers
  • Helps to embed a strong risk culture in the business. Assists in facilitation of the Risk Café in North America
  • Represents risk as needed with regulators, clients, and industry associations
  • 5-7 years experience in Risk (2- 3 years risk consulting experience preferred). Advanced degree (JD, MBA) and/or certifications (CFA, FRM, PRM, CAIA) preferred
54

VP Operational Risk Resume Examples & Samples

  • Lead special projects / task forces / working groups relating to the Operational Risk framework or identified OR risk issues
  • Keep abreast of changes in relevant laws and regulations regarding OR and understand their implications
  • Manage the regional stakeholder relationships in India and
55

Head of Operational Risk Resume Examples & Samples

  • Provision of expert advice on all rules and guidance related to operational risk, covering both AMA models, operational risk framework, operational risk standard rules and Pillar 2/ Internal Capital Adequacy Plan (ICAAP)/CCAR
  • Management of regulatory visits around operational risk including setting agendas, briefing key stakeholders before the meetings on key issues, writing presentations, answering post-visit regulatory letters
  • Coordination of all ad-hoc information requests from regulators on operational risk topics including review of final responses for accuracy and messaging prior to regulatory submission
  • Management of CRO’s regulatory commitments related to operational risk, including maintenance of commitments tracker, review of critical RED status items, and review of any materials going to regulators as evidence of meeting regulatory commitments
  • Analysis of new regulations and guidance notes related to operational risk including assessment of impact on CRO’s risk processes and preparation of briefing material for senior management
  • Review annual self-assessments against all global rules and guidance related to operational risk. Provide critical advice on responses, help draft responses where necessary and identify contentious issues for review in Quality Assurance review panels
  • Prepare and participate in regular briefings on Operational Risk regulatory interactions (including Business Continuity and Technology Operational Risk) and commitments to senior management
  • Management of 1 AVP analyst who may work in a different location (eg US)
56

Operational Risk Director Resume Examples & Samples

  • Contributing to the strategy and design of the ORM function as part of the regional leadership team
  • The management, monitoring, assessing and challenging of key Operational Risk's and control issues across the bank
  • Implementing a robust Risk Management framework across operations by working with the Operational Risk Controllers across the business
  • Ability to perform a risk and control role independently and confidently
  • Experience in New Product Approval (NPA), including controls, governance and product life cycle in relation to ORM
57

Product Control Operational Risk Resume Examples & Samples

  • Be part of global, dynamic PC Ops Risk team
  • Identify, assess and work with the line to mitigate operational risks
  • Develop and implement control standards and guidelines with PC line
  • Perform/initiate/support risk assessment and mitigation initiatives as appropriate
  • Investigate significant incidents or large operational risk losses to identify and implement lessons learned, mitigating actions, etc
  • Perform quality assurance reviews
  • Represent PC Ops Risk in cross functional working groups
  • Support the PC training program     
  • Ability to simplify complex data and provide concise explanations
  • Logical and clear thought processes
  • Strong control focus
  • Strong interpersonal skills and the ability to influence others not in direct span of control
  • Strong presentation skills with an attention to detail
  • Experience having worked in a high pressure, delivery focussed environment
  • Strong analytical skills and is intellectually inquisitive
58

Business Resilience Operational Risk Resume Examples & Samples

  • Experienced Operational Risk Manager at a Top Tier Insurer or Investment Management House with a deep working knowledge of Operational Risk frameworks and their implementation, or
  • Audit background with experience of operational risk and controls frameworks, or
  • Relevant advisory experience in a Big 4 or analogous firm
  • Management skills that allow successful project management of a number of teams simultaneously
  • Experience in coaching and developing other members of staff
  • A relevant professional qualification (i.e. CIMA, ACA, CA, CISA, CIA, MBA)
  • An ability to work under pressure within an ambiguous environment
59

Operational Risk Partner Resume Examples & Samples

  • Provides leadership in the planning, development and implementation of operational risk frameworks/measurement methodologies, policies, standards and procedures specific to the needs of the enterprise, which are aligned with the Bank's Operational Risk Program and risk appetite. Reviews, analyzes and makes recommendations to the design and implementation of the operational risk management framework. Partners with all aspects of technology across the organization to provide directions and to ensure sound controls are implemented within the various business groups that provide enterprise technology risk program requirements. Promotes operational risk awareness
  • Collaborates with assigned business areas to study and investigate operational risk issues and identify and implement solutions. Analyzes and documents various processes and products, existing or new, by working with the business units to identify key processes and help prioritize additional enhancements to those key processes. Monitor to ensure key program requirements are being met through analysis of metrics and data. May assist business units map significant business processes on BNPP's Process Management System (PMS) to ensure mapping is consistent with the Bank's operational risks. Provide timely updates to Operational Risk and business management to address issues quickly
  • Working with key partners, develop enterprise reporting which includes metrics/KRIs, program status, technology risk profile, risk acceptances and other information in order to provide a holistic picture. Identify enhancements for program tools to support and improve reporting . Develops new tools, defines requirements, identifies data sources, analyzes data and prepares reports as needed to effectively provide workable solutions or respond to requests for information from Senior/Executive Management, Regulators and BNPP
  • Drive enhancements around or partner with SMEs to deliver enhancements to ensure effective management and compliance with company-wide program requirements. Participates in the development of business units operational risk policies, procedures, risk limits, and approval authorities. Works with management and staff in areas of the organization affected by changes in business practices to ensure understanding and implementation of new operational risk policies and procedures
  • Supervises and/or performs periodic testing to determine effectiveness of adherence to the Bank's defined technology risk related requirements, internal policies and best practices. Support quality assurance sampling and secondary reviews as required
  • Responsible for reporting on operational risk framework for business units and regulator, and provides assistance on management/regulatory reporting. Manages business unit processes for elevating operational risks to more senior levels of management and to Operational Risk
  • Consult with business units on implement strategies that involve an assessment of the additional capital that is required to mitigate those risks that are not adequately covered by internal and external losses, BEICFs, and potential loss incidents analysis. Assists business units with analyzing external historical loss incidents and develop, maintain, and analyze BEICFs (Assessments and Key Risk Indicators [KRIs])
  • LI-JB1
  • Bachelor’s Degree in IT, Security, Risk Management or related field required
  • Master’s/Advanced Degree in Risk Management or IT preferred
  • 10 or more years directly related experience combined IT Management or Risk Management experience
  • 5+ years experience working in Technology Risk Management
60

VP-operational Risk-private Banking Resume Examples & Samples

  • ORIC Management is an evolving discipline within NARM. While initially regulatory driven, the benefits of good operational risk programs (lowered loss expenses linked to better controls as a result of operational risk assessments, positive regulator reviews, predictive measures highlighting potential areas for loss, etc.) have inspired managers to more readily embrace its philosophies
  • This has resulted in operational risk management becoming a growing discipline where individuals have the opportunity to form policy and impact regulations
  • HSBC's program for Operational Risk Management is geared to meet the Advanced Measurement Approach for New Capital Adequacy Framework (NCAF) and is at peer with large, complex banking organizations in the US. Role works both independently and as part of multi disciplined teams to implement operational risk reporting and system indicatives
  • Role provides guidance and oversight at a regional level as an expert in the field of operational risk
  • Strong knowledge and understanding of multiple risk functions, including credit, operational, compliance and market
  • Bachelors degree in management, finance, economics, related field or equivalent experience; Masters Degree preferred
  • Strong managerial, problem-solving, lateral thinking, analytical, communications, interpersonal, planning, project management, presentation, persuasion and decision-making skills
  • Ability to work in fast-paced environment and multitask
  • Ability to interface with Senior management, providing updates and recommendations when issues arise
  • Proficiency with personal computers as well as pertinent mainframe systems and software packages
61

Wealth Management Operational Risk Head of Client Segment Risk Resume Examples & Samples

  • Effective executive and senior management communication skills
  • Specific experience in Risk, Compliance and / or Audit a plus, and
  • Exposure to Operations, Technology, Legal, Compliance and Risk functions is required
62

Senior Manager Global Operational Risk Resume Examples & Samples

  • Support the Director in the implementation and enhancement of the risk and control assessment program, which provides effective and efficient identification, measurement, assessment, and reporting of operational risk with a particular emphasis on the applicable business line. This will include due diligence reviews, research and the preparation of workshop materials and drafting the risk and control assessment reports
  • Participate in quarterly Operational Risk Committee meeting and/or conference calls
  • Analyze issues raised through self-assessments and other reviews including those performed by Audit, Shareholder Auditors, and Regulators to determine significant risks
  • Should have a breadth of experience in risk management or related areas
  • Relevant business-line experience in IB
  • Possess excellent interpersonal and relationship-building skills to deal with senior levels of management
  • Possess excellent communication (verbal and written), listening, presentation and facilitation skills
  • Demonstrated independent initiative and a highly motivated team player
  • Excellent organizational skills and ability to prioritize effectively and efficiently
  • Strong relationship management skills; ability to build and maintain strong collaborative client and internal relationships
  • Excellent MS PowerPoint, Word, and Excel skills
63

Head Operational Risk Capital Resume Examples & Samples

  • The nature of the role requires close working contact with senior executives and all business areas
  • The jobholder has to possess good knowledge on banking regulations, Operations, Audit and control concepts in order to develop a set of effective standard guidelines that can be implemented. In addition, the jobholder is expected to be highly organized and to act independently and exercise broad discretion with minimal guidance and supervision
  • Fifteen years proven operational risk management at senior management level, or equivalent in the area of Operational Risk measurement, data analytics, and stress testing/scenario analysis
  • Strong knowledge and understanding of multiple risk functions, including credit, operational, compliance, and market
  • Strong knowledge of the International Basel Accord and Sarbanes-Oxley Act, CCAR, DFAST and other related banking and consumer legislation at the Federal, State & local levels
  • Ability to understand complex concepts, including advanced statistics
  • Good understanding of modeling techniques and analytics in respect of Operational Risk
64

Fixed Income Non Market Operational Risk-executive Director Resume Examples & Samples

  • Risk and Control Self-Assessment (RCSA)
  • Business/Product Knowledge: A good understanding of finance and the processes related to the marketing, selling and trading of securities, derivatives and/or commodities in the financial services industry preferably in a global investment bank. Prior experience or exposure to trading, risk management, operating officer, or operations functions a plus
  • Risk Management: Prior work experience and demonstrated risk management aptitude in a major global investment banking institution. Experience in risk assessment or risk management with focus on front office and middle office processes. Experience presenting to and interfacing directly with regulators
  • Communication: Excellent verbal and written communication skills and a proven ability to work in a fast-paced and high pressure environment are essential as this role involves a high amount of interaction with business unit, technology, controllers and operations management
  • Guardianship: Candidates should have an understanding of and strong focus on the mechanics of a control environment, including processing and escalation of risk-related issues, and an interest in process improvement/enhancement
  • Organizational Skills: Candidates should be able to coordinate several parallel objectives while responding to ad hoc requests. Flexibility is a key element as the role will require the ability to understand and react to changes in priorities. Comfort working with ambiguity, managing and resolving complex issues
  • Leadership: Candidates need to be able to demonstrate the ability to take ideas forward and to challenge others with integrity and maturity
  • Flexibility: Candidates should have a proven track record of rapidly acclimating to a fast-paced and constantly changing environment working within compressed timelines
  • Understanding of Operational Risk regulations (e.g., Basel, SOX, etc.) and the associated application to a financial services business
  • Knowledge of the Morgan Stanley systems and infrastructure
65

Mspbna Operational Risk Coverage VP Resume Examples & Samples

  • Leverage existing Firm and Department Reporting to maintain and update Operational Risk Reporting to the various Bank and Firm Risk and Governance Committees
  • Serve as the key relationship manager with the Bank’s BU Operational Risk Department
  • Support the Top Operational Risk Program
  • Support the operational risk incident capture, monitoring, and reporting framework
  • Support the MSPBNA Risk and Control Self Assessment (RCSA) program, and proactively integrate operational risk incidents and other varying processes into continual assessments
  • Support a sustained approach to the MSPBNA Scenario Analysis program and relevant workshops, through coordination with the Firm’s Operational Risk Department
  • Support coordination of coverage for Internal Audit, Regulatory Exams, and Compliance Assessments
  • Implement a peer risk and control testing program for designated product coverage
  • Forge relationships across divisions, including Information Technology, Legal & Compliance, Operations, Finance
  • Previous experience supporting the development and build-out of an Operational Risk framework that includes the four data elements, application of risk data to risk measurement, policy and procedures, reporting, and quality assurance
  • Effective interpersonal skills, freely develops networks, builds consensus, prioritizes effectively, and develops alliances across an organization
  • Management experience in developing teams and building processes to ensure organizational effectiveness, efficiency and transparency to serve the needs of multiple stakeholders with varying objectives
  • Strong risk analysis and ability to identify root causes for risk events
  • Effective summary level written and verbal communication experience
  • Interest in joining a team that is in a framework build phase
66

Director Operational Risk Resume Examples & Samples

  • Developing and maintaining CIBC’s operational risk program documents by
  • Developing and implementing policies, processes and procedures to support framework/ procedures & standards requirements
  • Designing and implementing operational risk identification and assessment tools to ensure that the three lines of defense can fulfil framework requirements
  • Providing guidance and training to business partners across the three lines of defense to ensure that the framework requirements are well understood and effectively applied across the Bank
  • Analyzing the outputs of operational risk management processes and tools to assess their effectiveness and to identify relevant enterprise-wide operational risk themes
  • Maintaining a central repository of operational risk management tool outputs, such as risk and control self-assessments (RCSA), key risk indicators, operational incident reports and external event reviews
  • Providing input to operational risk management reporting to ensure that key enterprise-wide operational risk themes are appropriately communicated to senior management and the Board of Directors in a timely manner; and
  • Implementing ongoing improvements to the Global Operational Risk Management Group to enhance its effectiveness in managing operational risk at CIBC
  • Assist in the completion of relevant governance and regulatory activities pertaining to operational risk, including but not limited to the annual Chief Risk Officer (CRO) Attestation
  • Staying current in regulatory changes and industry best practices in operational risk management to ensure CIBC’s operational risk management program meets regulators’ expectations and is both effective and efficient
  • Providing leadership and effective management of business unit staff and act as a backup to the Senior Director of the Strategic Initiatives Group within the Global Operational Risk Management team
  • Setting appropriate context when assigning work to ensure that individuals’ roles support the achievement of the business unit’s priorities and CIBC’s overall goals
  • Managing performance by providing fair and accurate formal and informal feedback, to peers and members outside of the immediate work group
  • Creating a positive work environment and being an effective role model by championing CIBC’s mission, vision and values; and
  • Ensuring compliance with policies, standards, guidelines and controls by applying the policies and controls fairly and consistently so employees understand what to expect
  • Lead, participate and contribute to the development of Risk Managements business strategy and its alignment to CIBC’s business strategy
  • Sponsor continuous improvement at the strategy level by proactively identifying process, technology, policy and procedural gaps across GORM, Audit, Risk Management, Legal and Compliance with the goal to reduce costs and unnecessary touch-points, reduce risk and improve time to market
  • Ensure the appropriate decision making forums exist amongst Internal Audit, various groups within Risk Management, Legal and Compliance and other Second Lines of Defense, Risk Associate/ oversight groups to rapidly address GORM deficiencies, deliverables and strategic enhancements
  • Manage client relationships within other lines of business, enterprise business management and other lines of business counterparts
67

Operational Risk Reg W Manager, VP Resume Examples & Samples

  • Lead the activities of the Regulation W Office by conducting the day-to-day management and monitoring of the Regulation W Compliance Program
  • Lead the development and implementation of Regulation W processes for New Products
  • Test Regulation W processes periodically to ensure effectiveness
  • Periodically review Reg W Office and business area Regulation W procedures
  • Working with cross functional stakeholders including Operations, Finance, and Products to develop and implement Regulation W processes
  • Manage the New Product Approval Process, including leading meetings of the bank’s New Product Approval Committee (NPAC) and working with the business to ensure the necessary materials are presented to the NPAC
  • Business, Accounting or Finance related postgraduate degree is a plus
  • 5-7 years experience in the financial services industry in operational risk or compliance
  • 2-3 years experience with Regulation W
  • Experience with new product approval processes a plus
68

Global Treasury Operational Risk Resume Examples & Samples

  • Ability to interact with stakeholders with authority and discretion and being a trusted advisor
  • Strong ability to collaborate with Subject Matter Experts (SME) in leading and driving programs
  • Excellent skills in managing multiple priorities and competing deadlines
  • Ability to adapt constructively to continuous change
69

Regional Head-operational Risk & NPA Resume Examples & Samples

  • Ownership of the new product approval process within the APAC region
  • Chair the Regional Opcos
  • Enforce minimum standards of documentation and demonstrability of challenge
  • Maintain transparency and visibility of the process across the organization
  • Maintain the balance between front office expectations and support function bandwidth to agree realistic but prompt sign off target dates for proposals
  • Escalation of particularly significant products beyond NPA process and onto other relevant approval committees (e.g. reputational risk, legal entity committee)
  • Escalation of significant NPA breaches or serious failures of involved parties to deliver in a timely fashion up to global head of NPA and across to product / regional management as appropriate
  • Providing MI to the global head of new product approvals relating to approval status and volumes within APAC
  • Reporting relevant data to regional business management (e.g. Regional Management Board ) and flagging up approvals which are of particular relevance / interest to regional management
  • Required Skill Set
  • At least 15 years of Senior Operational Risk Management experience at the Managing Director or Director Level within a major investment bank
  • Strong understanding of both NPA and NTA and a proven trackrecord in this area
  • Knowledge of mitigating and controlling different types of risk e.g. market risk, credit risk, operational risk, reputational risk
  • Broad understanding of the front to back product lifecycle, including factors and considerations that are significant for each support function
  • Ability to grasp complex concepts and present them in an appropriate manner to the target audience
  • Working knowledge of cross asset products including equities, FX, interest rates, commodities, inflation, credit ,wealth management, retail
70

Operational Risk Global Cards Resume Examples & Samples

  • To lead the design and conduct impact assessment / issue recommendation from key analytical efforts such as root cause analysis of new issues and operational loss events
  • To provide business insight and thought leadership in the design and implementation of new policies in order to ensure adequate balance between risk, performance, and customer experience
  • To assist with the development of global / regional project plans and facilitate their execution through targeted engagement when material obstacles are encountered
  • To monitor progress towards stated objectives and ensure an effective communication across all the stakeholders, ensuring interaction model is transparent and effective
71

Sen Operational Risk Contr Resume Examples & Samples

  • Define annual testing schedule based on the agreement with management
  • Provide guidance to Pune IT Testing team on day to day BAU
  • Execution of core testing in line with plans/scripts
  • Execution of specialist testing/front-back reviews
  • Reporting of testing status/results
  • Exception investigation, escalation and issues management
  • Provide subject matter expert guidance related to IT Interface controls
  • IT Interface Controls
72

Director Operational Risk & Metrics International Banking Resume Examples & Samples

  • Operational Risk Management Framework
  • Ensure a consistent implementation of the Operational Risk Management Operating Model for the International Banking Division, consistently identifying metrics to enhance oversight on risk appetite for IB countries, Business Units, product and services
  • The incumbent will maintain awareness of the Operational Risk reporting requirements, ensuring that standards are maintained across IB’s Operational Risk Committee. And that timely information is provided to IB Compliance & Operational Risk Committee and Global Operational Risk to satisfy Senior Executives or regulatory reporting
  • New Product & Service Risk Management
  • With the assistance of resources throughout the International Division, the incumbent will oversee the implementation of new product risk management processes for International jurisdictions
  • The incumbent will ensure that product sponsors developing new products and services for International markets are equipped with the tools and processes necessary to identify, document, and gain authorization for implementation of new products and services. The incumbent is responsible for ensuring that risks are assessed and addressed as much as possible by the various stakeholders prior to seeking Senior Executive approval for the implementation of new products, services and processes
  • As part of the above accountability, the incumbent will coordinate implementation and maintenance of new product reporting, risk assessment, and post-implementation review processes and tools, as well as the convening of new product committees to review and authorize new product risk by appropriate levels of management
  • The incumbent will coordinate logistics for Divisional New Product & Services Committee meetings as required, including scheduling meetings, preparing agendas, and distributing meeting minutes
  • Risk & Control Assessments (RCA)
  • Understand the Risk and Control Assessment requirements and ensure that the processes related to the RCAs are consistently implemented across IB, including wealth management and insurance functions
  • Maintain an ongoing relationship with the countries/hubs to ensure that the process remains relevant and complies with local and global regulatory standards
  • Support units through the RCA process, providing best practices, and acting as subject matter expert on the process. Also, working with units to ensure that comprehensive actions plans are developed
  • Key Risk Indicators
  • Review and enhance the Key Risk Indicators inventory across IB. Ensuring the right level of accountability for each indicator
  • Implement structure for ongoing reporting, consolidation and analysis of KRIs for the Division
  • Maintain oversight on KRIs for the Division, providing best practices to countries and ensuring consistency of the metrics for enhanced analysis
  • Provide ongoing reporting on KRIs to IB Compliance & Operational Risk Committee and Global Operational Risk
  • Stay attune of changes on KRIs providing guidance to senior management on thresholds, ensuring that global requirements are met
  • Service Level Agreements
  • Provide ongoing support to International Operations & Shared Services units on the development and implementation of Service Level Agreements
  • Liaises with Tax and Finance in order to ensure that agreements comply with the required standards
  • Liaise regularly with Country Management and IB stakeholders to understand changes in current and future requirements
  • Liaise with Global Operational Risk to ensure alignment on reporting and understand trends on regulatory changes
  • Provide ongoing advice and counsel to IB business units on Operational Risk matters
  • Provide strong strategic leadership to motivate and develop individuals and build cross-functional team performance
  • Foster a culture of continuous improvement to sustain changes across IB
  • Lead and direct the development of ongoing successful succession planning
  • Ensure timely and effective change management communications and training leading to the successful implementation of new solutions
  • Ensuring the necessary monitoring and control processes are in place to support International Operations and Shared Services Hubs (IOSS Hubs of Caribbean, Central America, Mexico, Peru, Chile, Colombia, and Uruguay) and International branches and units in maintaining accuracy and integrity in accounting processes
  • Minimum of 5 years of work experience leading effective change management in international organizations
  • Proven analytical and problem-solving skills to enable the incumbent to evaluate new product and service risks and operational processes
  • Well-developed judgement and a strong ability to develop creative and innovative solutions (i.e., “to think outside the box”
  • Strong negotiation skills to develop and maintain business relationships with internal and external customers, banking regulators and other external parties that support the Scotiabank Group
  • Highly-developed management skills to coordinate and delegate activities, and develop and maintain quality performance by subordinate officers, many of whom do not report to the incumbent on a regular basis
  • Strong coaching, training, performance management skills
  • Excellent oral and written communication skills, fluency in Spanish is an asset
  • Highly-developed computer skills
  • A working knowledge of the regulatory frameworks of countries throughout the International Division
73

Operational Risk Front Resume Examples & Samples

  • Develop and execute the C&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
  • Lead root cause analyses on internal operational risk events and benchmarking analyses on events that occurred in the industry
  • Help promote and instill a culture of operational Risk management and operational excellence across the assigned portfolio
  • 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
  • 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
  • Four year bachelor's degree or international equivalent
  • 10 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
  • LI-LF1
74

VP-cib Operational Risk Oversight Resume Examples & Samples

  • Build and maintain strong relationships with stakeholders to facilitate open information channels and to ensure that the OR function remains aware of business change, relevant to the risk decision making process and a trusted partner through both counsel and challenge
  • Coordinate with other risk and control functions, leveraging internal audit and external reviews to develop a complete and aggregated view of risk
  • Oversee the mitigation and monitoring of loss events and near misses and drive independent assessments and deep dives where appropriate
  • Facilitate scenario analysis with businesses to stress the control environment under simulated conditions, drive accurate capital allocations and input to ICAAPs as require
75

Operational Risk-icg Business Coverage Risk Manager Resume Examples & Samples

  • Participate in Global Operational Risk and Policy Committees
  • Support the establishment and implementation of Governance minimum standards, guidelines and best practices
  • Identify and coordinate Operational Risk training topics for the business and other risk teams
  • Support the creation of tools that monitor the adherence to Op Risk Policy framework
  • Take a leadership role in the development and enhancement of risk management tools
  • Develop materials for ORM regulatory exams, internal audits and various ICG governance committees
  • Oversee the implementation of risk data aggregation of ICG level Operational Risk reporting including the underlying data production
  • Lead the annual effort of Key Operational Risk Identification and Management process and ensure alignment with other tools (eg., Scenario Analysis)
  • Responsible for ICG ORM level Reporting
  • Ongoing monitoring and risk reviews for ICG level breaches (eg., ICG ORM Risk Appetite
  • Superior communication, facilitation and consensus-building skills
  • 7+ years relevant industry or risk management experience and/or accreditation
76

Director, Operational Risk Mgmt Resume Examples & Samples

  • Lead the “second line of defense” with risk identification & analysis, Policy & Governance, Key Risk Indicators and risk mitigation activities for Customer Asset Fraud risk
  • Be capable of providing practical guidance on mitigation solutions for both processes and technologies
  • Create and ensure timely execution of project plans for fraud risk management capabilities and program enhancements
  • Assist the Customer Fraud Management program with the development of an articulate risk appetite statement that defines the risks we are willing to take, then define measures and governance routines to monitor and manage our adherence to this appetite
  • Work with business areas to perform “deep dive” Process Risk & Control Self-Assessments as required to assess operational risks in a particular area and be capable of articulating identified risks, controls, issues (control deficiencies) and proposed mitigation actions
  • Provide an independent view and challenge of the businesses’ proposed the level and instances of operational risks
  • Review proposed mitigation programs and monitor these programs to ensure they are being implemented effectively
  • Identify, create and govern necessary fraud-related policies and procedures and fraud training both for Enterprise Risk Management and the enterprise
  • Create executive level written and metric based reports and dashboards to highlight key operational risk issues, trends, Key Risk Indicators and potential impacts
  • Experience in the financial services industry with a preference for retirement, life insurance and retail financial services is required; 10 + years’ experience is preferred
  • Experience with Operational Risk Management and external fraud is required
  • Extensive experience defining/documenting business processes and functions is required
  • Hands-on experience effectively utilizing one of the leading GRC solutions such as Archer eGRC is preferred
  • Well-developed listening skills with a well-tuned ability to summarize quickly identify key points and provide feedback effectively
  • Strong organizational/analytical/problem-solving abilities
77

Operational Risk Group Manager Resume Examples & Samples

  • Work experience of 10+ years in the financial services industry
  • In depth knowledge of Retail Consumer businesses, products and industry (exposure to Cards is a plus)
  • Good knowledge of US Consumer product related regulations and industry standards including infrastructure requirements and related controls (Cards knowledge a plus)
  • Strong analytical and conceptual skills applicable across Consumer businesses, products and customer classes
  • Able to prioritize high impact potential problems effectively
  • Provides leadership in optimization and efficiencies in control practices for the business
  • Plans and organizes very well to ensure individual and team efforts closely and efficiently tracked and delivered in a timely fashion
  • Bachelors or Masters degree in Business, Finance, Law, or related field
  • Experience / knowledge of data base or MIS management tools a plus
78

Operational Risk-VP Resume Examples & Samples

  • Bachelor degree or equivalent, ideally in Finance, Economics or similar
  • Business knowledge of capital markets (sales and trading)
  • Prior experience in risk management or internal audit within a wholesale financial services environment
  • Experience with IMA regulatory applications/submissions
  • Strong organization skills with the ability to multitask and prioritise; ability to tight deadlines
  • Ability to work in a small team environment, building and maintain a network of contacts and coordinating with a large number of internal clients
79

Operational Risk Director Resume Examples & Samples

  • Independent oversight, review and challenge of the Prime Services business activities front to back, in partnership with the relevant shared services functions and Prime Services management
  • Partnership with Operation Risk Manager regionally and globally to ensure consistent deployment and implementation of the evolving operational risk framework and input into global initiatives
  • Working closely with regional management to ensure an appropriate operational risk lens is applied and agenda pursued alongside regional initiatives
  • Responsibility for Operational Risk updates to the local risk governance committees
  • The ideal candidate will have first-hand experience of supporting Investment banking businesses (products, business lines etc.)
  • Experience in a control or risk management function, though not necessarily in an operational risk capacity (e.g. Market Risk, Product Control, Compliance etc.)
  • Solid communicator, able to interact at senior levels in a credible fashion
  • Solid interpersonal / team skills, able to illustrate an ability to work collaboratively across global teams in both a formal and virtual capacity (e.g. pulling different groups together outside of function)
  • Proven ability in project / change management
  • Proven self-starter, able to work autonomously under remote supervision as an individual key contributor
  • Familiarity and prior interaction with regulators in Ireland and the UK/EMEA region is beneficial
  • Operational risk management experience is not essential, but is beneficial (familiarity with operational risk framework implementation, risk assessments and principles around operational risk management such as capital allocation, metrics etc.)
  • Do you have the right to live and work in Ireland?
  • Do you have in excess of eight years operational risk experience within an investment banking environment?
80

HSS & PCM Operational Risk Oversight Manager Resume Examples & Samples

  • Extensive industry experience in a capital markets, corporate / investment banking institution
  • Strong understanding of the advanced operational risk framework being implemented within HSBC and how it must operate in order to meet management and regulatory expectations for use-test
  • Strong knowledge of the control environment surrounding capital markets, corporate / investment banking
  • Experience within an Operational Risk role within a securities services business environment
  • Candidate would need to be a team player with excellent interpersonal, communication and influencing skills and confidence to deal with senior staff to sell the benefits of OR management and challenge their operating environment
81

Operational Risk Coverage Resume Examples & Samples

  • Build solid primary relationships with the IM front office, and secondary relationships with the functional teams supporting IM including Finance, Operations, Risk Management and other support functions supporting the coverage area; develop strong networks across the Firm in order to ensure effective management of operational risk
  • Assist the coverage area in highlighting their Key Operational Risks and management of risk levels against designated risk tolerance levels
  • Develop analytical capabilities to support the broader ORD operational risk assessment process for business areas, risk types, regions and legal entities
  • Carry out deep dives into material operational risk events (internal and external) and analyses of thematic operational risks
  • Take responsibility for the coordination, facilitation and challenge of the scenario analysis requirements, leveraging multiple resources in IRD and the coverage area
  • Assist in the ongoing enhancement of the Operational Risk program and embedding of the framework and standards
  • Perform lead ORD oversight role for the annual Risk and Control Self Assessment (RCSA) process for the coverage area
  • Assist in reporting to Boards and Committees
  • Strong Investment Management (Asset Management), and other support function knowledge (e.g. operations, financial control, compliance)
  • Significant work experience in operational risk/financial control based roles within an Investment Management / Asset Management financial services environment
  • Confidence to take ideas forward and to challenge others, where appropriate
  • Experience in meeting the expectations of U.S./U.K. regulators
  • Good understanding of banking regulation, especially relating to operational risk management, is highly desirable
  • Knowledge of operational risk modeling and AMA frameworks would be an advantage
82

Senior Operational Risk Opportunity Resume Examples & Samples

  • Operational Risk management experience at a senior level within the Financial Services industry
  • Ability to perform a risk and control role independently and confidently whilst managing a small team
  • A strong understanding of regulatory requirements pertaining to Operational Risk within Australia
  • The ability to build strong internal and external relationships with senior executives
  • An analytical mindset - with a passion for strategic advisory
83

Operational Risk Resume Examples & Samples

  • Carry out analytical work using ORD’s various data sets, including issues and actions, internal/external incidents, metrics and RCSAs
  • Review operational risk incidents to identify potential data quality issues and communicate with Operational Risk Managers on data review findings
  • Produce data quality reports in a timely manner and socialize the findings with Operational Risk Managers when required
  • Assist in system enhancement for data quality assurance, prepare and maintain relevant system requirement documents
  • Up to 5 years of working experience with experience dealing with front office business, operations or risk management in a financial institution
  • Strong analytical skills and attentive to details
  • Multi-tasking and able to work under pressureProficiency in Microsoft Office applications, expertise in macro/VBA will be a plus
  • Basic understanding of BASEL framework on operational risk
84

Operational Risk Resume Examples & Samples

  • Lead and drive the analytical work using various data sets, including issues and actions, internal/external loss incidents, metrics and RCSAs to provide insight and useful Management Information for the senior management of the global function
  • Manage a team of four and be the centre of contact for all data monitoring activities
  • Review operational risk incidents and identify potential data quality issues, produce data quality reports and socialize the findings with Operational Risk Coverage teams when required
  • Monitor the data quality of Issues and Actions and follow up with relevant parties as necessary
  • Investigate and drive system enhancement for data analytics and quality assurance
  • 5-10 years of working experience within a financial institution with rich experience in dealing with data analytics and data quality assurance
  • Track record of effectively leading teams
  • Multi-tasking and able to work under pressure
  • Proficiency in Microsoft Office applications, advanced user of Excel and PowerPoint
85

Operational Risk Resume Examples & Samples

  • Identify new or emerging risks to which the business is exposed
  • Conducting scenario analysis, developing and maintaining a library of case studies
  • Facilitation of operational risk event collection, enrichment of event data, perform detailed reviews of events, tracking of remediation, conduct trend analysis
  • Contributing to stress testing and operational risk capital work as needed
  • New Activity memos review – to ensure operational risks arising from new products and/or business, migrations, etc. are properly considered
  • Exercising credible and effective challenge as a second line of defense, strengthening the risk framework and its individual components
  • Remain current on business drivers, regulatory and industry changes impacting the business
  • Conduct business training and raise awareness of the operational risk framework, their roles and responsibilities
  • Respond to client inquiries about operational risk
  • Contribute to the advancement of Operational Risk Methods and Practices and the operational risk management framework
  • Identify, maintain and analyze risk measures
  • Establishment and maintenance of a qualitative/quantitative business level operational risk appetite/tolerance with associated metrics, monitoring, triggers, escalation and mitigating actions
  • Contribute to developing the firm's operational risk framework including the design and project management for strategic platform enhancements
  • Strong financial product and business acumen
  • 3 - 4+ years of relevant experience
  • Excellent interpersonal and analytical skills
  • Self starter, work independently and proactively, proven track record of delivery
  • Inquisitive and enthusiastic
  • Product Knowledge – An awareness of fiduciary business responsibilities and activities, includes activities of an asset manager or private wealth manager would be beneficial
  • Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles or setbacks
  • Client and Business Focus - Effectively handles difficult requests, builds trusting, long-term relationships with clients, helps the client to identify/define needs and manages client/business expectations. Known as a trusted advisor and can maintain/handle
86

Operational Risk Resume Examples & Samples

  • Conducting scenario analysis, coordinating development of case studies to quantify and measure operational risks, maintaining a library of case studies
  • New activity memos review – to ensure operational risks arising from new products, activity, migrations, etc. are properly considered
  • Facilitation of operational risk event collection, performing detailed reviews of events, tracking of remediation, conducting trend analysis and reporting
  • Exercising credible and effective challenge as a second line of defense
  • Working with senior stakeholders within the business and federation divisions, strengthening and developing the risk framework and its individual components
  • Remaining current on business drivers, regulatory and industry changes impacting the business, identifying new or emerging risksto which the business is exposed
  • Contributing to operational risk capital determination and stress testing
  • Conducting training and raise awareness of the operational risk framework
  • Identifying, monitoring and analyzing risk measures
  • Contributing to the advancement of operational risk methods and practices and the operational risk management framework
  • Experience in roles with direct expertise in technology with strong understanding of how technologists operate and the components work, including familiarity with the concepts such as SDLC, entitlements, cyber security, capacity management, resiliency management
  • Strong technical and quantitative aptitude to be able to understand and determine quantification of operational risks, ideally exposure to creating and understanding financial models
  • Risk management and control mind-set
  • Excellent interpersonal, verbal and written communication skills – able to present with impact and influence
  • Self-starter, work independently and proactively, proven track record of delivery
87

Operational Risk-leading Brokerage Resume Examples & Samples

  • Management and production of monthly KRI packs
  • Monitoring of the Risk Appetite Framework
  • Manage firm-wide Op Risk E-Learning Module
  • Assist in design, management and monitoring of Risk Register (Risk Mapping) including controls
  • Operational risk incident input, monitoring and reporting
  • Assist in the design, implementation and in carrying out Risk Control Self Assessments (RCSA); Operational risk incident capture and analysis (Internal & External data), and other aspects of Operational Risk Target Operating Model Implementation
  • Policy/Procedural documentation generation and maintenance
  • Op Risk Capital Modelling/Scenario development
  • Modelling and Capital Calculation for other risk types: Credit/Market/Counterparty
  • Assist in Business Continuity Planning (BCP)
  • Some overseas travel may be required
  • General understanding of Operational Risk incident capture system(s), including input, monitoring and reporting
  • Experience of dealing with formal documentation
  • Ability to read and understand regulatory rules, consultation papers and legal documents
  • Experience in international wholesale markets or specific knowledge of the firms' products including cash equities and securities, equity, FX, and commodity derivatives, money markets
  • Reasonable knowledge of cash and derivatives exchange rules e.g. Euronext, Eurex, LSE
  • Very good PC skills and knowledge, in particular Word and Power Point with excellence in Excel
  • Good literacy and numeracy skills
  • Good communications skills both verbal and written
  • Ability to communicate with all business areas and senior management
  • Good inter-personal skills
  • Willingness to learn new skills and take on challenges
  • Ability to work in a team or autonomously on specific projects/tasks
88

Operational Risk-avp / VP Resume Examples & Samples

  • To review and challenge the management and delivery of the risk and control identification and assessment program which provides effective and efficient identification, measurement, assessment, and reporting of operational risk with a particular emphasis on the applicable business line
  • Supports the Director, Global Operational Risk, in the review, assessment and enhancement of the Bank's operational risk management tools and methodologies
  • Assists with the development, delivery and reporting on the scenario analysis program
  • Plays a challenge role with respect to their identification, assessment and management of operational risk
  • Supports the business units in the development of its operational risk management programs, as well as in responding to regulatory requests for operational risk-related information
  • Supports the business units in the development of its Key Risk Indicator Program
  • Maintain relationships with the business units operational risk managers and applicable corporate support areas to remain current on new developments and emerging risks within the industry
  • Develops operational risk reports for Asia Pacific Committees
  • Participates in Asia Pacific Operational Risk Committees and attends Compliance Committees as back up to Senior Risk Officer
  • Educates the business lines and support functions on the Bank's operational risk framework
  • Review and maintain Asia Pacific risk policies
  • Prepare Board reports for Singapore and Hong Kong subsidiaries
  • Participate in resolution and recovery planning exercises as required by local regulators; this will require coordinating across global teams
89

Operational Risk Resume Examples & Samples

  • Provide coordination of the regional outsourcing program, including risk assessments, agreement drafting, periodic cost and service level reviews, meeting minute reviews, and Bank Committee presentations
  • Actively lead and partner across organizations in the continued development, implementation, training and sustainability of a new Affiliate Agreement Workflow tool to automate the current manual processes
  • Assist in ensuring appropriate governance of policies and procedures, and the Bank’s framework adherence to key regulatory requirements
  • Liaison with the Business Teams, Legal and Compliance, Firm wide Sourcing, Finance, Operations, and among others, to ensure Vendor Agreements and Task Orders are compliant with Bank guidelines
  • Undergraduate degree in Business, Finance, or other related field (at minimum)
  • 3-5 years of relevant experience in risk management or sourcing in the financial services industry is a plus
  • Ability to manage ambiguity and bring focus with recommendations on solving tactical and strategic challenges
  • Ability to work in a fast paced environment, both independently and as part of a team, and under strict deadlines
  • Strong at identifying key control points within a process, and then provide assessment of the preventative and detective controls
90

Firm Operational Risk VP Ccar & Framework Resume Examples & Samples

  • Support and enhance the Firm’s CCAR/DFAST/ICAAP process to ensure the deliverables and documentation remain current and meet regulatory expectations
  • Develop knowledge of the Firm’s capital framework
  • Support the Building and enhancing of the Operational risk framework
  • Drive forward new initiatives in pursuit of sound risk identification approaches within and outside ORD (e.g., Emerging Risk framework)
  • Support coordination and requests for Internal Audit, Regulatory Exams, and Compliance Assessments
  • On an annual basis run the respective Department’s RCSA requirements
  • Assess and document the Board Effectiveness / Conceptual Soundness of the Operational Risk Framework
  • Keep up with new regulations and ensure incorporation into the ORD policy of the firm
  • Previous experience supporting an analytical risk function that includes strong quantitative skills and advance use of Excel
  • Effective interpersonal skills, willingness to reach out and to new contacts to discuss issues, builds consensus, prioritizes effectively, and develops alliances across an organization
  • Experience with Executive and Regulatory presentation preparation, and advance use of Power Point
  • Adaptable to rapidly changing priorities and excited by new challenges
  • Strong sense of ownership and accountability for output, the control environment, and reporting development
  • Strong risk analysis and ability to identify root causes for risk events and perform ad-hoc analysis
  • Effective summary level written and verbal communication skills
  • Understanding of the importance of adhering closely to established risk principles
  • In-depth understanding CCAR Operational Risk Methodology and approach
  • Interest in joining a team that is continuously looking to improve its Operational Risk Framework
  • Broad knowledge of Investment Banking Business and Functions
91

Head of Operational Risk, Europe Resume Examples & Samples

  • This role works closely with the businesses to drive the ongoing Operational Risk governance and processes to ensure the control environment across Europe is robust, risks are well understood, risk profiles reflect the business strategy and business decisions and treatment plans are followed up and closed
  • The role will also drive the coordination of business continuity activities as well as the delivery of key operational risk projects and priorities
  • This role manages a team of 2 direct reports and a virtual team of 4 - 5 Operational Risk SMEs across the various businesses and functions in Europe
  • Build relationships with the businesses and advise them on the operational risks faced by each business
  • Engage with wider 1st Line ANZ Operational Risk team globally, sharing knowledge and experiences
  • Team up with businesses to ensure operational risk management is embedded in strategic decision making and daily operational activities
  • Leverage industry knowledge to put in place a good control culture
  • Manage the resolution of operational risk events and ensure appropriate risk mitigate are implemented
  • Undertake associated operational risk events reporting and escalation to senior management
  • Analyse operational risk event data as a basis for assessing the accuracy and appropriateness of risks, their ratings and control environment
  • Assist, if needed, with BCP testing, reviews and development of strategy
  • Coordinate virtual team of Operational Risk SMEs across Europe
  • Team up with the businesses to ensure ANZ Europe’s Business Continuity Planning is appropriate
  • Work closely with Technology to ensure that adequate testing of the BCP controls is undertaken and reported to management
  • Assist with training and awareness across the wider branch
  • Ensure ‘Risk is Everyone’s Responsibility’ is truly understood
  • Identify, analyse and risk-rate operational risks faced by the business and facilitate the creation of business risk registers
  • Oversee control testing and review test results
  • Ensure the control environment and testing follows guidelines set out in the Operational Risk Framework and other relevant group policies
  • Coordinate the production and monitoring of key risk indicators for Europe
  • Drive Operational Risk Forums for each business and contribute to the European Risk Management Committee
  • Coordinate regulatory risk returns e.g. risk certification, business continuity
  • Support implementation of risk policies and procedures
  • Roll-out Group Operational Risk initiatives across Europe
92

Operational Risk Resume Examples & Samples

  • Knowledge of Investment Banking Products and Services including business flows and deal life cycle
  • 3 - 4+ years of relevant experience, 1-2+ years in a consulting environment is ideal
  • Excellent interpersonal, financial and analytical skills and ability to work in a fast paced environment
  • Strong verbal and written communication skills - present sound, persuasive rationale for ideas or opinions
  • Self-starter, work independently and proactively with proven track record of delivery to improve current processes and develop creative solutions
  • Strong organizational skills (project management experience a plus) and attention to detail
  • Team work - collaborate with others within and across teams, encourage other team members to participate and contribute
  • Inquisitive and enthusiastic with a strong client and business focus, effectively handle difficult requests, build trusting, long-term relationships
93

Operational Risk Systems Resume Examples & Samples

  • Defining the approach for ORM systems integration including Self-Identified Issues, Risk Appetite / Tolerance / Metrics, Risk Acceptance, Risk Reporting, Risk Governance, Capital Model and the management of external and internal findings
  • Ensuring integration of the data model with other ORM systems/ORM Data Warehouse
  • Providing data model specific requirements for Business Requirements and Functional Specifications
  • Verifying that the technical delivery of the data model meets the business needs, through reviews and testing (systems integration testing/user acceptance testing)
  • Performing impact assessments of all changes affecting the data model
  • Assisting in performing the impact assessment, of making specific taxonomy changes
  • Assisting with data classification and ensuring appropriate access to data through an ad-hoc security model
  • Developing and executing R&CA Information Technology (IT) System QA and ‘business acceptance’ governance process from a data perspective
  • Developing and embedding ‘Run–the-Bank’ maintenance and governance processes for Reference and Core Data, Taxonomies and other context data
94

Cib-operational Risk Oversight VP Resume Examples & Samples

  • Independently evaluate and challenge the business and functions’ implementation of the firm’s Operational Risk Management Framework (ORMF)
  • Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risks
  • Promote and instill a strong culture of Operational Risk Management and operational excellence, having close interaction with the business to continually improve Operational Risk processes and business operating models supporting safe business growth and informing risk-based decision making
  • Work closely with the controls organisation to ensure Operational Risk standards are communicated, understood and applied - review adherence to firm’s ORMF, governance, standards, policies across LOBs, functions, legal entities and countries
  • Provide overview and incorporate internal & external loss data sets, understand the impact on the capital calculation and optimize outputs
  • Drive the development of the regional and legal entity alignment to the ORMF, including Key Risk Indicators (KRIs), Loss Data, Risk and Controls Self Assessment (RCSA) and Scenario Analysis as necessary
  • The candidate will join the team covering CIB Markets, and will be required to quickly familiarise him/herself with the firm’s Operational Risk Management Framework and with the internal control systems (Risk & Control Self Assessment, RED etc.)
  • The candidate will participate regularly in meeting with heads of business units and support functions, and will be specifically responsible for leading key projects and reviews
  • The role will work closely with other Risk Management Groups and key control functions including Compliance, Audit and Oversight and Control
  • Previous experience in JPM front office and with a good, established network
  • Good understanding of the various CIB markets businesses (Spread, Macro, Equities)
  • High-level understanding of downstream systems (middle office, back office)
  • The candidate will have developed strong risk and controls mind-set, excellent operational, management and coordination skills, superior attention to detail and a desire to build a robust, flexible, sustainable structure around new processes
  • Applicants should possess excellent interpersonal, communication and influencing skills
  • An existing theoretical and practical knowledge of Operational Risk Management is an advantage but not essential
95

Operational Risk Mgr-group Resume Examples & Samples

  • Provides a leadership role in the planning, development, and implementation of operational risk frameworks / measurement methodologies, policies, standards and procedures specific to the needs of the business which are aligned with the Bank’s Operational Risk Department
  • Analyzes and documents various processes and products, existing or new, by working with the business units to identify key processes as prescribed by the Operational Risk Department’s framework (process documentation, risk assessment, controls documentation, and testing implementation.)
  • Works with management and staff in areas of the organization affected by alterations in business practices to ensure understanding and implementation of new operational risk policies and procedures
  • Collaborates with other Bank units to study and investigate operational risk issues and identify and implement solutions
  • Supervises and / or performs periodic testing to determine effectiveness of unit’s adherence to the Bank’s operational risk framework requirements, internal policies, and best practices
  • 10+ years combined Risk Management experience
96

Operational Risk Department Coverage Resume Examples & Samples

  • 3rd Line: Independent Assessment by Internal Audit - Provides independent, assessment, validation and evaluation
  • Build solid relationships in the front office, Finance, Operations, Risk Management and other support functions supporting the coverage area; develop strong networks across the Firm in order to ensure effective management of operational risk
  • Carry out operational risk assessments; develop in-depth understanding of the business and operational risks within the coverage area
  • Assist the Divisions in highlighting their Key Operational Risks and management of risk levels against designated risk tolerance levels
  • Develop analytical capabilities to support the operational risk assessment process for business areas, risk types, regions and legal entities
  • Assist in the enhancement of the Operational Risk program and embedding of the framework and standards
  • Strong Investment Banking experience, focused on the trading side of the business
  • Solid understanding of the trade life cycle process and the requisite control environment required to ensure mitigation of risks
  • Good understanding of banking regulation, especially relating to securities business
  • Ability to work in a team environment, building and maintain a network of contacts and coordinating with a large number of stakeholders
  • Knowledge of operational risk framework is an advantage
97

In Business Operational Risk Head Resume Examples & Samples

  • Definition of common methodology, checklists and implementation tools to perform visits to branches
  • On Site support to the branches
  • Analysis of findings, corrective action plans and overall control status of branches
  • Quarterly Presentation to the BRCC
  • Process development and analysis
  • Audit process
  • Operational Risk
  • Strong legal and Regulatory background
  • 5+ years of related experience in finance/control/audit/process/operational risk related functions
  • Project management techniques
  • Managing people
  • Demonstrated ability to synthesize information, prioritize requirements and s with a high sense of urgency
  • Strong Communications Skills
  • Written and verbal communications skills; prior track record of successfully interacting and remote teams
  • Work in collaboration and teamwork across organizational boundaries
98

Executive Director of Field Management Operational Risk Resume Examples & Samples

  • Primary team coordinator for key Field Management Operational Risk initiatives and tasks
  • 5-10 years of experience within Financial Services, with involvement in Operational Risk or Wealth Management preferred
  • Familiarity with Wealth Management branch structure and/or branch operations
  • Must be comfortable working closely with various business functions
  • Strong proficiency with Microsoft Word, PowerPoint and Excel
99

Operational Risk VP Resume Examples & Samples

  • It is critical to ongoing risk assessment of process risk, control and capability effectiveness across all products and segments for China
  • To establish and maintain an operational risk management framework for the bank including risk related governance, policies, and tools etc that enables identification, assessment, mitigation, measurement, monitoring and reporting of key operational risks; as well as monitoring the effectiveness of ORM
  • Also, it is responsible for integration and implementation of Fraud Risk Management in China and to ensure applicable global or local fraud risk related policies are being adhered to
  • As the partner with other stakeholders, provide guidance and coordination to conduct various local regulatory anti-fraud self inspection requirements on business activities and staff behavior
100

Consumer ORM Operational Risk & Control Assessment Resume Examples & Samples

  • Support the Head of Risk and Control Assessment unit in capacity planning and departmental activities including continuous process improvement to enhance efficiency
  • Work experience of 7+ years in the financial services industry in risk and controls assessment
  • In depth knowledge of Consumer NA businesses, products and the banking industry globally including major regulatory themes a plus
  • Experience with CitiRisk and the Managers Control Framework a plus
  • Business or Risk experience in Credit Card, Retail Banking or Personal Wealth Management a plus
  • Bachelors Degree / Masters Degree in Business, Finance, Accountancy, Law, Science, or other relevant fields
101

Consumer ORM Operational Risk & Control Assessment Resume Examples & Samples

  • Develop thorough knowledge of Citi Risk ORI module and support capture of data as required
  • Work experience of 5+ years in the financial services industry in risk and controls assessment
  • Bachelors Degree / Masters Degree in Business, Finance, Accountancy, Science, or other relevant fields
102

Operational Risk-icg Business Coverage Risk Manager Resume Examples & Samples

  • Providing input into operational risk framework program and policy development
  • Participating in delivering operational risk framework training
  • Risk management experience, including knowledge of risk management governance and control
  • 5+ years relevant industry or risk management experience and/or accreditation
  • Business intelligence
103

Senior Operational Risk Scenarios Manager Resume Examples & Samples

  • Providing detailed analysis of both internal and external data
  • Feeding data to the statistical modelling team, scenario analysis team and legal matter analysis lead
  • Liaising with operational risk leads to assist in the Risk ID process
  • Responding to ad hoc data analysis requests
  • Providing regulatory data to Finance
  • Masters degree in Finance or related field, or equivalent experience
  • 10+years experience in Finance or Risk related role
  • Operational Risk experience preferred
  • Experience with systems conversions
  • Strong analytical and communication skills required
104

Country Consumer Business Operational Risk & Control Head Resume Examples & Samples

  • Minimum Bachelor’s Degree or equivalent professional qualification
  • Strong understanding of Consumer Bank products and processes including Consumer Operations
  • Proficient in the use of basic Microsoft applications (Word, Excel and PowerPoint)
105

Assistant VP-operational Risk Resume Examples & Samples

  • 3+ years’ experience in financial industry and/or business management
  • Specific experience in Vendor Management, Business Continuity Management, Risk, Compliance and/or Audit a plus
  • Ability to use desktop tools to perform analyses and develop presentations for senior management. Working knowledge of MS Office, particularly Excel and PowerPoint
  • Demonstrated leadership in setting strategy and driving an agenda
  • Strong process management skills
  • Ability to manage delivery/execution of a wide range of tasks and initiatives
  • Ability to work independently and possess a strong sense of accountability/ownership
106

Etrading Operational Risk Resume Examples & Samples

  • Identifying, assessing and reporting Electronic Trading activity proposals against the Electronic Trading Control Risk Assessment Framework (ECRA) and assisting to present findings to Management and Governance bodies for decision making
  • Identifying, assessing and reporting ECRA gaps including proposal for remediation or risk acceptance and presenting findings to Management and Governance bodies for decision making
  • Conducting periodic performance of independent sample testing, to verify the implementation of controls and reporting findings to Management and Governance bodie
  • Conducting periodic monitoring of Electronic Trading activity against the ECRA including status of; control gaps and remediation commitments, overdue controls gaps including appropriate escalation to management and governance bodies, control gap target date extension requests including review and assessment risk accepted control gaps including assessment of current validity
  • Conducting periodic reporting of Electronic Trading activity compliance against the ECRA
  • Reporting, reviewing and assessing reported incidents related to Electronic Trading activities
  • Preparing agendas, meeting minutes, action tracing and coordinating logistics for the Governance bodies
  • Ad-hoc maintaining the Electronic Trading inventory to ensure information is current
  • Coordinating bi-annual completeness checks with the Bank, to ensure the inventory remains complete
  • Managing the pipeline of new proposals or changes to existing Electronic Trading Activity
  • Continuously reviewing, assessing and coordinating framework control changes
  • Coordinating and participating in annual reviews of the Electronic Trading Controls Policy, with the Bank
  • Developing and maintaining Key Operating Procedures (KOPs), that support the eTrading DCO function
  • Conducting look-across assessments/deep dives from the implications of ECRA results and self identified issues
  • Reviewing remediation plans for ECRA control gaps
107

Flex Intern Operational Risk Resume Examples & Samples

  • Contributes to one or more business unit initiative(s)
  • Undergraduate and/or graduate student
  • GPA of 3.0 or better
  • A major in accounting, economics, business, finance, communications/marketing, information systems, or other fields related to the financial services industry
  • Prior internship experience preferred
  • Very good presentation skills
108

Head of Operational Risk Resume Examples & Samples

  • Communicate, interpret and implement Operational Risk Management policies
  • Prepare regular, ad-hoc or special reports for the Company's Compliance/Risk Committee
  • Assess risk in the Company's new or existing products, services, processing and operations
  • Head up a Risk Management team and train and develop staff
  • Work with Department Heads to manage Operational Risk
  • Study new and emerging international regulations and their application
  • Use intuition to rapidly assess new, unusual or unfamiliar risks
  • Mediate with managers to risk-modify new or existing products
109

Market & Liquidity Risk Management Operational Risk & Control Resume Examples & Samples

  • Review and understand departmental processes and controls for effectiveness and efficiency, identify areas of operational vulnerability and lead the development of remedial action
  • Support MLRM in the quality assurance of audit actions and interactions with local action owners to ensure a timely completion of agreed upon deliverables
  • Manage intra- and interdepartmental process and control enhancement projects
  • Perform and maintain the annual departmental Risk and Control Self Assessment process and develop and maintain risk and control MI to monitor risk and control developments throughout the year
  • Support the business in completing their Risk and Control Self Assessments
  • Management and maintenance of the departmental management control framework
  • Support ad-hoc inquires as requested from the MLRM COO and Head of MLRM
  • Oversee performance under SLAs with MLRM as both, service providers and service recipients
  • Setting priorities and management of staff and contractors
  • Other MLRM COO tasks as agreed and assigned
110

Operational Risk Executive Resume Examples & Samples

  • 8+ years actively serving in a Corporate Audit/Risk/Compliance role with an emphasis on issues/audit management/regulatory exams
  • Regulatory/Audit Experience
  • Experience interfacing directly with regulatory agencies
  • Understanding of regulatory reporting functions and processes
111

Operational Risk & Control Resume Examples & Samples

  • Take a leadership role in implementing and managing operational risk within the business
  • Act as the SME that all business managers can turn to when trying to implement effective procedures and controls
  • Proactively monitor the Operational Risk events, both internal and external, and ensure issues are esculated to senior managers
  • Manage the Key Control Self-Assessment and Control Sample Testing processes
  • Responsible for all business wide Risk Meetings within Japan, liaising closely with other regions. Chair the Operational Risk Committee in Japan
  • Ensure that there is a robust and transparent Operational Risk tracking system in place, and look for ways to improve efficiency in Risk Data Management, in line with recent regulations
  • Ensure that all operational losses are reconciled within the business books
  • Experience of Risk Management within Financial Institutions
  • Knowledge of implementing controls related to Risk Management of Compliance
  • Understanding of the regulatory landscape relating to financial services in Japan
  • Deep understanding of Transaction Banking, Corporate Finance or Investment Banking
  • Experience managing Operational Risk, or working within Front Office control
112

Cib-operational Risk Oversight ED Resume Examples & Samples

  • Proactively drive the identification, assessment, measurement, mitigation and monitoring of operational risk through consumption of information from the effective deployment of RCSAs, KRIs, scenario analysis, event management (monitoring of event recording, event trend analysis) and targeted risk assessments
  • Promote and instill a strong culture of Operational Risk Management (ORM) and operational excellence, partner with the business to continually improve OR processes and business operating models supporting safe business growth and informing risk-based decision making
  • Independent challenge – challenge, validate and endorse business risk profiles and provide constructive challenge to the business where residual risk levels are deemed to exceed appetite
  • Facilitate scenario analysis with businesses to stress the control environment under simulated conditions, drive accurate capital allocations and inputs
113

Operational Risk-wholesale Credit Resume Examples & Samples

  • Ensuring that WC has robust, day to day risk management routines in adherence with the Corporate Operational Risk program element standards (e.g. RCSA, losses, KRIs, issues)
  • Acting as a challenge function to the business by providing independent feedback, and willing to push back
  • 7+ years of Credit Product business experience andworking knowledge of Operational Risk/Audit/Credit Review
  • Strong internal drive and ability to take ownership for managing risk for multiple product lines
  • Ability to efficiently manage multiple priorities and deliverables and have the ability to effectively and diplomatically manage conflict
  • Ability to make sound risk/reward decisions and consciously balance data, logic and intuition
114

Operational Risk-emerging Markets Resume Examples & Samples

  • Lead operational risk assessments and deep-dives around areas of concern, heighten or emerging risks
  • Share relevant lessons learned on issues/risks raised in other Global Markets businesses (internal or external)
  • Review and analysis over operational events to determine themes, trends, and root causes. Monitoring the status of mitigation plans to ensure appropriate actions are taken to reduce likelihood of reoccurrence
  • Perform due diligence in support of operational risk’s approval for new products ensuring responsible business growth
  • Participating in business, risk and control committees/forums assisting senior leaders in evaluating adherence to regulations and policies related to change initiatives and active management of issues and emerging risks
  • Monitoring LOB’s adherence to firm wide operational risk standards and policies; reporting and escalating
  • Reviewing and challenging risk and control self-assessments of the business and support functions
  • Participating in and reviewing scenario analyses
  • 10+ Years Capital Markets industry experience across multiple products, including Fixed Income products
  • 10+ Years Operational Risk/Front Office/Middle Office/Operations /Audit Experience
  • Strong written and verbal communicator with very strong influencing skills and ability to manage debate and conflict
  • Organized, with attention to detail
115

CEP Operational Risk Programme & Framework Manager Resume Examples & Samples

  • A solid understanding of financial products and processes across all of Citi’s businesses
  • Experience of managing a complex project portfolio, with variable stakeholders and deadlines
  • The capacity to organize and prioritize workload within a complex environment with competing and subtle resource demands
  • Proven tracked record of meeting deadlines
  • Experience in establishing deliverable operational risk frameworks, challenging businesses and functions to execute against the requirements
  • Confident, clear and concise verbal and written communications skills
  • Strong analytical skills applicable across all businesses and products
  • Strategic and goal-oriented focus
  • Extensive work experience in the financial services industry, with exposure to operational risk and/or internal control concepts
116

Operational Risk Function Head Resume Examples & Samples

  • Provide an independent assessment of the Bank’s operational risks relative to risk tolerance
  • Enhance the Bank’s operational risk framework and related tools and processes to improve the effectiveness and efficiency of operational risk management activities
  • Collaborate effectively with the senior leadership team to support integrated management of risks across business areas and risk types
  • Provide subject matter expertise in various areas relating to operational risk management
  • Drive the development of cross-Bank analyses that provide insight into material and/or emerging operational risks
  • Effectively communicate the Function’s goals, objectives, and conclusions to key stakeholders within the Bank
  • Lead and manage the ORO Function
  • Master’s Degree in Business, Finance, or Economics with an emphasis on risk-related disciplines
  • 10+ years of experience managing operational risk
  • 5+ years in a leadership and managerial role
  • Extensive knowledge of approaches used to measure and manage operational risk
  • Background leading transformational change and influencing across an organization
  • Strong written and verbal communication skills, including the ability to explain complex, technical issues and make clear recommendations to stakeholders
  • Ability to assimilate new information, understand complex topics, execute sound judgment, develop sound conclusions and make recommendations in a timely manner
117

Avp-operational Risk & BCM Resume Examples & Samples

  • Plan and conduct a program of RCSA activity covering all business units/support functions
  • Develop (in conjunction with the business) KRIs for all risks rated as moderate to high
  • Collect, analyse and follow up on lessons learnt from internal incidents and submit results for regional Enterprise Risk Dashboard operational loss reporting
  • Respond proactively to business requests relating to risk assessment elements of new products/services, outsourcing and systems under development life cycle so as to ensure operational readiness and effective risk mitigation
  • Build organisational operational risk awareness as part of the RCSA work and through a programme of targeted training for the executive layer, general staff and especially for Operational Risk Officers embedded in the business units
  • Support the Operational Risk Officers in the execution of their roles
  • Build anti­fraud awareness through roadshows and training sessions covering all high fraud risk areas of the business
  • Coordinate with the business on follow­ up activity and implementation of action on issues related to internal audit, external audit and regulatory risk
  • Periodically report results of ORM activities to the local Management Risk Committee including Enterprise Risk Dashboard ORM/BCM elements
  • Location: The candidate will operate mainly from the head office but must be willing to work in any part of the region on specific assignments of short duration to assist Regional/Local ORM in other countries on roll­out/embedding activities or to stand in for Regional ORM/BCM Head
118

Operational Risk Contr Resume Examples & Samples

  • Time management – organizing and prioritizing work
  • Ability to work to strict reporting deadlines
  • Ability to multi-task in a complex environment
  • Ability to learn and apply learning quickly
  • Financial and Management Accounting
  • Investment Banking industry knowledge
  • MIS/KPI Reporting
  • 2-4 years of experience in Financial Accounting
  • Prior Financial Services Industry experience desired but not required
119

Operational Risk & Control Resume Examples & Samples

  • Manage the MLRM operational risk incidents and act as the lead expert
  • Manage the annual review, analysis, testing and documentation of MRM processes and controls for effectiveness and efficiency (Ex: Unauthorized Trading, Front Office Interactions, Minimum Standards, Competency Framework, Risk vs. P&L Consistency, RCSA, Trading Floor Seats, Offshore Office Locations, etc.)
  • Production of Operational and Control Management Information reporting
  • Perform ad-hoc Quality Assurance of MRLM departmental audit and regulatory actions to ensure a timely and full completion of deliverables
  • Manage the department EUC governance programme
  • MRM New Business program owner and controller
  • Assist with documentation, follow-up and testing on MRLM COO and Operational Risk & Control Assurance owned audit points
  • Assist Line Manager with administrative support for the department's annual Risk and Controls Self-Assessment (RCSA), such as documentation and control testing
  • Assist Line Manager in developing training materials on MRLM COO and Operational Risk & Control Assurance owned processes and procedures
  • Support ad-hoc inquires as requested from the MRM COO and Head of MRM
  • Create PowerPoint presentations to support the deliverables
120

Operational Risk Control Resume Examples & Samples

  • Establish and maintain the Operational Risk Management (ORM) policies and tools within International Centres’ business/support units that enables identification, assessment, mitigation, measurement, monitoring and reporting of key operational risks
  • Monitor the effectiveness of ORM at International Centres’ business/support units (end-to-end)
  • Assist management in the assessment of key operational risk issues and profile of the International Centres
  • Currently, DBS Bank operates in 8 International Centres, eg Australia, Dubai, Malaysia, Vietnam, US, London, Seoul and Tokyo. The role is based in Singapore, and you will be interacting with the focal points in these locations. No travelling will be required
  • Provide advice, guidance and training to International Centres’ business/support units (end-to-end) on operational risk matters including risk management structure and processes, driving operational risk initiatives, tailoring of Group policies, where applicable for adoption at the units
  • Provide support/assistance to senior RC in the engagement with the International Centres management team and participation in the unit’s business control committee meetings in raising risk issues arising in the end-to-end processes
  • Participate in major change initiatives of International Centres (including new product/service and outsourcing), providing inputs to mitigate operational risks
  • Liaise with International Centres’ business/support units’ partners in the various control and support functions (e.g. Credit, Compliance, Legal) in addressing operational risk issues arising in the end-to-end processes
  • As appropriate, conduct reviews on operational risk metrics (e.g. risk events, RCSA, KRIs) 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 in International Centres, whilst ensuring that there are appropriate preventive/detective controls in place
  • Support or advise other units as appropriate or assigned
  • Leverage data analytics to assist management to assess key operational risk issues, monitor effectiveness or operational risk management and provide timely risk analysis and reporting via the various OR tools and firm-wide Operational Risk Management system
  • Analyse and identify trends and any systemic issues/emerging trends; highlight key insights and areas requiring focus in managing operational across units and locations
  • Good knowledge of banking products/services, activities and operations with experience in different businesses and/or operations (corporate banking, private banking, treasury & markets)
  • 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
  • Strong presentation and inter-personal skills, with ability to work with people of different levels
  • Ability 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
  • Knowledge of data architecture and structure to develop data analytics capabilities, and analytical tools would be an advantage
121

Operational Risk Director Resume Examples & Samples

  • Maintain RCSA program, ensuring robust methodologies that achieve the organizations self-assessment objectives
  • Manage RCSA execution to ensure timely and complete assessments
  • Function as the Subject Matter Expert for RCSA tools and practices
  • Provide hands-on execution leadership, support and guidance to RCSA Leads / Risk Liaisons, in the first line of defense, in completing RCSA deliverables, (e.g., process flows, risk/control assessments, self-identified issues and reporting, etc.). This role will require a hands-on approach for the initial roll-out
  • Develop strong relationships within the 1st, 2nd and 3rd lines of defense and promote consistency across risk assessment activities
  • Proactively support the Enterprise Risk Management (ERM) team, as required
  • Maintaining the RCSA program documentation, including updates to the methodology, procedures and templates/forms
  • Working with the Functional Group RCSA Leads and Risk Liaisons to maintain an implementation / execution schedule
  • Tracking and reporting progress on the roll-out of the RCSA program, including providing inputs for updates to Functional Group Leaders, ERM management, Bank Executive Management, and other relevant oversight groups
  • Partnering with the ERM Archer team to identify, document and define business requirements
  • Ensuring feedback from RCSA Leads and Risk Liaisons regarding the transition and tools are incorporated into the new system
  • Performing User Acceptance Testing to ensure the system performs as required
  • Identifying opportunities to leverage the Archer tool to enable more efficient and robust RCSAs
  • Developing and delivering individual or group training sessions on the RCSA methodology
  • Providing best practices on how to create required deliverables (e.g., process flows, risk/control assessments, remediation plans, etc.)
  • Assisting certain non-core operating Functional Groups to completing their RCSA
  • Propose enhancements to the RCSA program which support consistency of risk assessments across the enterprise
  • Understanding the similarities and differences for all other risk assessment activities across the enterprise and working to harmonize these assessments
  • Working with various teams in each line of defense to promote common sets of tools for risk assessments across the organization (i.e. organization views, definitions, rating scales, etc.)
  • Support other aspects of the ERM program, such as the Risk Inventory, Risk Issues tracking and reporting and Risk Appetite
  • As needed, contribute as part of a cross functional project team on ERM initiatives
  • Be a source of knowledge and expertise on RCSAs and support the risk identification and assessment efforts for other core risks
  • Candidate must have exceptional interpersonal and communication skills plus the ability to work independently and as a part of a team. Must be extremely detail oriented and able to manage multiple complex tasks concurrently. Discretion with confidential information is also necessary
122

Operational Risk Stress Test Modeler Resume Examples & Samples

  • Coding/testing/debugging – write new statistical modeling routines. Statistical routines will include a variety of regression models, principal components analysis, modeling diagnostic routines, and bootstrapping
  • Work with the OpRisk Workstream Lead to recommend viable statistical approaches for addressing model needs
  • Write/maintain model documentation
  • Conduct exploratory data analysis on the bank's OpRisk data
  • Run all components of the bank's OpRisk forecast models on a periodic basis
  • Should be proficient in correlation, regression, sampling distributions, and hypothesis testing
  • Should be well-versed and experienced in data analysis and all aspects of multiple regression
  • Proficiency in the use of the following packages/languages
  • Requires at least a Bachelor’s degree in Business, Economics, Finance, Mathematics, Statistics, or other related fields; Master’s degree preferred
  • Experience within the financial services industry is a plus (not required)
  • Experience (academic or professional) in the design and/or documentation of a large scale modeling effort a plus
  • Project management experience is a plus, but not required
123

Operational Risk Resume Examples & Samples

  • Ownership for maintaining and further developing a best-practice control and governance framework
  • Solid collaboration with MLRM Senior Management, UK Market Risk Management, CRO Management, IA, ORM, RFDAR and other departmental management
  • UK Controls Officer responsible for the CSI/CSSEL UK governance for market risk and its application to the UK region
  • Provide oversight and transparency on the control activities of the departments through reporting and key metrics
  • Manage the Quality Assurance of departmental audit and regulatory actions to ensure a timely and full completion of departmental deliverables
  • Ownership of the departmental operational risk and control programs including: RCSA, Management Controls, EUC Governance, Operational Risk Incidents, Control programs (IHC, SOX, Volcker, CFTC), New Business, Front Office Challenge, annual misc trainings (UT, Limits, FO challenge)
  • Represent Market and Liquidity Risk as the FRCO
  • Support ad-hoc inquires as requested from the MRM COO, Head of MRLM or the CSi/CSSL Market Risk Head
  • Lead and management of a global team of 20+ staff and corresponding BOW's
124

VP Field Management Operational Risk Resume Examples & Samples

  • Assist Field Management Operational Risk Office in key strategic priorities such as the monthly risk review, Risk & Control Self-Assessment, and data remediation projects
  • Coordinate Financial Advisor and Client Service Associate error reviews with appropriate support teams such as Risk, Operations, IT and the Field
  • Work on an improvement process for policies and procedures within the wealth management branches
  • Track internal audit open action plans for Field Management division
  • Coordinate with Complex Office teams to prepare for Branch Exams and Internal Audits and identify trends in published exam and audit findings
  • Plan coordination and monitoring for Field Remediations
  • Coordinate new metrics and key risk indicators (KRI’s) with internal audit and compliance
  • Represent Field Operational Rick in technology prioritization meetings and forums when relevant
  • Attention to detail, project management and organizational skills will be key in balancing daily deadlines
125

Executive Director, Operational Risk Resume Examples & Samples

  • Fulfilling the role of CIBC’s second line of defence in the management of operational risk by challenging the business lines’ inputs to and outputs from CIBC’s risk management, risk measurement and reporting systems and programs. The role covers all of Operational Risk in the US Region including Capital Markets, Wealth Management and related Infrastructure groups. This is a key role in the three lines of defence model and it requires a deep understanding of the business as well as the ability to challenge senior employees of the Bank in a constructive manner
  • Providing ongoing oversight and assessment and continuous challenge of CIBC’s operational risk exposure through the use of various risk identification and assessment tools, metrics and inputs. These are key enablers of CIBC’s operational risk program and as such, the proper application and oversight of the tools/metrics/inputs are an important part of CIBC being able to manage and monitor its operational risks. In addition to applying the tools, the role is also expected to provide input into refining and improving the tools as part of a continuous improvement process. Examples of the inputs/ tools are; MRA’s, emerging risks, external event reviews, loss scenarios, KRI’s ,operational losses, Operational Risk Capital, Controls, Deficiencies, BEF’s, Audit Reports, ORP’s and process maps
  • Collaborating with the business units and functional groups to ensure that operational risk and control policies, procedures and standards are communicated within the region and to provide appropriate education and training, including facilitating the regional businesses assessment of operational risk and controls through the Operational Risk Profile program (ORP)
  • Providing operational risk advice to business lines to enhance the management of operational risk, including advising on risk analysis and mitigation strategies in order to identify opportunities to identify and mitigate product, business and enterprise risk exposures as efficiently and effectively as possible and developing executive communications pertaining to operational risk issues
  • Promote a strong ‘Controls and Operational Risk Culture’, which includes managing senior internal relationships to promote acceptance and implementation of operational risk and control framework programs
  • Staying current in regulatory changes and industry best practices in operational risk management to ensure CIBC operational risk management meets regulators’ expectations and is effective and efficient
  • Following-up with respective LOBs as assigned to encourage remediation of deficiencies identified in the control self- assessment process, implementation and monitoring of KRI’s and continual development of business specific and applicable scenarios to identify and mitigate risk
  • Ensure all limit breaches within the Region are correctly classified as to the nature of the breach and coordinate drafting of incident reports for real breaches with front office and the relevant risk managers in Canada
  • Internal relationships include: other members within Global Operational Risk Management (GORM); risk associates from other second defence (e.g., Compliance, Legal, Finance, Risk etc.) groups; risk associates from the third line of defence (Audit), and first line of defence representatives from the business units and functional groups within the bank
  • External relationships include: regulators (e.g., Federal Reserve, NYS, OSFI) and industry associations (e.g., GARP, RMA, ORX, Canadian Bankers Association)
  • A university degree and professional designation (e.g. MBA, CFA)
  • Specific subject matter expertise in the business portfolios being supported
  • 8 to 15 years of relevant work experience is desired
  • Excellent analytical, communication and interpersonal skills
  • Good conceptual thinker
  • A relationship builder
  • Highly proficient computer skills including Excel, Word, Access and PowerPoint
  • Ability to manage multiple projects and/or initiatives simultaneously under tight deadlines
  • Understanding of CIBC businesses will be a plus; and
  • Ability to demonstrate CIBC’s core values (i.e., trust, teamwork and accountability)
126

CCB Risk-operational Risk, ED Resume Examples & Samples

  • Lead a team to provide oversight of RCSA activities to verify conformance to RCSA standards through Independent Challenge
  • Develop positive working relationships influence on multiple, divergent stakeholders
  • Maintains a consistent track record, factoring in the impact of adverse risk/control issues
  • Identifies process improvements and efficiency enhancements; eliminates unnecessary bureaucracy
  • Provides thought leadership/advice and engages in constructive debate
  • Bachelor’s Degree required, Advanced degree preferred
  • At least 7-10 years’ experience in Operational Risk, Audit or Compliance highly desirable
  • Excellent analytical and problem-solving skills with an ability to visualize, articulate, and solve both complex problems and evaluate correlations and synthesize insights
127

Operational Risk Prf Resume Examples & Samples

  • Assist in the SOX compliance analysis, which includes the following components
  • SOX Scoping analysis
  • SOX Deficiencies aggregation analysis
  • ICFR Fraud Risk Assessment analysis
  • Manage the SOX Access Database
  • Audit Committee presentations
  • Assist with SOX project management tasks, including
  • Manage the annual walkthroughs process
  • SOX issue management process
  • SOX Testing tracking and reporting
  • 1 – 4 years of related work experience
  • Strong working knowledge of Microsoft Excel, Word, PowerPoint
  • Strong working knowledge of Visual Basic Access Database and Excel Macros
  • Experience in Sarbanes-Oxley compliance, risk and controls, including governance frameworks such as COSO and COBIT, etc
  • Self-motivated, pro-active, and result-driven problem solver with excellent analytical skills
128

Operational Risk / Risk & Control VP Resume Examples & Samples

  • Make History: Be part of the launch and success of this strategic utility business
  • Play a key role in the evolution of the utility: Innovate and develop best practices for the entire industry
  • Gain recognition and build on your existing success: Become part of a highly respected team and revenue center
  • Apply your knowledge: Innovate and develop best practices for the entire industry
  • Assist in the implementation of the Operational Risk & Control Management Framework
  • Partner with colleagues in Operations & Technology to embed the framework into the culture and day to day operations of the DU organization
  • Interact with DU Operations and IT managers, along with FIS Legal and Compliance functions, RISC colleagues and Internal Auditors to ensure management of day-to-day and emerging risks
  • Contribute to weekly and monthly Risk and Control meetings
  • Review SLA, KRI, KPI and MI reporting prepared for Participants (external clients) to proactively identify problematic trends and initiate actions with line managers to remedy issues
  • Perform Risk and Control Self Assessments (RCSAs), including assessing the design and implementation of effective control activities
  • Perform ‘deep dives’, reviews and Risk Incident Investigations to understand drivers of risks, root causes of risk incidents and to recommend appropriate mitigation actions
  • Assist the DU in addressing control deficiencies that surfaced as a result of a risk incident or from an internal audit, RCSAs or regulatory review
  • Drive best practices across business areas and regions to ensure consistency and adherence to policies and procedures in support of control activities. Partner with DU managers to draft/update procedures to ensure appropriate control activities are established to support each process
  • Lead risk and control training and awareness program across the DU
  • Facilitate internal and external audit requests for information
  • Strong understanding of the front to back Operations process, specifically Derivatives Processing (confirmations, settlements and margining)
  • Overall 5+ years relevant experience
  • 4+ years investment banking experience
  • Prior Operational Risk Management (ORM) experience at a major investment bank preferred, but not essential
  • Experience with Control Testing, or understanding of COSO (or equivalent) preferred
129

Cib-americas Operational Risk Oversight Resume Examples & Samples

  • Assist with the identification, assessment, measurement, mitigation, and monitoring of operational risk through consumption of information from risk events (internal and external), risk assessments, and scenario analysis
  • Provide analytical support to the ORO team to facilitate root cause analysis of issues and risk trend reporting
  • Partner with senior team members to provide ORO coverage of all lines of business/functions across the CIB
  • Perform deep dive analysis to identify themes and trends in areas of emerging risk
  • Assist with ORO presentations for various constituents and levels of management
  • Gather and analyze data, reports, and other documentation to determine inefficiencies, gaps in process/procedure, and data integrity
  • Understand and comply with Operational Risk Policies, Standards, and Procedures
  • Work closely with other Risk Management groups and key control functions including Compliance, Audit, and Oversight and Control (O&C)
  • Seek, develop, and facilitate strong working relationship with control partners
  • Support the Business on risk assessment of change initiatives across the Americas, providing oversight on a portfolio view of change initiatives – as well as working with Technology and Corporate Operational Risk (COR) to ensure that ORO remains aware of business change, relevant to the risk decision making process, and a trusted partner to change initiatives
  • Review high risk new business initiatives and off shoring/outsourcing activities
  • Collaborate and coordinate closely with Business Control Officers to ensure OR standards are communicated, understood and applied consistently - review adherence to ORMF, governance, standards, policies & framework across LOBs, functions and countries
  • Participation on, and oversight of, monthly Regional/LOB/Functional Operational Risk Forums
  • Promoting function consistency and adoption of best practice
  • Requires a minimum of 6 years of financial services experience within a Risk, Finance, Operations, Audit and/or Compliance discipline
  • Bachelor's degree in a relevant field and experience within the financial services industry are required
  • Good understanding of the trade lifecycle
  • Experience in risk identification, sampling methodologies and control testing, control evaluation, the control self-assessment process, audit processes, and using key risk indicators
  • Proficiency with the Microsoft Office product suite is required; Word, Excel, PowerPoint, and Visio
  • Hands-on experience with Operational Risk Management systems is preferred
  • Ability to communicate ideas in a clear, concise manner across all levels of the team and management
  • Creative self-starter with strong initiative, ability to take ownership and work independently
  • Good planning, coordination, and implementation skills - and the ability to work across businesses and functions
  • Excellent analytical and problem solving skills, as well as time management and prioritization skills
  • Experience implementing change and business process improvement
  • Ability to understand business functions quickly, assess the operational risk impact of control issues, communicate findings, and develop recommendations for resolution
  • Proven ability and desire to learn quickly, be flexible, and think strategically. Strong theoretical and practical knowledge of OR - practical experience in applying and managing an OR framework in financial services
  • Understanding of regulatory requirements as they relate to best practice risk & control
  • Strong appreciation of governance
  • Role is based in New York / midtown Manhattan
130

Operational Risk Department Policies Resume Examples & Samples

  • Manage global team to oversee development, review, and maintenance of Firm’s operational risk policies and procedures in compliance with Firm and regulatory standards
  • Manage global team to develop, deliver, and administer employee training on operational risk and related risk education topics, including technology related courses
  • Implement governance standards over operational risk policies, procedures, and training to ensure all content is accurate, effective, and complete with appropriate documentation
  • Ensure operational risk documentation reflects regulatory requirements and current business practices and priorities
  • Provide editorial guidance and quality assurance to document owners of Firmwide, divisional and legal entity policies and procedures within operational risk
  • Manage and track progress associated with the annual update of operational risk documentation, including any new projects, regulated to policies, procedures, and training
  • Identify gaps in process and technology, provide business requirements and work with the subject matter experts to document and socialize requirements
  • Oversee the operational risk policy, procedure and training inventory. Manage administrative record-keeping requirements including all related documentation in compliance with Firm standards
  • Bachelor Degree with a minimum of 6-8 years of experience in financial services. Prior experience in business management, risk management or corporate compliance required; operational risk experience preferred
  • Experienced and proficient business writer; previous work experience in policies and procedures; corporate regulatory and compliance training programs
  • Strong verbal communication skills and experience in managing relationships with senior stakeholders; proven track record influencing others to facilitate and achieve results
  • Excellent presentation skills. Requires the ability to deliver concise and effective executive level presentations, along with providing decision support information for management
  • Experience with managing and developing talent; capability to build and develop a high performing team
  • Highly organized with keen attention to detail; Strong problem solving capabilities
  • Ability to adjust to shifting priorities and to meet multiple demands
  • Proficiency with Microsoft Office Tools (especially Word, PowerPoint and Excel); ability build presentations based on high-level guidance
131

Global Operational Risk Framework, VP Resume Examples & Samples

  • All other teams within global ORD
  • Key Operational Risk Coordinators (“ORCs”) within the business and support functions
  • Liaison with Internal Audit and Compliance where relevant
  • Design, development and / or enhancement of ORD Framework components; including seeking input from subject matter experts where appropriate
  • Socialization of any proposed changes within ORD and across the ORC community to confirm agreement and practicality of application
  • Liaison with ORD Technology and Metrics teams to develop the appropriate infrastructure to support the framework component
  • Liaison across the ORD Framework team to ensure integration of all framework components
  • Production of presentations and supporting policy, procedure and training documentation in liaison with the relevant ORD and training teams
  • Central program governance (including all appropriate governance forums to support program execution, e.g. ORD Programs Committee, Working Groups etc)
  • The ideal candidate will have strong previous experience at an investment banking institution or a background in management consulting with a track record of rapidly acclimating to a fast-paced and constantly changing environment while working under pressure
  • Operational Risk background and/or prior Operational Framework experience either at the business or firm level is required
  • MS Office proficiency: The candidate must have strong power point skills and a strong capability in visual representation of information and data, and have experience in creating succinct and relevant presentations
  • Communication: Excellent oral and written communication skills and a proven ability to work in a fast-paced and high pressure environment
  • Communication: The ability to actively and proactively engage with key stakeholders and successfully influence the stakeholder community
132

VP-operational Risk Resume Examples & Samples

  • Awareness of the bank's approach to management of operational risk
  • Provide assurance that controls are effective through reviewing self assessments or performing Quality Assurance checks
  • Help develop an operational risk culture by providing necessary training and raising awareness of the staff
  • Liaise with Audits and Inspections and track the findings for resolution and closure
133

Operational Risk Resume Examples & Samples

  • Project management of the implementation of enhancements to the risk assessment program
  • Facilitating the risk assessment process, including: establishing and communicating risk assessment timelines, tracking and escalating completion status, providing status reporting, providing guidance on how assessments should be completed
  • Working with the systems project manager and business analysts to ensure the risk assessment application reflects the methodology, is fit for purpose and user friendly
  • Providing training and functional support across a range of departments on the risk assessment methodology and use of the risk assessment application e.g. answering questions on how to complete or make changes to the risk assessments
  • Working with the metrics team to design, enhance or modify reports on the assessment outputs
  • Analyse the risk assessment data to draw conclusions on the risk assessment profile of the entity and group
  • Providing risk assessment metrics and reporting to senior management and governance committees. The reporting will include: completion status of the assessments, trending and analysis of the output from the risk assessments, changes to the risk assessment profile at an entity or group level
  • Proactively thinking about changes in the business, how these impact the existing risk assessment program and working with the Operational Risk Analysts to facilitate the assessment changes
  • Remaining current on business, regulatory and industry changes that may impact the business and the associated assessments
  • Minimum of 4+ years’ experience within operational risk (product knowledge across investment banking business areas is an advantage)
  • Strong organizational skills – able to ensure delivery against set timelines
  • Strong project management skills with experience of working in an environment of constant and rapid change
  • An understanding of risk and control assessment methodology
  • Strong attention to detail and excellent data analysis skills
  • Proven stakeholder management experience, working across multiple locations and jurisdictions
  • Enthusiastic, intellectually curious and seeks to understand the different areas of the firm
  • Ability to work in a fast paced environment, with a strong delivery focus
  • Strong verbal and written communication skills – able to present to senior stakeholders with impact and influence
  • Knowledge of regulatory requirements under the Basel framework
  • Possess a Bachelor degree
134

CCB Risk-operational Risk Oversight Resume Examples & Samples

  • Completion of testing activities to verify conformance to RCSA standards through Independent Challenge
  • Work with Operational and Control Officer personnel to obtain and review artifacts necessary to evaluate select RCSA elements (e.g. content, test design, rationale and support for control ratings) and form risk based conclusions
  • Verify conclusion accuracy with Business Owners and Control Officers
  • Lead, or participate in, other operating risk and control initiatives as assigned
  • Minimum of 4 years experience in Control, Risk, or Audit
  • Bachelor’s degree in Accounting, Finance, Business Administration or related discipline
  • Prior financial Institution experience is required
  • Ability to work independently and in a cross functional team environment
  • Solid understanding of operational risk and controls
  • Prior experience with RCSA design and testing is strongly preferred
135

Director, Capital Markets Operational Risk Resume Examples & Samples

  • Risk & Control: Risk Program Management and Governance
  • Build strong relationships and provide proactive thought leadership, advice and communications; ensuring that operational risk issues are identified, understood and managed effectively; also provide communication and education to raise awareness of “what a good internal control discipline” is and requires
  • Act in an oversight capacity, monitoring operational risk management and mitigation
  • Provide expert advice to Capital Markets executives on matters within the Operating Group and involving other Operating Groups through participation on cross-functional teams for operational risk related work, ensuring appropriate involvement and assessment, as required
  • Implement the Operational Risk Management Framework (ORMF), including the strategy and standards, processes and tools to facilitate the identification, measurement, management, monitoring and reporting of operational risks
  • Organize, execute, and participate in the execution of the ORMF processes and tools including
  • University degree with 7 to 10 years post-academic experience, with 3 to 5 years in a financial institution
  • 3+ years of 1st Line business experience is considered an asset
136

Operational Risk-head of Asean Resume Examples & Samples

  • Ensuring compliance with ORM Policy and Standards for all legal vehicles in ASEAN Region - along the following dimensions
  • KOR/KRCI development jointly with Business, approval and monitoring process (Quarterly)
  • Develop and maintain an Independent View of the Business Risk Profile
  • Scenario Analysis challenge
  • Operational Risk Policy compliance
  • New Product Approval Process (NPAC, CPAC, DPAC, Insurance and Investment Committees)
  • MCA challenge (Quarterly)
  • Oversight of in business Data Quality Processes and Procedures
  • Risk Identification Analysis and Assessment
  • Identify trends, themes, tendencies that indicate emerging operational risks
  • Proactively analyze various data sources to form an independent assessment/opinion of op risk
  • Use leading indicators and metrics to identify areas of potential and emerging risk
  • Leverage knowledge of the current economic, regulatory, and business environment to proactively identify potential risk
  • Work with other second line of defense functions in the identification, analysis and assessment of key operational risks as relevant for individual businesses
  • Perform Thematic Risk Assessments and reviews as required to identify risks or causes leading to significant risk events
  • Escalate operational risk events as appropriate
  • Op Loss Analysis: understand how losses were incurred, determine lessons learned, identify root causes and use for risk mitigation activities as outlined below
  • Review and approve new product proposals/product programs as well as the sale or purchase of any business
137

Field Operational Risk Control Team Director Resume Examples & Samples

  • Define and execute test scripts across a wide variety of Wealth Management Field operational areas, including risk, service, branch management and home office functions; targeting controls that support inherent high and critical Field Management risks
  • Source testing data from firm systems and/or liaise with wealth management branches to obtain key test information
  • Identify opportunities for operational improvement and/or remediation and assist with corresponding change management activities, including: requirements development, process design, policy/procedure revision, etc
  • Support a variety of operational risk management initiatives and special projects, including targeted risk assessments and remediation projects
  • Work with Partner teams to analyze QA testing processes and identify opportunities for internal team efficiency gains
  • Support the development and maintenance of team procedures, risk management tools and data repositories
  • At least five (5) years of Financial services experience in internal audit, compliance and/or operational risk management disciplines (some managerial/supervisory experience preferred)
  • Must be proficient in Microsoft Excel, Word and PowerPoint (familiarity with Access is a strong plus)
  • Bachelor’s Degree, preferably in a business, engineering or technology discipline
138

Operational Risk Group Manager Resume Examples & Samples

  • Be a thought leader, developing strategy across SSO controls
  • Act as single point of contact for key business sponsors, Operations heads and other risk and control organisations, providing a holistic view of operational risk and regulatory activities from all sources (e.g. Operations, Regulatory, Business, Compliance and Internal Audit)
  • Proactively manage key operational risks through close working with operations managers and support group functions, e.g. Compliance, Internal Audit, product control
  • Advise on key operating risks, the appropriateness of controls, opportunities for improvement and best practices
  • Oversee the SSO Control Assessment (MCA) program globally, ensuring proper and consistent coverage and evaluation of operating risks and controls
  • Ensure oversight and reporting of corrective actions, including advising on development of appropriate and timely actions plans, monitoring of significant issues with management and validation of issue closure
  • Work with businesses to ensure internal and external audit preparedness, the co-ordination of audit fieldwork, providing support throughout execution and closing
  • Ensure the effective operation of a suitable governance framework for the oversight and reporting of key risks and controls
  • Review key metrics, significant control events and deficiencies (eg operational losses/fraud)
  • Initiate further investigation / trend analysis and remedial action as necessary
  • Deputise for the Global Head of O&T Risk & Control in certain forums as required
139

Operational Risk Resume Examples & Samples

  • Review the existing control environment of the group and ensure that it is documented on a consistent basis
  • Work with other support functions to enhance second line controls, including automating the monitoring processes
  • Develop the reporting of the results of the control activity
  • Experience of monitoring and developing first and second line controls in a financial services environment
  • Experience within a private wealth management and/or asset management environment
  • Good knowledge of regulatory expectations and industry best practice in this area
140

SVP of Operational Risk Resume Examples & Samples

  • Collaborates with lines of business by acting as an advisor to identify and assess operational risks that influence their business and ability to meet established strategic objectives
  • Assists in documentation and quantification of the organization’s risk appetite
  • Facilitates management in the investigation and analysis of root causes, patterns or trends that could result in risk events
  • Builds risk reports for different audiences, so that they understand the most significant risks and to ensure they are aware of risks relevant to their parts of the business and for individuals to understand their accountability for individual risks
  • Assists in compiling monthly, quarterly summary and ad hoc reports for the Senior Management Risk Committee on the current state of business risk. This includes development of risk dashboards, as well as watch lists that document action items and supporting materials for controls
  • Stays abreast of emerging issues involving operations risk and changes to federal and state banking laws, rules and regulations that could impact the organization
  • Assists in the education and training of management and staff as to the operational risk management program and their respective responsibilities in carrying out the operations risk management program
  • Coordinates monitoring and testing of bank and department specific operational controls; provides feedback and recommendations regarding the effectiveness of the controls to the Chief Financial Officer (CFO) and Department Manager; reviews issues and recommendations with Internal Control for tracking of resolutions
  • Works closely with the vendor management program owner to ensure proper controls are in place across all vendors and owns the Bank’s affiliated vendors, inclusive of due diligence, reporting and oversight of their service level agreements, remediation and risk mitigation
  • Works with department managers, the Bank’s Information & Cyber Security Officer, CIO, and Compliance Officer to ensure business continuity, disaster recovery and incident response plans are effective, policy standards and regulatory requirements are adhered to and make recommendations for policy, program and procedure updates based upon regulatory guidance and corporate standards
  • Works with Project Managers and Business Line Managers to identify operational risks associated with new and existing products, services, technologies, vendors, processes and procedures to ensure that risks are effectively managed and commensurate with the expected return
  • Is responsible for the initial and on-going risk assessments and control assessments as required under regulatory requirements and FFIEC guidance. Risk Assessments include, but are not limited to Products & Services, Technology, Vendor, ACH, Electronic Banking, Lending, etc. This entails the support and direct utilization of the bank’s risk assessment and BCP / DR platform. Candidate will periodically review system requirements and deliverables, as well as evaluate vendors’ road map, as it relates to the bank’s strategic objectives and regulatory expectations
  • Coordinates with the Enterprise Risk Financing & Insurance group to manage the Bank’s Insurance Policy Program, including but not limited to Cybersecurity, D&O, Property & Casualty, and General Liability Insurance Coverage, to ensure that the bank policy coverage meets bank expectations and is appropriate for the risks
  • Manages the Bank’s FDICIA Review Process, working with Business Lines to assess the effectiveness of the identified financial controls
  • Maintains and reviews the Bank’s risk management policies
  • Works directly with vendors and consultants to ensure a strong Operational Risk program; maintains relationships with auditors and examiners to understand expectations of both parties and to maintain satisfactory audit and examination results
  • Performs periodic review of user access and maintenance performed in the I.T., Cash management and Electronic Services areas. This will require a solid knowledge of I.T. and new and emerging payments
  • Bachelor’s degree or equivalent combination of education and experience required
  • 8+ years experience in a risk management role in a financial institution, debit and/or credit card industry; or 8+ years of progressive risk management experience as a regulatory examiner
  • Direct leadership experience required
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
  • Strong ability to make difficult decisions and to hold individuals accountable
  • Strong interpersonal/leadership skills, diplomacy, and customer oriented attitude and mindset
  • Solid understanding of financial services industry, association rules, banking regulations and operating procedures, and processor systems, Regulatory agencies such as SEC, PCAOB, FDIC, CFPB and FFIEC, and Generally Accepted Accounting Principles
  • Intermediate MS excel, powerpoint and word
  • Professional certifications such as CRMA and/or CRCM
  • Risk based software
  • Exposure to IT platforms, systems and knowledge of change management and patch management protocols
141

Senior Operational Risk Opportunity Resume Examples & Samples

  • Operational Risk Management - in depth risk profiling, controls assurance, KRI's, project management etc
  • Monitoring, assessing and reporting on risk registers, breaches and incident management
  • Conducting business unit analysis and providing ORM support and advice to the Line 1 teams
142

CTC Risk Operational Risk Executive Director Resume Examples & Samples

  • Proactive analysis of operational risks within the business
  • Understanding the key processes and functions performed by the business unit
  • 10+ years of experience in financial services industry, with specific experience in Operational Risk, Finance, Business Management, Audit, Compliance or other controls related area a must
  • Solid RCSA and operational risk management experience
  • Ability to develop constructive relationships with functional partners
  • Ability to drive and deliver results with limited supervision
  • Analytical and problem-solving skills, inquisitive nature and comfort challenging current practices
  • Bachelor’s Degree in business administration, finance or related field
143

Operational Risk Manager KYC Resume Examples & Samples

  • 1) Project Management and Administration
  • 3) KYC/AML Processes
  • Minimum of 5 years working experience with at least 3 years in the financial services industry
  • Strong computer skills and knowledge of software programs, MS Office (including extensive PowerPoint and Excel)
  • Proven experience in working on large multi-faceted projects, spanning functional, business and geographical partners (without direct reporting relationships) in a complex global organization
  • Familiarity and/or experience with corporate and institutional banking products and services
  • Familiarity and/or experience with KYC/AML rules and regulations
  • Strong organizational and execution skills with an ability to stay calm under pressure and remain flexible, yet focused in a constantly changing environment
  • Ability to operate effectively and efficiently in a fast-paced organization, with attention to detail and accuracy
  • Practical individual who thinks creatively and uses sound judgement to resolve issues and facilitate progress against objectives
  • Proactive and positive team player with superior communication and influencing skills to drive and enable the achievement of the team’s goals and objectives
  • Comfortable operating in a heavily-matrixed global organization to tight deadline and resource constraints
144

Operational Risk Transformation Programme Transformation Lead Resume Examples & Samples

  • Delivery assurance of the country plans, working with the local LoB Lead BRCMs, Function Lead BRCMs and Risk Stewards and central ORTP programme team to ensure programme alignment (consistent approach to delivery) and plan integration (ensure that there is an integrated plan for implementation across the country)
  • Responsibility for ‘air traffic control’ of the implementation of ORTP in the country
  • Single Point of Contact for the country for matters relating to the ORTP implementation
  • Tranche issue management; identifying issues and risks as they arise and effective reporting and management/mitigation of these
  • Tranche reporting; establishment and production of MI to monitor ORTP status and progress within the country
  • Work with the local LoB Lead BRCMs, Function Lead BRCMs and Risk Stewards and central ORTP programme team post implementation to develop and implement an embedding strategy for the change in the country
  • Establishment and management of Local Working Group as ORTP forum for local LoB Lead BRCMs, Function Lead BRCMs, Risk Stewards and Ops Risk Oversight team
  • Ensure engagement and comms are appropriately co-ordinated across the country
  • Identifies the resource requirements of the programme, requesting the appropriate resource by skill set and/or experience, through the Global Transformation resource management process. Works with the business and delivery partners to ensure adequate resource is provided to the programme
  • Efficient and appropriate use of resources forming an effective programme leadership team, with the right blend of skills and good working relationships
  • Ensures good project induction and orientation – i.e. the team understand the programme context; programme and workstream structure/content, stakeholder importance and how this links to HSBC strategy
  • Defines high level responsibilities and objectives for project and programme teams
  • As a role model, encourage collaboration and team work within the programme and with other teams
  • Able to form effective international and multi-disciplinary teams (resources from Global Transformation partners, business partners and externals)·
  • Maintain a strong focus on people development and ensure programme resources receive any necessary training and support particularly on the Global Change Delivery frameworks
  • Provides regular constructive feedback and coaching to individuals to support their development and career progression
  • Drive a performance management based culture to improve and drive efficiencies and performance including the effective management of underperformers
  • Leads performance management process around objectives, review and calibration within the programme
  • Promotes the Group’s Values and strategy by creating a positive work environment and promoting teamwork to drive Global Transformation engagement
  • The vision statement for Transformation is “To be the businesses’ primary change partner, support the implementation of the Group Strategy and make change a source of sustainable competitive advantage for HSBC”
  • Programme Managers manage a significant change programme. Programmes can typically be across more than one country, primarily impacting on a single business line or function and can be made up of projects to execute the change and may include sub-programmes to deliver specific outcomes. Programme Managers are required to lead the change initiative, take strategic decisions, operate at an executive level and manage global stakeholder and sponsor relationships. Programme governance must be established in line with Group transformation governance
  • The jobholder will not be subject to close supervision, and will be expected to exercise independent initiative and judgement in proactively overcoming obstacles to success, dealing with uncertainty and changing circumstances, such as interdependencies, opportunities or risks. He / She will be expected to adopt an agile and flexible approach to work and an outstanding level of professionalism and conduct
  • The Programme Manager role is distinct from the Senior Programme Manager role in the scale, complexity and importance of the programmes they manage
  • The role holder will operate within the usual authority limits for a Programme Manager
  • The job holder leads programmes that deliver transformational change
  • The jobholder is required to manage and control costs/investments within the agreed budget and will be accountable for delivering strategic goals of Global Transformation on behalf of Global Head of Global Transformation
  • Excellent understanding of Global Transformation Business Transformation Frameworks, methodologies and best practice techniques
  • A thorough understanding of the purpose, values, culture and fundamentals of the Global Transformation
  • Outstanding understanding of HSBC Group structures, processes and objectives
  • Strong understanding of banking / HSBC and understanding of how change drives benefits for HSBC, its customers and other stakeholders
  • Understanding of the delivery organisations within HSBC – global mindset, understanding of delivery partners etc
  • Proven ability to work across the country whilst maintaining a global perspective
  • Evidence of ability to make key strategic decisions
  • Delivery of large scale complex programmes at pace, developing high performing interchanging teams to support delivery at each stage
  • Strong people and team management experience
  • Proven implementation, change management and benefits realisation experience
  • Process Re-engineering
  • Risk and Issues Management
  • Global Mind-set
  • Lead Self and Others
  • Impactful communication
  • Delivery at Pace
  • Embracing change
  • Achieving excellence
  • Problem solving and Critical Thinking
  • Prince2 - Optional
  • PMP training or Certification - Desirable
  • Managing Successful Programmes (MSP) - Desirable
  • Any relevant local banking qualifications such as ACIB (Associate of the Chartered Institute of Bankers)
145

Assistant Manager Consumer Business Operational Risk & Controls Resume Examples & Samples

  • Assisting the ME BOF function and Bahrain CBORC lead on following aspects
  • To ensure through prescribed inspection that the branches are adhering to standards, and practices established by the business in daily operations to meet the larger objective of branch governance
  • To coordinate and perform BOF activities as per asks from BOF chain at a country level in close coordination UAE BOF head
  • Conduct branch oversight visits and examine operational compliance
  • Perform as Independent Reviewer to evaluate the control environment of branches and identify branch risk exposure
  • Manage escalation on security violations, operational losses, frauds, and control gaps linked to functioning of branches
  • Conclude and highlight findings of Branch Risk Assessment to senior management
  • Engage in the new process design as well as re-engineering process
  • Assist in preparation and conducting of BRCCs to ensure coverage of key risks and meet all requirements of the BRCC charter
  • Assist in end to end deep dive reviews of processes, systems, controls and compliance obligations to identify weaknesses and process improvement opportunities
  • Timely delivering ‘validation’ of issues
  • Ensure escalation protocol is followed
  • Proactive engagement with Legal, compliance and ORM functions
  • Broad knowledge of Consumer business
  • Very good team player with positive attitude
  • Very good organisational and communication skills
  • Strong proactive mentality
  • Ability to challenge where necessary
  • Consumer business experience, preferably across various products/functions
  • Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience
  • Previous audit/control experience is preferable
  • Knowledge of back-office or branch operations / or audit experience
146

Operational Risk Administrator Resume Examples & Samples

  • Assisting the team with management of the Incident end-to-end process
  • Generating, formatting and printing documents ready for meetings
  • Advanced Excel skills including use of pivot tables, VLOOKUPs etc
  • Good Word and PowerPoint skills
147

AVP, Operational Risk Resume Examples & Samples

  • Designing and implementing the overall Operational Risk Mnagement Framework including a common risk language and taxonomy, clearly defined processes, documented in appropriate policies and operating guidelines
  • Utilizing the framework for risk identification, risk measurement and aggregation, risk assessment and reporting, and risk management and mitigation
  • Working in partnership with Enterprise Services to design and implement an enterprise wide process for conducting operational risk based scenario analysis workshops
  • Coordinating quarterly OSFI meetings with respect to Operational Risk
  • Working with the business groups and functional areas to enhance the identification and reporting of key risk indicators (KRIs) that support the business in measuring, monitoring and managing Operational Risk
  • Support the VP Operational Risk Management in developing the overall vision for the enterprise wide framework for operational risk management and its implementation in accordance with the project plan. Ensure that the development and implementation of the individual components align within the overall framework
  • Manage the operational risk team for the development and implementation of the framework and its utilization for effective operational risk management
  • Continue to enhance the enterprise wide process for the collection of operational risk and loss events. Work closely with Business Groups and functional areas to determine existing event reporting processes to design an efficient and value adding process for each business group to collect and categorize operational loss events according to a standardized operational risk taxonomy
  • Analyze both data received from ORIC, as well as external events occurring in the media to determine lessons learned that can be applicable to SLF. Develop the process necessary to integrate the external data into the Operational Risk management Framework
  • Continue to enhance the design and implementation of an enterprise wide process for Risk and Control Self Assessments which will allow first line operational risk owners to score the exposure of specific processes to operational risk and evaluate the integrity of controls that are currently in place
  • Assist in the development, maintenance, communication, and oversight of SLF’s implementation of the Operational Risk Appetite Framework
  • Assist in the development, maintenance, and implementation of the Operational Risk Reporting function, including Operational Risk Reports and Dashboards
  • Development and implementation of a process to monitor status of action plans to address operational risk issues, medium and high residual risks reported in the Risk and Control Self-Assessments, and any actions stemming from root cause analysis
  • Continuous development and maintenance of the Operational Risk Taxonomy
  • Requires thinking within a general frame of reference toward functional objectives in situations with nebulous, intangible or unstructured aspects
  • Planning and organizaton: Creates long-term plans to carry out functional or cross-functional objectives established by top management
  • Direct operational risk management experience within a major Federally Regulated Financial Institution, preferably in the Corporate Operational Risk department in a methodology and/or reporting function
  • In-depth understanding and direct experience with the development or implementation of
  • Direct experience in oversight and implementation of risk management frameworks in large – preferably multinational – federally regulated financial institutions
  • 7+ years’ experience in Risk Management and Financial Services industry
  • Technical operational risk management knowledge
  • Advanced degrees in Finance or relevant quantitative subjects would be an asset
  • Excellent coordination and process management skills
  • Technical knowledge of risk management
148

Operational Risk Intern Resume Examples & Samples

  • Support in the execution of strategic projects and global reporting tied to Banking and Payments cross-functional risk and security initiatives
  • Interaction with Banking and Payments RISC Liaisons responsible for driving progress and executing on initiatives in motion
  • Manage multiple, changing priorities and execute within short timelines to deliver results through active project management, issue identification and remediation, real-time plan adjustments and status reporting
  • Assist in developing ongoing reporting that can be built into business processes tied to the enterprise strategic enhancement initiatives
  • Performs root cause analysis of assignments to identify process improvements
  • Applicant must be currently enrolled in collegiate coursework at an accredited university
  • Demonstrates strong computer skills, with advanced working knowledge of MS Excel is preferred
  • Possesses outstanding interpersonal communications (both written and verbal), and human relations skills
  • Self-motivated and possess mature time management skills
  • Information Systems, Accounting, Finance, Communications, or General Business majors preferred
149

VP-operational Risk Ccar Team Resume Examples & Samples

  • Working with stakeholders across Market, Credit and Operational Risk, Model Risk Management, Risk Analytics and other areas to ensure adherence to regulatory guidance and best practices
  • Using quantitative abilities to work on stress testing methodologies
  • Writing Operational Risk CCAR documentation and producing presentations to effectively communicate key information at CCAR governance forums to senior management, regulators executive management and the Board
  • Assisting with the development and maintenance of a project plan for the Operational Risk CCAR process
  • Aiding with the quarterly risk identification process
  • Enhancing processes to 1) support governance and controls, including attestation, challenge and senior management review and 2) ensure deliverables and documentation remain current and meet regulatory expectations
  • Supporting coordination and requests for Internal Audit, Regulatory Exams, and Compliance Assessments
  • Excellent communication skills, both verbal and written, and an ability to present ideas concisely and persuasively
  • An understanding of risk management concepts such as statistics, stress testing and scenario analysis
  • A general understanding of CCAR Operational Risk Methodology and approach
  • Interest in financial services and risk management
  • Ability to work on challenging assignments in a dynamic environment, synthesize information, distill relevant facts and reach logical conclusions
150

Operational Risk Resume Examples & Samples

  • Administration of the Governance Framework for Electronic Trading Operational Risk across the Firm
  • Oversight and challenge of risk management in the first line business and technology organizations
  • Develop models to quantify risk associated with specific systems and/or trade flows
  • Analyze operational risk data (typically Incident Data, loss events, metrics or assessment results) to identify areas of excessive risk
  • Investigate what is causing control metrics to deviate from trend and escalate situations that pose excessive risk
  • Facilitate operational risk event collection, perform detailed reviews of events, track remediation, conduct trend analysis and reporting
  • Work with senior stakeholders within the business and federation divisions, strengthening and developing the risk framework and its individual components
  • Contribute to the advancement of operational risk methods and practices and the operational risk management framework
  • Strong product knowledge of electronic trading and understanding of trading flows
  • Exposure to execution algorithms- either as a trader, business manager or technologist
  • A current understanding of Electronic Trading regulatory frameworks and familiarity of regulatory agencies and applicable regulations
151

Head of Operational Risk, RBS International Resume Examples & Samples

  • Supporting and overseeing the implementation of an appropriate risk appetite across the business, providing input and challenge to the business's risk monitoring and reporting
  • Providing direction and subject matter expertise on all aspects of operational risk policy and management
  • Overseeing and challenging the 1st line of defence on the effective management of its risks
  • Strong influencing influencing up to executive and senior management level
  • A track record of delivery across multiple businesses, involving complex stakeholder, process and technology issues
  • The ability to operate successfully across multiple jurisdictions
152

Operational Risk Resume Examples & Samples

  • Collecting large amounts of unruly data and transforming it into a more usable format
  • Solving business-related problems using data-driven techniques
  • Analyze order and patterns in data, as well as spotting trends that can help mitigate risk
  • Perform daily qualitative review of risk data including internal/external incidents and Issues to identify risk themes and data quality issues
  • Own monthly and quarterly risk management reporting of Fraud-relevant data
  • Production of fact pack and analysis for the senior coverage teams
  • Producing fact pack, analysis and supporting documentation for TORs
  • Help with various deep dives and lessons learned exercises
  • Extracting and analyzing various operational risk data, such as incidents, metrics, issues and actions, scenarios, key controls and Risk Control Self Assessments (RCSA)
  • Presenting findings and analysis to support senior coverage teams’ decision making process
  • Support Deep Dive Analysis and Ad Hoc analysis of current and emerging risks
  • Driving market data research and collection from external sources for business environment and peer benchmarking analysis*LI-SC2
  • More than 5 years of working experience in international financial institutions or consulting firms, preferably in the discipline of Risk/Fraud Management
  • Bachelor’s degree required; economics, finance, business or another analytical discipline preferred. Master’s degree is a plus
  • A solid understanding of operational risk management concepts such as risk assessments, scenario analysis, loss events etc. is required
  • A general understand of regulatory capital frameworks, such as Basel 2 and Basel 3. Hands-on experience with RCSA and Scenario Analysis is preferred
  • Excellent English communication skills, both verbal and written
  • Advanced user of PowerPoint and Excel, experienced in VBA and other data analytics tools would be a plus
  • Ability to work in a team environment as an individual contributor
153

VP Operational Risk & Permanent Control Resume Examples & Samples

  • Excellent verbal and written communication in English, French would be a plus but is not required
  • Detailed knowledge of operational risk management best practices and regulations
  • 4-5 years of relevant experience in a capital markets environment
  • Ability to manage changing priorities and high quality standards in a fast-paced environment
  • International experience or proven ability to approach complex problems with a global perspective
  • Impeccable work ethics
  • Autonomy and ability to work as part of a multicultural team
  • Creativity and capacity to present complex concepts clearly
  • Analytical and project management skills
  • Efficient use of technology
154

Operational Risk Modeling Manager Resume Examples & Samples

  • Lead, develop, implement and maintain the CCAR Operational Risk Capital models for the Bank; The model building includes, but is not limited to the acquisition of financial data (internal and external), design and implementation of multiple models that are linked to macroeconomic scenarios as provided by the Federal Reserve or internally developed by the bank, or that quantify the behavior of products in varying economic conditions over time
  • Play the leading role in the relationship with Banking Regulators for the Operational Risk CCAR modeling approach
  • Lead, conduct research and development of quantitative econometric models for forecasting operational risk
  • Supervise a team of 4 analysts, offering guidance, managing expectations, conducting performance reviews, and mentoring
  • Partner with the lines of business, corporate functions, and financial planning to enhance understanding of model risk relating to corporate risk models and ensure transparency of models used in their respective areas
  • Assist the SVP to ensure all models developed meet the Model Risk Corporate Standard, including defining the scope of the model, modeling requirements, and the standards
  • Provide project management expertise to research and implement best practices, including regularly reviewing methodologies; Support the SVP in the development and execution of overall work plan
  • Master’s or PhD degree in quantitative discipline, such as Mathematics, Statistics, Physics, or Engineering
  • 10+ years of progressive and relevant experience in quantitative roles
  • Experience leading a quantitative team
  • Strong Econometrics background, including model building and hands-on experience with Operational Risk Stress Testing
  • AMA (Advanced Measurement Approach) modeling experience
  • Financial Services’ experience, to include developing quantitative models for: CCAR, capital planning, liquidity, and risk management
  • Strong technical skills, to include: SAS, Matlab, SQL, Excel
155

Senior Manager IT Operational Risk Resume Examples & Samples

  • Champion the U.S. IT Risk Management Framework and best practices within the Bank while acting as a center of excellence for IT Risk in the U.S
  • Develop IT Risk Management standards that align to industry best practices and ensure effective processes are in place to identify measure, manage, monitor and report on IT risks
  • Perform Deep Dives and scenario analysis to assess the effectiveness of controls surrounding key processes and to identify remediation for gaps to actively and demonstrably mitigate IT risks
  • Collaborate with Global Wholesale Technology to establish, monitor and report on Key Risk Indicators
  • Coordinate with Global IT Risk Management and other control counterparts to share best practices and methodologies intended to improve the control environment
  • Play a pivotal role in challenging Logical Access management in the region, that system access for all employees corresponds to their job function, recertification of access is performed in a timely manner within the bank’s global program, a robust process is in place for joiners, leavers, transfers, and risk gaps, such as excessive access or toxic combinations, are escalated
  • Monitor Cyber Security risks and the controls in place within the bank, and the understanding of the risks by U.S. senior management
  • Support the U.S. Operational Risk Management team with Non-IT Risk deliverables
  • Proficiency in VBA for Excel desired
  • Expertise in Operational Risk Management
156

Director, Operational Risk Resume Examples & Samples

  • Along with the AVP, Risk Management, will be a key resource in successfully managing a project leading to the operationalization of Canada’s Operational Risk Management program, including but not limited to; loss data capture, operational risk event reporting & analysis, risk and control self-assessments, key risk indictors and the integration of these tools into our pre-existing risk management framework in support of progress towards compliance with OSFI’s E-21 guidance
  • Through knowledge of suppliers, processes and customer needs will lead the development of lean processes, efficient tools and effective reporting within both the SLF Canada business and in support of our senior management forums
  • In partnership with corporate program owners and the target audience the incumbent is responsible for developing and keeping current a training program for operational risk in Canada that will continuously build our collective operational risk knowledge
  • Reviews and appropriately challenges SLF Canada businesses through an operational risk lens
  • In collaboration with the risk management team will look to continuously enhance the efficiency and effectiveness of second line challenge
  • Works directly with various functions such as finance, compliance, legal, actuarial etc… to ensure reliable and relevant communication and reporting to facilitate effective monitoring and challenge
  • Thoroughly supports the SLF Canada Risk Management team with all scheduled and adhoc deliverables
  • University degree with 8+ years of financial service industry experience and 3 or more years of risk management exposure including exposure to using and/or deploying operational risk tools and processes in a financial institution
  • Ability to demonstrate a solid working knowledge of effective project management and successful experiences leading/managing change
  • Strong working knowledge and hands on experience with MS Office products with evidence of a history of continuous improvement
  • LI-JW1
157

Manager Global Operational Risk Resume Examples & Samples

  • Assist with the development, delivery and reporting on the scenario analysis program
  • Play a challenge role with respect to their identification, assessment and management of operational risk
  • Support the business units in the development of its operational risk management programs, as well as in responding to regulatory requests for operational risk-related information
  • Support the business units in the development of its Key Risk Indicator Program
  • Support other projects and activities as required
158

Regional Head Operational Risk, AXA Asia Resume Examples & Samples

  • Embed AXA’s operational risk management framework and related practices including those required to meet current and future industry and regulatory requirements
  • Leading the AXA SA guidelines, initiatives and Group supervisory requirements on time and on budget for the region
  • Building and maintaining best in class regional wide operational risk profile
  • Facilitating Regional Operational Risk Committee
  • Lead Staff Training and awareness on operational risk management throughout the Region
  • Engender and drive a sound risk culture, working in collaboration with the Group and Local Risk management functions to support business management in ensuring their key operational risk framework is effectively embedded
  • Leading the implementation of Group-wide Operational Risk initiatives, guidelines and/ or standards and associated tools
  • Validate the adequacy of the operational risk activities performed by business management and its supporting embedded operational risk functions across the region and in the regional office
  • Continually improving and identifying new and effective risk metrics that inform management about trends in risk outlook for targeted areas of operational risk
  • Drive the development and maintenance of the Group’s operational risk framework and related policies and practices
  • Responsibility for the smooth operation of 2nd line Operational Risk processes, such as handling of incidents, challenge and validation tasks, regular risk reporting and assessment of new business initiatives
  • Taking over additional responsibilities within the Operational Risk as a Subject Matter Expert for Operational Risk Framework topics like Metrics and participation in major Operational Risk remediation projects to address control issues in collaboration with Business Risk Management and global Operational Risk Management functions
  • Ongoing development of the process for quarterly review/ refresh of risk profiles (includes focus on enhanced/ efficient recording and reporting on the organization’s risk recording and reporting tool)
  • Provide leadership, develop and drive the Operational Risk Management team towards becoming a business partner to Local Entities and make Regional Risk a great place to work
  • Develop staff risk management skills and knowledge with on-going training. Develop knowledge base on risk management and share knowledge within team
  • Contribute to promoting a positive, high performance working environment
  • Ensure accuracy and completeness of analyses with specification agreed through effective communication with end users
  • Communicate clear role descriptions and accountability statements to facilitate staff objectives setting and drive the right behaviours
  • Responsibility for ensuring timely delivery of Operational Risk Reports, Inherent Risk Baseline Assessments, Quality Assurance Review within Risk and Control Self-Assessment; for facilitating the annual process on operational risk appetite setting and Top Operational Risks and for identifying key operational risks and material control issues. This will include communication to Supervisory bodies, governing bodies, Executive Committee and the Risk family to assist in effective risk management communication, decision making and address
  • Proven track record in a Risk Management, Internal Control or Control Function role, with 10+ years experience in insurance an advantage
  • Degree in Risk Management, Business Management, or Finance or equivalent
  • Demonstrated ability to work collaboratively with senior business management to achieve a best practice outcome
  • Strong knowledge and experience in Enterprise Risk Management - operational risk management frameworks, methodologies, policies and practices, including published risk management standards
  • Ability to lead, and act strategically with good project management skills
  • Demonstrated ability successfully to interact with, influence and achieve the buy-in from, executive and senior business management
  • Strong communication report writing, presentation and verbal communication skills
159

Operational Risk & Control Director Resume Examples & Samples

  • College degree (BS or BA) preferably in accounting, economics, finance, statistics or related disciplines
  • Seven years minimum experience in financial services operations with at least two years in operational risk management
  • Hands-on experience with using quantitative (metrics) and qualitative tools (e.g., process narratives and flows, incident reports) to assess areas of risk and identify risk mitigation options
  • Hands-on experience applying risk management precepts such as separation of duties, information security disciplines, and supervisory reviews
  • Strong communication skills, both oral and written, including experience with business process documentation and preparing management reports using PowerPoint
  • Collaboration and teamwork skills and experience, including strong interpersonal skills
160

CCB Risk-it Operational Risk Oversight Risk Manager Resume Examples & Samples

  • Identify unmitigated or partially mitigated Business and Technology risks which can result in material financial, operational regulatory or reputational risks for the firm
  • Assess the risk associated with new business initiatives and change management activities
  • Ensure a broad, data-driven monitoring program for key risk drivers, exposures, controls, or potential operational risk events across processes
  • Complete deep dive reviews across a defined area of CCB
  • Participate and lead CCB wide working groups as assigned
  • Partner with the Business & Control on the assessment of Operational risks, including fraud, legal, compliance, technology, finance and other risks with specific concentration on Technology ad cyber risk
  • Act as a strategic advisor and risk SME at a product-specific level, and provide guidelines, and consult with the Business executives and leaders to ensure that operational risks are evaluated, controlled, and documented
  • 4 years IT Risk or technical related role
  • 7+ years Risk Management, Controls ITRM or other related experience required; in a banking or financial services environment preferred
  • Excellent risk assessment skills, including risk identification and measurement, mitigation strategy development, regulatory management, policy and procedure development
  • Proven ability to work in a matrixed environment, provide oversight, negotiate and directly influence change
161

CCB Risk-operational Risk Oversight Resume Examples & Samples

  • Provide oversight of RCSA activities to verify conformance to RCSA standards through Independent Challenge
  • Develop positive working relationships, influencing multiple divergent stakeholders
  • Promotes partnership by fostering a shared purpose, trust, and teamwork across teams, businesses, functions, regions, and levels while maintaining a distinction between the first and second line of defense
  • Maintain a consistent track record, factoring in the impact of adverse risk/control issues
  • Identify process improvements and efficiency enhancements; eliminate unnecessary bureaucracy
  • Provide thought leadership/advice and engage in constructive debate
  • Promote an inclusive work environment; respecting individuals at every level and their perspectives, and engage in diversity initiatives
  • At least 4-6 years experience in Operational Risk, Audit or Compliance highly desirable
  • Strong knowledge of regulatory compliance, and internal control principles
  • Excellent interpersonal and communication skills, including ability to negotiate, compromise and demonstrate diplomacy in sensitive situations and to interact effectively with executive management
  • Previous experience managing a team of professionals
  • Ability to thrive in a fast-paced, evolving work environment
  • Strong PC skills (Excel, Word, PowerPoint, SharePoint) with the ability to quickly learn new applications
162

Operational Risk Manager Product Resume Examples & Samples

  • Bachelor’s degree or higher
  • Accounting or legal certification
  • 10 years of advancing experience in advisory and/or analytical risk position
  • Ability to influence without direct authority across multiple stakeholder groups in 1st and 2nd LOD
  • Ability to establish governance protocols for oversight, monitoring, escalation for new and existing processes that are not formalized
  • Ability to execute in a dynamic environment with senior and executive management
  • Strong analytical skills & problem solving capabilities
  • Strong executive level communication and presentation skills
  • Strong work ethic, ability to make decisions, & work under tight deadlines
  • Demonstrated skills in conflict resolution and negotiation
  • Proven skills and understanding of identification and assessment of risks and controls
  • Experience in writing policy and procedure
  • Limited travel required
  • Knowledge of operational risk-related regulatory guidance, including risk and control self-assessment, third party, and new product
  • Understanding of project lifecycle and project management concepts
  • Knowledge of risk governance framework, risk management systems and applicable guidance
  • Solid understanding of the banking industry, financial and regulatory requirements, product offerings and key operational processes
  • Experience with new product assessment process in a financial institution
  • Must be able to demonstrate strong leadership and guidance to senior level mangers on product related risk
163

Consumer Business Operational Risk & Control Head Resume Examples & Samples

  • Identification, resolution and tracking of issues
  • Coordination of Self-Assessment exercises (MCA)
  • Prevention and management of Operational Losses
  • Administration of Key Performance Indicators for reducing risks, oversight of the controls implemented at the Branches (BOF)
  • Support to the business during Audit visits, - oversight of the unit managing compliance sensitive cases (CBSU), coordination of risk control committees
164

Operational Risk Identification Manager Resume Examples & Samples

  • Work closely with first line of defence to develop the appropriate monitoring measurements in response to risk exposures and tolerances, such as key risk indicators. Regularly obtain and review the results of the monitoring measurements from first line of defence
  • Work closely with first line of defence during product development, client take-ons, transformation projects and other key corporate change activities for appropriate risk identification
  • Support the Head of Operational Risk in identifying and escalating heightened or out of appetite operational risks together with a clear set of recommendations to address these
  • Escalate material operational risks clearly to the Head of Operational Risk including rapid notification of material events as well as supporting targeted and concise periodic risk reporting and development of the operational risk capital requirements
  • Good understanding of the asset management industry and the risks associated with this
  • Good understanding of operational risk management frameworks and practices across the asset management and other financial sectors
  • Demonstrate skills in effective communication, professional scepticism, due care, report writing, data analysis and training of other staff
  • Demonstrates the willingness to learn
165

VP, IT Operational Risk Manager Resume Examples & Samples

  • Manage IT operational risks on SGIL perimeter and provide to Management a regular view of IT top operational risks. Enable IT risks identification and management through regular counselling to IT Department stakeholders
  • Manage SAFE/ITS reporting of Operational risks and Information Security to UK and EMEA COOs, as well as heads of ITEC and SAFE
  • 1- Manage IT operational risks on SGIL perimeter
  • Perform risk assessments (Outsourced Essential Services, New Product committees, RCSA) based upon priorities defined
  • Review ITEC’s permanent supervision control framework
  • Review and report on major incidents, operational losses and associated action plans
  • Follow-up on ITEC main action plans and audit recommendations
  • Coordination with other EMEA and regional OSMs
  • Interact with ITEC managers
  • Ensure operational errors and Incidents are adequately collected into Loss Collection Tool (Caroline)
  • 2- Manage SAFE/ITS’ reporting
  • Review, define and implement SAFE/ITS’ reporting framework based on the following committees and dashboards
  • Quarterly ITEC Operational and Conduct Risk committee
  • Monthly SGIL Risk & Control committee
  • Monthly ITEC Meeting
  • Monthly Information Security dashboard for UK
  • Monthly Information Security dashboard for EMEA
  • Coordinate the production of this reporting framework by relying on a dedicated resource
  • Define and implement a reporting framework to be used by all EMEA ITEC OSMs
  • Experience in Operational Risk (in an Investment banking would be a big plus)
  • Experience in an IT related position
  • Experience in Information Security would be a plus
166

Head of Operational Risk, Asia Pacific Resume Examples & Samples

  • Coordinate closely with global and Regional Chief Risk Officers as well as other functional heads of risk regarding the adherence to and embedding of global, regional and legal entity OR appetite, policies, procedures and management information requirements across APAC
  • Provide leadership for all regional risk employees (specifically regarding Operational Risk) to promote the concept of teamwork and foster better communication across risk disciplines, the APAC chairs, and to/from Corporate center
  • Act as primary point of contact for local regulators on regional Operational risk related issues
  • Participate in senior risk commitees as determined by the APAC CRO and CORO
  • Exercise delegated Operational Risk authority with respect to businesses and relevant legal entities
  • Escalate and influence as appropriate operational risk concerns and responsive actions
167

Director, Operational Risk-careallies Resume Examples & Samples

  • Leads development and implementation of a multi-year risk assessment and management strategy and operating model for CareAllies
  • Leads coordination with health care delivery, enterprise legal and compliance, provider engagement and service operations leadership and teams to ensure that state and federal regulatory requirements are effectively implemented and maintained throughout health care delivery and clinical operations
  • Responsible for establishing strategy and driving operational needs for risk identification, assessment, management and mitigation. Develops and implements programs and processes to promote a culture of compliance
  • Oversees management of complex projects to ensure prioritization, funding, operational impacts, timing and resource requirements are achieved. Responsible for compliance risk management recommendations to senior leadership related to in flight and proposed projects
  • Works with direct care and clinical businesses to facilitate implementation and maintenance of proper clinical operations functions and workflows to help minimize compliance and liability risks
  • Leads development and ongoing maintenance of the CareAllies compliance program and risk management strategy, including best clinical practices, in support of current and future business models to minimize risk across health care delivery businesses and functions
  • Provides recommendations to leadership to address current and future business models and business objectives based upon the regulatory environment
  • Directs the development of policies, procedures and processes to support compliance activities, oversees state health care reporting and licensure filings for TPA and UR licenses; facilitates certification and voluntary accreditation projects as needed
  • Develop clear and accurate communications to senior management presenting complex regulatory information, business implications and risk. Assess processes and business controls to identify process/quality gaps and develop solutions that improve adherence to overall compliance operating model
  • Coordinate the development of policies, procedures and processes to support audit functions for the CareAllies businesses
  • Support licensure and accreditation to minimize audit penalties/fines and rework through validating and/or challenging audit findings; developing and managing corrective action plans and results; and driving service improvements to raise quality
  • Represents enterprise on risk related committees, professional organizations and projects as required
  • College degree required but Masters or higher level degree preferred
  • 10 years compliance/risk management/managed care related health care business experience
  • Proven track record and experience managing people and leading teams in health care setting; minimum 5 years’ experience
  • Ability to analyze and apply complex statutory and regulatory information to CareAllies products and operations
  • Process improvement knowledge and experience
  • Successful project management experience in highly matrixed environment, with proven results
  • Strong facilitation, influencing, negotiating and relationship building skills to work across matrix partner areas
  • Strong planning/organizing/prioritizing skills with ability to meet changing priorities and critical deadlines
  • Takes personal accountability for team and organizational re
168

Operational Risk Mgr Resume Examples & Samples

  • Provide guidance to the NBI sponsoring divisions regarding compliance with the minimum requirements in the Corporate NBI standard
  • Manage and coordination ERM’s review process of High Risk NBIs among all risk types
  • Develop and prepare timely reporting within ERM division to support effective ERM’s reviews and timely feedback NBI sponsoring divisions
  • Prepare analysis to support EOR officers’ decision with regard to granting exemption or exceptions to the NBI standard
  • Foster and maintain relationships within the 3 lines of defense community – serving as central point of contact/communication regarding the NBI program
  • Manage the NBI website to ensure the contents are relevant and up-to- date
  • Support of the NBI tool used by sponsoring divisions as needed
  • Bachelor’s degree in Finance or related fields plus 8 or more years of work experience in the Financial industry
  • Strong knowledge of risk management framework
  • Strong analytical and problem solving skills with high attention to details
  • Demonstrated time management skills including proven ability to work in a fast paced environment
  • Working knowledge of Microsoft Office (Excel, Word, PowerPoint, SharePoint)
  • Ability to effectively work with a diverse group of stakeholders within first and second line functions
  • Self-motivated, pro-active, and result-driven problem solver
  • Works independently within collaborative team environment
  • Master’s degree in Finance, or similar field
  • Certification such as CFA, CPA, PRM
  • Capital Markets or mortgage industry working experience
169

CCB Risk-operational Risk-consumer Banking Resume Examples & Samples

  • Provide an independent and objective view of CB & CWM operational risks, mitigation strategies and emerging risks
  • Evaluate control related issues including review of internal (RED) and external operational risk losses to determine root cause
  • Perform Targeted Risk Reviews for certain higher risk processes to evaluate control effectiveness
  • Provide oversight for Scenario Analysis and Operational Risk Capital components of the Operational Risk Management Framework
  • Review Risk Control Self Assessments (RCSA), Key Risk & Performance Indicators, and other metrics to identify negative trends and potential control gaps
  • Identify and assess severity and likelihood of issues for potential escalation and communication to Business Executives and Senior Risk Managers
  • Provide Risk oversight and guidance as needed during operational process design to ensure compliance with Risk, Compliance and Legal policies and departmental procedures
  • Bachelor's degree in Business, Finance, Economics, Accounting, is required
  • An MBA degree and/or professional certification, such as CPA, CIA or CISA are preferred
  • At least 7 - 10 years experience in Financial Institution Risk, Audit, Compliance or Business Operations
  • Strong knowledge of bank operations, and/or product support related business experience within a Retail Bank/Consumer Bank
  • Ability to understand business functions quickly and assess the operational, financial, regulatory or reputation impact of control issues
  • Excellent communication skills, both written and verbal
  • Must work well individually, and in teams
170

Head of Operational Risk Resume Examples & Samples

  • Relevant professional qualification and non-life insurance experience
  • Previous experience in the Risk function and in particular operational risk preferred
  • Previous Operational Risk and governance experience
  • Thorough business and industry knowledge
  • Advanced knowledge of and ability to use spreadsheet software
  • Ability to lead/engage in debates on RBC and other Zurich Group initiatives with the management team
  • Ability to handle complexity and distil out and explain key concepts
  • Proven ability to communicate the financial implications of risk-reward trade-offs
  • Knowledge and understanding of General Insurance business and in particular operational risk
  • Full professional proficiency in English and, at least, another language is desirable
  • Awareness of principles of enterprise risk management and effective corporate governance
171

Operational Risk Resume Examples & Samples

  • Identifying and addressing the risks involved with new products, business activities and projects
  • Identification and investigation of operational incidents
  • Provide advice to management on product, process or control changes along with approval requirements
  • Operational risk related reporting to senior management and the central Risk Management Group
172

Operational Risk Systems Manager Resume Examples & Samples

  • Self-starter with ability to design, develop, and implement a wide range of business intellignce solutions (Cognos, Tableau, SSRS etc) and ETLs
  • Analytical, reporting and system support for operational risk tools in IBM OpenPages, particularly RCAs
  • Testing, launching and administering IBM OpenPages (Operational Risk module) and Cognos framework reporting. Tasks include but not limited to: user account set-up and maintenance, testing of system functionality and design, creation and on-going maintenance of reports, user training and troubleshooting
  • Building relationship and supporting local administrators in the Bank's subsidiaries
  • Manage and maintain ORMS libraries, data and reports on an ongoing basis in coordination with others in the department
  • Manage ORMS features to establish a management reporting schedule, including downloading data to perform advanced analytics
  • Manage and support user administrative functions to meet the needs of Bank
173

Cb-operational Risk-VP Resume Examples & Samples

  • Lead and manage a team of control testers who are responsible for executing required Risk and Control Self Assessment (RCSA) testing across the Commercial Banking business
  • Perform periodic staff performance reviews and creatively collaborate on development plans
  • This position will interact with all levels of management. Candidate must be an effective communicator possessing both excellent written and verbal communication skills
  • Financial Services experience with an emphasis on risk, control, and regulatory
  • Strong Control Testing knowledge
  • Prior people management experience a plus (required for “People Manager” role)
  • Strong knowledge/background on internal control principles, operational risk management, audit, compliance, or operations preferred
  • Demonstrated experience in risk and control self-assessment, including risk and control testing, process mapping, and data analysis skills
  • Excellent organizational, project management, time management and multi-tasking skills - ability to remain flexible and productive through shifting priorities and deadlines
  • Strong analytical and creative thinking skills, and orientation to detail
  • Very high level of professionalism and sense of urgency
  • Demonstrated ability to manage expectations, achieve deadlines and deliver quality results and meet tight deadlines within a team environment
  • Self-motivated and confident decision-maker with the ability to demonstrate leadership, challenging and influencing change where necessary
  • Proven ability to build strong partnerships with key stakeholders, and collaborate with business and functional experts to provide RCSA guidance and to recognize risks, control gaps and design enhancements
  • Support a teamwork/team spirit environment and present a professional attitude/image within department and in all company interactions
  • Strong computer skills required; proficiency in Microsoft Office applications (Word, Advanced Excel - including macros, PowerPoint); knowledge of MS Project, MS Access and Visio a plus
  • Minimum 10 years total experience and 3-5 years experience in a leadership position responsible for Testing, Program / Project management; operational risk management and / or control oversight experience is preferred
174

Mass Affluent Operational Risk VP Resume Examples & Samples

  • Ownership of the Risk Control Self Assessment identification process, control testing and regular reviews
  • Manage and perform risk-based Quality Assurance, including periodic self-audits to assess the adequacy and effectiveness of internal controls
  • Lead role in addressing any issues and corresponding action plans for Audit-related items
  • Provide senior management with key metric reporting as needed
  • Oversight of all business entitlements including role maintenance as well as new role creation
  • Management of Business Continuity plans
  • Oversight for policy & procedure governance; development of metrics to measure adherence where applicable
  • Represent the business for all WM Operational Risk and Compliance initiatives and remediation efforts
  • Partner across multiple teams including the Complex Management team, Complex Risk Officers, and Field Operational Risk
  • 5-7 years of experience in Risk management roles
  • Strong understanding of operational risk governance frameworks
  • Ability to establish governance protocols for risk oversight and monitoring
  • Knowledge of operational risk-related regulatory guidance, including risk and control self-assessments
  • Demonstrate leadership skills within a team environment
  • Extremely organized with high level of attention to detail
  • Experience within the brokerage or other financial services industry
175

Digital Operational Risk Manager Resume Examples & Samples

  • Maintain our core activities in Operational Risk
  • Providing constructive advice to the business on the management of risk
  • Proactively set standards and test key controls
  • Identify and deliver improvements to current processes, including education and awareness needs to the business
  • Facilitate the identification and management of regulatory responsibilities
  • Representing and contributing to relevant Group governance forums
  • Deliver insight that makes the complex, simple
176

Operational Risk VP Resume Examples & Samples

  • Manage ORD projects by ensuring on time delivery and the right level of quality
  • Ensure the team executes against plan and reports status / escalates challenges
  • Act as an liaison and primary communication channel between ORD and IT on requirements development, status communication, issue resolution, project execution and prioritization
  • Develop and maintain strategic program roadmap, project plans and milestones
  • Lead project working groups, workshops and meetings
  • Manage gathering of business requirements, functional specification reviews, creation of test plans, co-ordinate testing and signoffs
  • Participate in IT sprint planning sessions and lead project prioritization sessions
  • Adopt project management processes including risk and issue management, dependency management, status reporting, and change control
  • Provide pre and post implementation support, including training materials development and user education
  • Ability to manage multiple projects utilizing industry standard project management practices
  • Experience in managing all stages of a project lifecycle, including planning, requirements gathering, analysis, designing, documentation, testing and rollout
  • Experience with typical industry standard processes and templates for business requirement documentation
  • Strong analytical skills and experience in dealing with complex data sets
  • Capable of communicating clearly and concisely to various levels of audiences and to both business and IT
  • Excellent problem solving skills
  • 5-7 years of relevant management experience
  • Experience within a financial institution or consultancy
  • Education degree in Finance, Economics, Computer Science, English major or any other related field
  • Knowledge of System Development Lifecycle (SDLC)
177

Operational Risk Resume Examples & Samples

  • Internal and external operational risk event review and analysis
  • Conducting scenario analysis (hypothetical tail risk) for operational risk capital calculation purposes
  • Facilitating the Risk and Control Self-Assessment (RCSA)
  • Strong knowledge of and experience with Legal and Compliance divisional responsibilities within an investment bank / broker-
178

Product Control Operational Risk Resume Examples & Samples

  • Identify, assess and work with the line and enabling functions, to mitigate operational risks
  • Develop and implement control standards and guidelines with PC line and enabling functions
  • Perform/initiate/support risk assessment and mitigation initiatives, as appropriate
  • Support the PC training program
  • Experienced individual with a minimum of 5 years involvement in financial industry
  • Qualified accountant
  • Solid PC skills especially Excel, Word and PowerPoint, as well as comfort with manipulation and presentation of data
  • Solid communication and organizational skills
  • Solid analytical and problem solving skills
  • Control mindset
  • Solid interpersonal skills - ability to influence others
  • Self-starter who is able to work independently
179

Digital Operational Risk, Executive Director Resume Examples & Samples

  • Obtaining a thorough understanding of the Digital business and new Digital initiatives in order to advise on current and emerging operational risks
  • Building trust and establishing open lines of communication with Digital business leaders and control stakeholders such as legal, compliance, and risk managers in order to facilitate agreement regarding business objectives, constraints, and paths forward
  • Taking a leadership role in the annual RCSA, identifying control gaps, facilitating control remediation projects, and developing policies and procedures
  • Partnering with functional support teams in order to control specific risks such as information security, business continuity, third party vendors, fraud and regulatory, and to handle operational risk incidents
  • Developing metrics and key risk indicators (KRIs) in order to assess and report informative data to the business, management committees, and other stakeholders
  • Representing the Digital Operational Risk unit in meetings with senior business, functional, and risk management stakeholders
  • Advising the business on standards for accepting certain risks, on the process for gaining firm approval of new products, and on possible improvements to the control suite
  • Driving long-term planning around upcoming third party exams (e.g., internal audit), project management for remediating control gaps or for improving documentation, and performing the annual RCSA
  • Evaluating resource needs and constraints
  • At least 12 years of experience in financial services risk management roles, with direct-to-consumer and wealth management experience preferred
  • Experience managing teams and in building new organizations or new processes
  • Demonstrated flexibility in a changing business environment and in dynamically deploy skills as needed
  • Comfort working closely with various senior business, functional, and risk management stakeholders
  • Successful track record of people management and team development
  • Experience dealing with and presenting to regulators and auditors
  • Bachelor’s Degree; MBA, CFA, or ORM Certificate a plus
180

CCB Risk-operational Risk Oversight Resume Examples & Samples

  • Coordination and distribution of all senior management reporting including BD1, BD5, DRPC, ORO MBR and Town Hall decks
  • Work with finance on Headcount and Budget creation and reporting
  • Creation and maintenance of deliverables calendar
  • Monitoring key control items for compliance such as access control, privacy sweeps, record retention, user tools and training
  • Maintenance and testing of resiliency program
  • Management of various special projects as needed
  • 5 years communications or similar role
  • 2-3 years of banking or financial services environment
  • Excellent organizational and presentation skills
  • Strong executive presence and comfortable interacting with senior leaders
  • Ability to collaborate with business and functional experts to provide clear communications
  • Ability to build relationships with the Business and other Risk and Control partners
181

CCB Risk-operational Risk Oversight Resume Examples & Samples

  • Adherence to the Firm wide RCSA standards and program
  • Coordination of all stages of the RCSA program including control testing and documentation
  • Management of all applicable Processes, Activities, Risks and Controls within the Firms Operational Risk system of record as well as oversight of any Issues and Action Plans
  • 5 years Controls or similar role
  • 6 years of banking or financial services environment
182

Operational Risk Oversight Resume Examples & Samples

  • Significant Event Review - Review significant events over a defined economic threshold, including but not limited to, examination of event and resolution, back-testing against RCSA results, metrics, escalations and reporting, and scenarios
  • Independent Challenge - Independent Challenge of the Cybersecurity RCSA program including adherence to the RCSA Standards and independent review of residual risk results. The scope covers Risk Aggregation Units, RCSAs, key applications and select infrastructure components
  • Key Performance Indicators & Analytics - Governance of Key Performance Indicators including analysis of trends, outliers and underlying drivers; also includes support for the quarterly Firmwide Qualitative Operational Risk Appetite process
  • Continuous Monitoring - Perform oversight of operational risks through participation in Control Committees, senior level workstreams, major change management programs, point-in-time issue escalation, industry and regulatory meetings, internal strategic efforts and review of internal operational risk events
  • Targeted Risk Assessments - Perform assessments of select areas with high or increasing operational risk. TRAs may be conducted on
  • 15+ years experience in technology with recent experience (5+years) focused on Cyber Security, financial services experience highly desired. Knowledge of the JPMC technical environment and standards is advantageous
  • Broad and deep knowledge of current and emerging technologies and threat vectors is required
  • Ability to understand complex technical systems and the business processes they support and synthesize the corresponding risks and controls and recommend adjustments if required
  • Excellent analytical and problem-solving skills, inquisitive nature and comfort challenging current practices
  • Adept at developing relationships with senior business executives with a reputation for partnering across organization lines to mitigate risks
  • Bachelor’s Degree in Computer Science, Computer Engineering, Information Security or related field; post graduate degree a plus
  • CISSP, CCSP, CISA, CISM, CRISC, CGEIT, CSX-S or CSX-E a plus
  • Fluency in a major Asian language a plus
183

Head of Operational Risk Resume Examples & Samples

  • Provide management with independent and objective end-to-end Operational Risk oversight in line with the Enterprise Risk Management Framework and Operational Risk Framework
  • Understand business processes, model, key drivers and risk
  • Identify risk using data, dashboards and metrics
  • Analyse risk information and provide advice and recommendations on emerging risks, trends and early detection of control failures
  • Set trigger benchmarks and actions, and monitor improvements through DDM
  • Develop and promote a risk-smart workforce and environment thus ensuring that Business has the capacity and tools to be innovative while recognizing and respecting the need to be prudent in protecting the Bank and its customers’ interest
  • Support an effective risk culture, where there is an open, proactive and constructive dialogue relating
  • B-degree in Risk Management (NQF level no. 6)
  • 3 years Operational Risk environment experience
  • 3 years’ experience as an Operational Risk Officer / Manager or Business Risk Office
184

Director, Operational Risk Resume Examples & Samples

  • Development, maintenance, communication, and oversight of SLF’s implementation of the Operational Risk Appetite statements for non enterprise service risk categories
  • Development, maintenance, and implementation of the Operational Risk Reporting for both internal and external operational risk events
  • Responsible for the collection, challenge, analysis and reporting of operational risk events to the Operational Risk and Compliance Committee to be included in the reporting to the Risk Review Committee of the Board
  • Act as the Corporate Business Group co-ordinator for the Operational Risk Project. This includes: the development of a Corporate project plan, the implementation component status reporting, performing training, ensuring a strong change management program is in place and providing communication to the Corporate Operational Risk Offiers and the Corporate Subject Matter experts
  • Develop a process to collect, investigate and report on relevant external operational risk events
  • Ensure the integrity of the data used for the reporting of operational risk events
  • Maintain and continue to improve the enterprise wide operational risk event reporting process and sharepoint tools. Ensure continued alignment of the process with other operational risk process (updates for policy changes, taxonomy changes, new Sun life reporting structures)
  • Provide training to the organization on the process
  • Monitor and benchmark SLF operational risk practices against industry standards and best practices
  • Excellent analytical skills, attention to detail and direct experience with data aggregation
  • Direct operational risk management experience within a major Federally Regulated Financial Institution, preferably in the Corporate Operational Risk department in a methodology and/or reporting function is preferred
  • Understanding of products, practices, and operational risks at Sun Life
  • Technical operational risk management knowledge would be an asset
  • Advanced degrees in Finance or relevant quantitative subjects
185

Digital Operational Risk Wealth Management Resume Examples & Samples

  • Obtaining an understanding of aspects of the Digital business and new Digital initiatives in order to help advise on current and emerging operational risks
  • Assisting and managing staff toward completing the annual RCSA, identifying control gaps, facilitating control remediation projects, and developing policies and procedures
  • Helping manage and prepare for upcoming third party exams (e.g., internal audit) and driving related action plans
  • Tracking and reporting on risk issues and action plans to ensure remediations are completed by target dates
  • Preparing monthly/quarterly metrics dashboards to inform senior management of status on key operational risk metrics and incidents
  • Understanding of digital wealth management business
  • Demonstrated flexibility in a changing business environment and in dynamically deploying skills as needed
  • Comfort working with business, functional, and risk management stakeholders
  • Experience dealing with regulators or auditors
  • Proficiency in MS Office applications (e.g., Word, Excel, Powerpoint, Visio, Project)
186

Operational Risk Review & Challenge Manager Resume Examples & Samples

  • Develop a risk prioritized approach for delivering validation and challenge activities (including quality control checks, control testing expectations (sub-testing), and business line specific reviews)
  • Program documentation will collectively include: Goals and objectives of the validation and challenge program. Develop and maintain the Operational Risk Validation and Challenge Program documentation
  • Finalize and report on validation and challenge activities (including Review and Challenge sessions) Governance and follow up on issues
  • Document standards for validation and challenge internal activities
  • Lead the design and maintenance of a risk-based validation and challenge work program(s) to monitor the business line and corporate functions fulfillment of its first line of defense operational risk management responsibilities (including third party risk management, and other sub-operational risk program elements to be incorporated over time)
  • 8 or more years of experience in operational risk management, internal audit or related field
187

Operational Risk Review Resume Examples & Samples

  • Provide a mechanism for the second line of defense to review and validate or challenge that the coverage of the commercial lending and deposits business processes and associated risks are complete (e.g. across MUFG legal entities and operational risk sub-types) and risk ratings are appropriate
  • Evaluate whether the integrated operational risk and third party risk management framework is used in the management of its commercial lending and deposits business activities
  • Ensure that the business units have developed business processes and manages the risks associated with third parties throughout the full life-cycle of the relationship including: planning, due diligence, contract execution, transition execution, ongoing monitoring and termination of the relationship
  • 8 or more years of experience in Operational Risk management, Internal Audit and/or related field. An MBA is helpful but, not required
  • 6 or more years of Commercial Lending and Deposit business line experience directly or within a related risk management or audit field is required
188

Operational Risk Manager Internal Title Resume Examples & Samples

  • Identify, quantify and report the top operational risks
  • Manage operational risk models to ensure data quality and accuracy
  • Liaise with business owners to assist in the identification of new or changing operational risks; collect loss data metrics
  • Assist business owners in understanding the impact of operational risks, including those associated with third parties, and in the development of risk reduction strategies
  • Develop and deliver analysis and reporting for dissemination to Company and AXA Group management
  • Identify and escalate issues to management on a timely basis, dependent upon criticality and impact to the Company
  • Act as a subject matter expert for operational risks associated with third parties; assist in driving adequate risk treatment efforts
  • Maintain current knowledge of new regulations, industry trends, markets, and third party risks, and report potential and/or actual enterprise impact to management
189

Operational Risk Review & Challenge Resume Examples & Samples

  • Execution of a risk-based validation and challenge work program to monitor MUAH's affiliate’s fulfillment of its operational risk management responsibilities (including third party risk management, and other sub-operational risk program elements to be incorporated over time)
  • Understanding of operational risk management programs and practices, including new product risk
  • 5+ years’ experience in operational risk, third party risk management, internal audit or related field
  • Familiarity with operational and third party risk regulatory requirements and industry practices
190

Operational Risk & Controls Specialist Resume Examples & Samples

  • Assist in the development of Quality Control Audit and Compliance monitoring scripts in accordance with GT policies and procedures
  • Obtain and review monthly evidence to support compliance reviews for SDLC, Operations, and Security control requirements across GT
  • Independently perform monthly QC Audit and Compliance Reviews and report to management on status and outstanding issues
  • Monitor the timely remediation of FIC, Internal Audit, and Operational Risks control gaps/deficiencies
  • Produce monthly metrics and dashboards for reporting to leadership teams
  • Enhance existing processes, controls, and supporting tools that make all facets of Audit monitoring and testing more efficient
  • Provide information requirements for FIC, Internal Audit, and External Audit (PwC) as needed to support audit plan and annual testing requirements
  • Audit (CISA) Certification or ITIL Foundation Certification preferred but not required
  • BA/BS in Business Administration, Information Technology, or equivalent
  • Strong interpersonal skills to communicate effectively with both IT and Business subject matter experts
  • Ability to analyze data to identify IT process and control issues
  • Foundational understanding of IT processes and controls including system development life cycle (SDLC), Operations, Security including Identification & Authentication, Monitoring Privileged IT Users, User Account Management
  • Fluency in English (both spoken and written) is a must
  • Insurance, IT or Financial industry experience preferred but not mandatory
  • Strong knowledge of Microsoft Office products (Excel, PowerPoint, Access, Project, and Visio)
191

Risk Manager, IT Operational Risk Resume Examples & Samples

  • Promote the IT risk agenda and activities in the region through U.S. Wide communications, IT risk awareness training, and partnering with the businesses on cultural change
  • Provide clear and comprehensive reporting to the U.S. Head of Operational Risk, U.S. Committees, Senior Management and Regulators (as required) to adequately present the bank’s IT Risk Profile inclusive of trending, recommendations, and mitigating factors
  • Collaborate with the lines of business by acting in a consultative capacity to advise on IT risks that influence their business and ability to meet established strategic objectives, while maintaining oversight and objective challenge
  • Challenge the output of the first line in the IT Risk & Control Assessment (RCA) process for the U.S., covering Legal Entities, Processes and Business Lines
  • Challenge investigation of IT Incidents to define root causes, and provide input into remediation actions
  • Stay informed on the bank’s Data Leakage Prevention (DLP) programs, review breaches for the U.S. and identify methods to reduce the potential for data leakage
  • Design, Implement and Promote Risk Reduction Tools
  • Oversee the effectiveness of the Third Party / Vendor Management Program within the U.S. in relation to IT Risk, inclusive of due diligence, reporting and compliance with regulatory expectations
  • Manage IT Risk related Interactions with Regulators and Auditors
  • Experience of investment banking in a financial institution and exposure to multiple products
  • Strong expertise in IT Risk Management (e.g. Cyber Security, Logical Access, Data Leakage)
  • Industry certifications desirable (e.g. ISACA)
192

Manager, Global Operational Risk Resume Examples & Samples

  • To support the management and delivery of the risk and control identification and assessment program that is conducted in significant units across all Support/Control Functions
  • Conducting due diligence and other research in order to assess and challenge key risks raised by business units
  • Play an active role in the department's quality assurance program
  • Maintain relationships with the business units operational risk managers and applicable corporate support areas to remain current on new developments and emerging risks within the industry; and
  • Support the Director, Operational Risk in the review, assessment and enhancement of the Bank's operational risk management tools and methodologies including KRIs, Scenario Analysis, Business Environment Surveys, as required
  • Facilitate self-assessment workshops in strategically identified business units or processes
  • Manage documentation of operational risk management practices in support of the Advanced Measurement Approach
193

Operational Risk Framework & System Manager Resume Examples & Samples

  • Demonstrate a sound knowledge of Operational Risk methodologies and frameworks (experience of the standardised or advanced approaches to operational risk would be a bonus)
  • Leverage the links with other risk disciplines to ensure a joined-up enterprise-wide approach to risk management is embedded across the bank
  • Translate the Operational Risk Framework requirements into simple language that can be used for training packages and into technical requirements to develop the system
  • How to design effective and impactful Operational Risk MI that supports our colleagues to identify, quantify and manage risks and controls as well as provide meaningful risk information to our leadership team and the Board
  • Understand customer-facing and support functions, and how they operate so that the Operational Risk Framework helps create FANS for life
194

Operational Risk Mgr Resume Examples & Samples

  • Manage projects, analyzes processes & controls, and manages data quality. Evaluate risk and return measures/reports and interprets results
  • Possess strong institutional knowledge. Knowledgeable about different markets, products, strategies, analytical tools, financial and risk databases and associated risks
  • Assess the spectrum of risks and how those risks arise from all new product offerings for respective coverage groups
  • Identify reputational risk and its operational /financial cause/effects. Manage situations that create risk and legal liabilities for Citi
  • Anticipate and respond to client needs
  • Lead and coordinate focused or allocated resources for analysts/specialist groups
  • Use tools and techniques to effectively identify and assess trends and risks
  • Identify issues and outlines scope. Probe beyond symptoms to determine the underlying causes of problems
  • Develop goals and executes strategies within a department
  • Oversee and reviews recommendations (consumer, issuer, acquirer and vendor) and proposed by analysts’ recommendations to ensure appropriate risk management
  • Understand and reviews risk processes to ensure the execution of the documentation needed to protect the bank’s reputation and economic capital
  • Understand applicable US and local regulations, guidelines and practices
  • Institute measures for strong control environment for business/product group
  • Take a proactive approach in managing risk as appropriate
  • Manage control structure through effective use of the Managers Control Assessment
  • Understand businesses processes, risks and can identify control issues
  • Understand the ARR process
  • Support diversity by actively building and cultivating strong connections and partnerships across the business/region
195

CCB Risk-operational Risk Resume Examples & Samples

  • Provide independent, objective view of the Business function control environment, mitigation strategies and emerging risks
  • Maintain awareness of risk and control issues within the business whether self-identified or from internal /external audit
  • Maintain strong business relationships with internal clients and deliver presentations to senior audiences
196

Operational Risk Manager KYC Resume Examples & Samples

  • AML Program Management
  • Project Management and Administration
  • Metrics Tracking and Reporting
  • Minimum of 7 years working experience with at least 5 years in the financial services industry
  • Ability to operate effectively and efficiently in a fast-paced organization, with attention to detail and accuracy while keeping multiple initiatives progressing at once
197

Operational Risk Review & Challenge Resume Examples & Samples

  • Execution of a risk-based validation and challenge work program to monitor HR and Finances' fulfillment of its operational risk management responsibilities (including third party risk management, and other sub-operational risk program elements to be incorporated over time)
  • As part of the ongoing monitoring of HR and Finance, the VP is expected to
  • Review the results of internal audits and examinations
  • Review monthly MIS and related financial or risk reports, as available (focusing on potential areas of increased risk)
  • Review impact of new or expanded products or services implemented
  • Review technology or business process changes or projects in process, along with associated HR and Finance policy and procedure modifications
  • Review changes to the organizational structure, including turnover and key vacancies
  • Review progress in action plans to address issues (identified from all sources), as well as new management self-identified issues
  • Stay abreast of key external industry issues impacting HR and Finance (e.g., regulatory, competitive landscape, key challenges, etc.)
  • (2) Shared Staff team: for providing requirements for support in control testing and QC tasks, along with the review and evaluation of results
  • Develop strong professional relationships with the HR and Finance Risk and Control teams, and Line of Business leaders to ensure trust and transparency amongst the lines of defense
  • 10+ years’ experience in operational risk management, internal audit or related field
  • Familiarity with operational risk regulatory requirements and industry practices
198

Head of Operational Risk Identification Resume Examples & Samples

  • Effective, efficient and integrated management of risk identification, such that: risks and resolutions to risk over-exposures are appropriately identified, measured, managed, monitored and reported
  • Clear, concise and aligned risk tolerances developed across the business, reviewed and challenged appropriately so that it aligns to the Risk Appetite Statement
  • Clear and concise risk profile reporting that meet the objectives of the stakeholders (Directors, Executives and / or Committees)
  • Supporting and working closely with the Director of Operational Risk in facilitating discussions at boards, committees and clients so that risk exposures, issues, consequences and remediation are clearly understood
  • Working closely with the Head of Operational Risk Reporting and supporting risk teams to develop clear and commercially aware recommendations to manage heightened or out of appetite operational risks back within appetite
  • Working closely with the Emerging Risk, Capital and Stress Testing team and other supporting risk teams to provide the operational risk information and input on industry best practice necessary to develop the appropriate scenarios representing Aviva Investors’ risk profile in the internal capital adequacy assessment process
  • Manage a well regarded team of operational risk identification in second line of defence whose specific expertise are valued and respected by all lines of defence and who have clear career development plans in place to fulfil their potential
  • Form part of and represent Aviva Investors on relevant industry bodies, forums and developments across the industry
  • Deep knowledge of the asset management industry and the risks associated with this. This includes knowledge of financial instruments and a trade lifecycle
  • .Deep knowledge of operational risk identification, measurement, management, monitoring and reporting practices across the asset management and other financial sectors
  • Knowledge of the workings of the FCA and other global regulators, in particular an understanding of their key concerns and how this translates into their objectives in overseeing operational risk management
  • Has a good appreciation of working globally and is sensitive to cultural diversity
  • Extensive relevant experience and strong asset management background
  • Has leadership experience with particular focus on attracting and developing technically specialised teams working in the asset management sector
199

VP, Senior Operational Risk Scenarios Manager Resume Examples & Samples

  • Ensure robust scenario analysis that creates awareness and form key inputs into the CCAR/DFAST forecasts and capital calculation
  • Contribute to the Operational Risk Capital and Stress Testing Methodology and ensure it meets Regulatory expectations
  • Understand internal and external Global Operational Risk events and trends and ensures that are incorporated in the Scenarios where applicable
  • 8-10+ years of experience in Risk or Finance
  • 2-5 years of Operational Risk experience
  • MBA or graduate degree in Finance or Economics
  • Financial Risk Manager Certificate preferred
  • CCAR experience preferred
200

Head of Enterprise Operational Risk Aggregation Resume Examples & Samples

  • Risk experience
  • Audit or controls testing experience
  • Experience as a team leader
  • Experience and confidence interacting with senior managers
  • Proven track record developing senior management reporting
201

Head of Operational Risk & Transformation Resume Examples & Samples

  • Facilitate risk assessments including framework, stakeholder involvement, process and risk register documentation and co-ordinate Key Control Testing and aid in testing as required
  • Review detailed analysis on the root causes of incidents and recommended mitigation strategies to improve processes or controls
  • Lead programs of work ‘task forces’ and Virtual Teams drawn from across the Bank to deal with opportunities to improve both processes and capabilities to deliver better outcomes for customers
  • Proactively identify improvement opportunities through Operational Risk Activities, client feedback and in collaboration with Business Unit Managers
  • Co-ordinate contingency planning, including Business Resumption and Crisis Management planning, infrastructure and procedures
  • Provide ongoing direction and effective communication to staff to achieve individual and strategic business objectives
  • Leads a culture of ‘Transformation’ across the whole of ANZ championing process excellence, innovation, curiosity, and continual improvement
  • Provide guidance and coaching to Business Units Managers
  • Effectively lead the team by living the Bank’s values and providing an environment where people can perform, grow and breakout
  • Ensure that all incidents raised are logged in the appropriate systems within required timeframes. Progress systematic analysis of causes and opportunities for improvement and ensure mitigation actions and improvements are taken
  • Sense of curiosity and critical thinking
  • Demonstrated capacity to build relationships and stakeholder management
  • Analytically minded and have strong data analysis skills
  • Proven skills with an ability to lead and drive efficiencies and continuous improvement
  • Sound knowledge and understanding of technologies
202

Quality & Operational Risk Executive Resume Examples & Samples

  • Ensure OMS related to CF areas are effectively implemented and deployed across organization
  • Support logistics safety, quality incident and notice of violation including investigations and drive corrective action plans implementation
  • Minimum 3 years working experience in Logistic Field
  • Knowledge of Logistic safety operation
  • Knowledge of Warehouse quality management
  • Knowledge of compliance standard e.g. ISO and related law and regulations
  • Proficiency of ERP system ( JDE , SAP, or Oracle ) and MS office
  • Knowledge of import regulatory will be advantage
  • Good in interpersonal and communication skills
203

Quality & Operational Risk Executive Resume Examples & Samples

  • Safety & Ethical conscious
  • Must demonstrate ability to multi task and work in a fast pace environment with minimum supervision
  • Have an excellent interpersonal skills and understand the importance of influence level
  • Team working – supportive of team members
204

Operational Risk Mgr Resume Examples & Samples

  • Support large scale risk and/or consumer projects that span multiple NA Consumer businesses, including project ideation, business requirements, testing, implementation, and validation
  • Manage creation and documentation of corrective action plans
  • Develop status communications to a variety of stakeholders including senior leadership, including standardized project documentation, dashboards, templates, reporting, and presentations for high risk/large scale initiatives and processes to provide management and business owner insight into project and process status
  • Provide updates, as instructed, for regulators on project status including progress against milestones, risk identified, and any potential impacts
  • Monitor communications relating to issues being managed by other areas such as technology, information security and continuity of business to identify emerging risks
  • Leverage strong business process orientation and facilitation skills necessary to work with the multiple partners and lines of business
  • Utilize strong project management disciplines and routines with clear accountability for the key stakeholders through testing and implementation
  • Strong communication skills, both written and oral, with all levels of the organization, with a focus on senior audiences
  • Detail oriented with strong organization and project management skills
  • Bachelor’s degree in Business, Finance, Marketing, Technology or related work experience. MBA and/or Regulatory
  • 5+ years of business experience in audit, control, compliance or regulatory management in the banking or credit card industry
  • Project management experience with the proven ability to develop project plans and drive a diverse group of
205

Global Markets Operational Risk Manager, VP Resume Examples & Samples

  • Help assess the effectiveness of established operational risk management controls
  • Assist in the completion of annual risk and control self-assessments
  • Produce regular reports on the operational risk environment
  • Identify, document, and monitor risk events, losses and issues requiring attention
  • Monitor, track, and report on remediation activities related to control deficiencies
  • Develop and monitor key risk metrics
  • Work closely with external parties to facilitate the testing of controls
  • Support product risk assessments and new product initiatives
  • Provide ad-hoc support for West Coast risk team as needed
  • An understanding and adherence to the Bank's Risk Vision
  • Knowledge and application of operational risk management policies, programs, and techniques
  • The ability to recognize and proactively address risk
  • Experience in and knowledge of activities supporting operational risk management including regulatory expectations and industry best practices is required
  • FX Sales and Trading
  • Interest Rate Derivatives
  • Swap Dealer regulation is highly desirable, preferably within the associated areas of operations, risk management, regulatory environment, or accounting systems
206

Director Operational Risk Resume Examples & Samples

  • Development, training, communication, piloting and oversight of SLF’s implementation of the Risk and Control Self-Assessment program
  • Development, training, maintenance, and implementation of Key Risk Indicators
  • Leadership of the Corporate Operational Risk Management Communications program, including Case studies
  • Provide training to the organization on the various Operational Risk tools and processes
  • Participate in quarterly reporting to Management
  • Manage various Forums with Operational Risk professionals across the Enterprise
  • Excellent analytical skills and attention to details
  • Strong writing skills and direct experience writing policies and guidelines
  • Effective communication, negotiation, and conflict management skills
  • Effective change management, through impact and influence skills
  • > 7 years’ experience in the Financial Services industry preferably in risk management or data aggregation
  • LI-AN1
207

CCB Risk-operational Risk Oversight Resume Examples & Samples

  • Provide oversight of LOB RCSA activities to verify conformance to RCSA standards
  • Identify unmitigated or partially mitigated business risks which can result in material financial, operational regulatory or reputational risks for the firm
  • Participate in CCB wide working groups as assigned
  • Monitor the inherent risk profile of the business, the control environment, and the residual risk ratings; and provide guidance on risk mitigation and process improvement activities
  • 7+ years Risk Management or other related experience required; in a banking or financial services environment preferred
208

Operational Risk Director Resume Examples & Samples

  • Manages evolution and oversight of Huntington's risk management practices by using an enterprise framework and comprehensive approach specific to Huntington's business process
  • Responsible for the hiring and performance of 2-3 risk colleagues
  • Provides policy guidance and ensures that 1st line third party risk policies and standards address the bank's internal and external requirements
  • Performs independent risk assessments and risk management process reviews to ensure they are performed efficiently and effectively
  • Works with the Chief Operational Risk Officer as a 2nd line liaison to auditors and regulators
  • Identifies metrics and key performance indicators to enable the measurement of third party risk and control performance in meeting business objectives. Monitors pertinent key risk indicators and investigates and reports on adverse movements or aggregation of risk across segments. validates alignment of risk appetite to tolerance thresholds
  • Assesses and recommends tools and techniques to automated information systems control verification processes
  • Presents and participates in Board; Executive; and Management level committees as assigned
  • Collaborates with audit/business segment/corporate risk to assess quality and completeness of action plans and target dates
  • Identifies potential and emerging threats and vulnerabilities, and assembles risk scenarios to estimate the likelihood and impact of significant events to the bank. Engages in research, networking, and draws on industry experience to anticipate key risk issues
209

Newton, Operational Risk Assistant Resume Examples & Samples

  • Develop general business skills such as writing, presenting, excel, minute taking and time management
  • Develop commercial and regulatory awareness within the investment management industry
  • Gain insight into how an asset management business operates, from placing a trade order, to confirming the trade with a broker and settlement of the trade in the market
  • Understand how the Risk function provides input and influence to these processes
  • Conduct monthly data validation and analysis of key risk indicators and departmental metrics
  • Conduct monthly data analysis and reporting
  • Write minutes and follow up action points for committees and ad-hoc meetings
  • Assist with updates to internal Risk policies and procedures
  • Assist with resolution of day-to-day issues in an efficient manner and within any agreed service levels
  • Be a resource for department-wide projects and assist team members where necessary
  • LI-NEWT
210

Field Operational Risk Control Team Assistant VP Resume Examples & Samples

  • Supervise the definition and execution of test scripts across a wide variety of Wealth Management Field operational areas, including risk, service, branch management and home office functions; targeting controls that support inherent high and critical Field Management risks
  • Support a variety of operational risk management initiatives and special projects, including testing quality assurance review, targeted risk assessments and remediation projects
  • Prepare metrics reporting (including monthly and quarterly analysis) and disseminate trending reports to Field Management partners
  • Work with Partner teams to analyze Quality Assurance (QA) testing processes and identify opportunities for internal team efficiency gains
  • Familiarity with the wealth management branch structure and/or branch operations is a plus
  • Must be comfortable working closely with various business and information security functions
211

Director, Operational Risk Oversight Resume Examples & Samples

  • First line of defense in managing operational and regulatory compliance risks
  • Implement and maintain the Operational Risk Management Framework and associated processes, including generating and reporting key metrics
  • Implement and maintain the GBM Regulatory Compliance Program modeled after the Bank’s eRCM Framework
  • Work with all stakeholders to ensure appropriate processes and controls are in place to manage operational risk. Proactively address operational controls gaps and identify opportunities for streamlining or automating processes and controls
  • Work with regional ORO units in the execution of the group’s mandate
  • Escalate and work towards resolving all day-to-day operational risk matters
  • Work with GBM business line management, and support/control units to appropriately manage operational and regulatory risk
  • Regulators and Internal Audit
  • Facilitate GBM internal audit and regulatory reviews
  • Coordinate the remediation of open audit issues and regulatory findings
  • Work with all stakeholders to ensure appropriate processes and controls are developed to ensure compliance with regulatory requirements
  • Monitor and test front office compliance with regulatory requirements
  • Transaction Related Oversight and Record Keeping
  • Manage the recordkeeping process for Investment Banking; this includes Information Control Logs, Engagement Letters and Non-Disclosure Agreements
  • Review Pitch Books
  • Identify any issues that warrant referral to the Bank’s Reputational Risk Committee
  • Data and Confidentiality Oversight
  • Key contact to determine appropriate access to Salesforce.com Private Side information
  • Review and test Shared Drive accesses
  • Sign off on physical access requests
  • Ensure deal terms are within policy
  • Provide guidance on allowable interactions on public side, private side and research
  • GBM Policies and Standards
  • Manage the development and execution of GBM policies and standards for Investment Banking, Equity Capital Markets and Corporate Banking
  • Work with stakeholders such as Compliance in the development of policies and procedures to ensure GBM requirements are appropriately articulated
  • Other
  • Work with GBM business lines to provide the required support for business development and strategic initiatives to ensure operational risks is appropriately mitigated
  • Provide coaching and training to team members
  • Provide the required support and training to regional ORO units
  • Provide input and assist in developing and executing the strategic direction of the group
  • Preferred: University degree, MBA, or CFA
  • At least 5 years’ work experience in a compliance or capital markets audit role
  • Well-versed in capital market products as well as possess strong knowledge of activities within the front, back and middle offices as well as exchanges
212

MYS Ctsm Pg-operational Risk Manager Resume Examples & Samples

  • Review and update the trade risk framework and initiatives to develop and evolve the assessment of risk, use of KRIs, understanding of additional metrics to give a comprehensive view of the trade risk and control environment
  • Perform reviews and initiatives to address all key control weaknesses and to ready the business to proactively meet emerging risks
  • Oversee management reporting and assist in organizing periodic discussion forums with all key partners and stakeholders; to monitor and manage the risk & control framework and implementation
  • Proactively manage stakeholders, partners, vendors to bring about successful and sustainable improvement in the trade risk & control environment
  • Continuously review and evaluate the trade business in relation to regulatory requirements and emerging trends. Ensure that Citi meets its external and internal regulatory and audit requirements without issue
  • Support audit, regulatory, compliance, and business monitoring reviews
  • Strong trade product knowledge
  • Ability to demonstrate knowledge of core controls
  • Operational and risk and control mindset with the ability to identify control weaknesses in an operational environment
  • Candidate must have 5+ years of successful operations experience, with demonstrated knowledge of risk and controls
  • Project Management and Change Management experience preferred
  • Knowledge of compliance, regulatory, and Citi policies
  • Technological proficiency with strong Excel and PowerPoint skills
213

Enterprise Operational Risk Manager Resume Examples & Samples

  • B.S. in finance, business, economics, operations engineering / management, process control
  • Minimum of 10 years’ insurance/financial services experience with relevant risk management or audit experience
  • Expertise and experience in risk governance and US regulatory frameworks
  • Ability to influence across reporting lines
214

Wealth Management Operational Risk VP Resume Examples & Samples

  • Governance
  • Standard processes and procedures
  • Planning, scheduling and monitoring guidance
  • Documentation and retention requirements
  • Linkages to existing policies and procedures related to Incident Reporting, Lessons Learned, Issue and Action Tracking, and RCSA
  • 7-10+ years of related experience in Financial Services preferably within Wealth Management, with involvement in Operational Risk Management
  • Experience with operational risk disciplines and processes, risks and controls
  • Background in process re-engineering preferred
  • Excellent analytical, critical thinking, and organizational skills
  • Ability to draw conclusions and provide recommendations in a clear, concise, and constructive manner, both orally and in writing
  • Ability to manage projects by ensuring on time delivery and the right level of quality
  • Ability to work effectively in groups
  • Strong analytical and problem solving skills (critical thinking ability)
  • Ability to work in a small team environment, building and maintain a network of contacts and coordinate with a large number of stakeholders
  • Fully versed in Microsoft Office suite, emphasis in Excel and PowerPoint
215

Risk ORC CB SEA Operational Risk Director Resume Examples & Samples

  • CB organization with risk booked in APAC entities
  • CB financing metiers/product lines as risk taking units, with P&Ls, risk and resources management ownership
  • Functions supporting the front-to-back activities of relevant CIB financing métiers activities such as Coverages, ITO financing solutions, Client Management etc
  • Territories level: Singapore and South East Asia (Country Heads, COOs, local CB business, coverages, function heads and OPCs) for local assessments and oversights
  • APAC Regional Business and Functions located in SG including Regional Heads of TBA, CDL and CB ITO for critical assessment of regional control framework of 1st LoD
  • Regional supervision and co-ordination of thematic controls on specific topics as assigned from time to time
  • University graduate with at least 20 years of relevant experience in risk management, control function, preferably with relevant exposure to consulting or audit background
  • Prior experience or practical understanding in previous roles may include but not limited to Front/Middle/Back Office, Operations or Functional role(s) in Corporate Institutional Banking
  • Preferred candidates should possess robust knowledge of banking products in the area of Corporate Institutional Banking
216

Head of Operational Risk Resume Examples & Samples

  • Broad capital markets product knowledge
  • Strong understanding of Operational Risk
  • Strong understanding of Capital Markets processes (Settlements, Deal Origination & Flow, Accounting,) and related controls
  • Working knowledge of the financial industry regulatory environment and compliance norms
  • Strong experience working as part of project initiatives
  • 15+ years of Banking Industry experience preferably with roles both within Risk and various production (1st Line of Defense) teams
217

Assistant VP Digital Operational Risk Resume Examples & Samples

  • Obtaining an understanding of aspects of the Digital business and new Digital
  • At least 3 years of experience in financial services risk management roles, with direct-to-consumer and wealth management experience preferred
  • Demonstrated flexibility in a changing business environment and in dynamically deploying skills
  • Self-starter with a can-do approach and delivery focused mind set
  • Detail-oriented and accurate
  • Proficiency in MS Office applications (e.g., Word, Excel, PowerPoint, Visio, Project)
218

Head of Operational Risk Resume Examples & Samples

  • 15+ years of Banking industry experience
  • Broad Capital Markets Product knowledge
  • Solid understanding of Operational Risk
  • Working knowledge of the Financial industry Regulatory environment and Compliance norms
  • Excellent communication skills written and verbal)
  • Previous experience working within Risk and Various Production teams
219

CCB Risk-wholesale Operational Risk Oversight Resume Examples & Samples

  • Complete deep dive reviews across a defined area of CSo
  • Execute a periodic Independent Challenge of the RCSA program
  • Partner with the Business & Control on the assessment of Operational risks, including fraud, legal, compliance, technology, finance and other risks
  • 5+ years of Business or Commercial Banking experience required
  • Excellent interpersonal and communication skills, including ability to negotiate, compromise and demonstrate diplomacy in sensitive situations and to interact effectively with senior management
  • Ability to analyze data and present to management towards improving the Control environment in the business
220

CCB Risk-operational Risk-framework Lead Executive Director Resume Examples & Samples

  • Influence and manage the creation of value add firmwide Operational Risk practices, including periodic risk assessments
  • Generate reporting to provide line-of-sight into Operational Risk practices, with escalation of relevant risks and mitigants; reporting audience typically includes Executives and Committees
  • Partner with cross-line of business teams to guide projects and ensure all business deliverables and tasks are completed
  • Present recommendations in a business-friendly way that identifies issues, details impact and strategies for resolution
  • Build consultative relationships with senior management across lines of business and functions to drive strategic decisions by preparing and delivering well designed presentations with concise recommendations
  • Create materials to be used for presentation at working group and senior management meetings, providing sufficient information to enable signoff on a deliverable
  • Foster relationships with the Controls organization to ensure completion of work is as aligned as appropriate, while maintaining a distinction between the first and second lines of defense
  • 8 - 10 years experience leading, designing and executing complex programs spanning business-lines within the financial services industry– ideal areas include: Consumer Banking, Operational Risk, Credit Risk, Finance, Regulatory/Compliance
  • Strong business acumen and relationship management skills
  • Exceptional interpersonal leadership and influencing skills with ability to achieve goals without direct control over resources
  • Experience working with and influencing senior management to drive strategic decisions through developing concise recommendations and preparing and delivering well designed presentations
  • Highly disciplined, self-motivated, and delivery-focused individual who works independently
  • Excellent problem-solving and communication skills (verbal and written)
  • Strong familiarity with analysis software, such as Excel, Access, MS Project, Visio, SharePoint, etc
221

Operational Risk Identification Manager Resume Examples & Samples

  • You work closely with first line of defence
  • Degree educated with relevant professional qualification
  • Excellent understanding of the asset management industry and the risks associated with this
222

Operational Risk & Permanent Control Manager Resume Examples & Samples

  • Performing Risk Assessments on the underlying activities (risk mapping, quality of associated controls etc.), to be reviewed every 12-18 months
  • Documenting control plans for each activity, performing control testing, reporting results, organizing regular reviews to set action plans for remediation where relevant
  • Monitoring and analysis of historical incidents and related action plans
  • Following up on the implementation of audit findings / recommendations assigned to the COO scope
  • Coordinating outsourcing initiatives (CIB incl. BP2S) and SLAs execution / review / update
  • Providing regular feedback to management on risks / controls of their respective operations, including the organization of various Committees
  • Implementing regionally- or globally-driven initiatives, working closely with the regional OPC and RISK ORC teams
223

VP-operational Risk & Controls Resume Examples & Samples

  • Certified Internal Audit (CIA), CISA and related certifications are preferred
  • Master’s degree is mandatory (eg. CA, MBA, or other disciplines), supported by Bachelor's degree or equivalent experience in accounting, finance and business
  • 10 to 12 years in the financial services industry (preferred) /others; including background in operational risk management, audit, compliance, or operations
  • Relevant risk management experience and awareness either gathered through a risk or audit role, although would consider other relevant experience
  • Working knowledge of operational risk frameworks (e.g. RCSA practices, loss event databases, KRIs) in a regulated environment (i.e. Basel II standards, FFIEC guidance, etc.)
  • Demonstrated experience in risk and control self-assessments, including process documentation, and data analysis skills
  • Working experience in developing, tracking, analyzing and reporting on key risk indicators
  • Self-motivated & confident decision-maker with the ability to demonstrate leadership, challenging and influencing change where necessary
  • Collaborative team player able to develop meaningful and effective working relationships with fellow colleagues
  • Effective communicator with excellent written and verbal communication skills
  • Strong analytical and documentation skills, as well as orientation to details
  • Ability to manage multiple assignments and meet tight deadlines within a team environment
  • Strong people & relationship building skills
  • Flexible and creative thinker
  • Sound business judgment and objectivity
224

VP Operational Risk Resume Examples & Samples

  • Framework: Ensuring that the constituents parts of the Group Operational Risk Framework are effectively embedded across the relevant business and functions
  • Independent Challenge – Provide robust and independent challenge to markets senior management [D/MD population] to ensure that Operational Risks are appropriately identified, assessed and mitigated within the wider risk appetite. This includes challenging the effectiveness of the business’ strategic risk assessments and risk management processes, to ensure the operational risks they are exposed to are kept within appetite
  • Risk management - Ensure that relevant Markets and Capital Markets businesses and supporting functions establish a control environment that seeks to manage operational risk appropriately. This entails identifying current and emerging risk which are then managed, monitored, reported, reviewed and documented accordingly
  • Assurance – Provide assurance through thematic reviews both reactive (incident/mgmt. request) and proactive (as result of own analysis as to potential exposure)
  • Expert Guidance – provide ops risk guidance and support of framework as appropriate
  • The role is key to the delivery of the Operational Risk strategy and is expected to influence at an executive level with exposure to
  • Framework – Creating a business ownership and risk management culture, including risk identification, assessment, mitigation and measurement processes
  • Challenge – Provide robust independent challenge to the 1st line
  • Substantive experience gained in the financial services business relevant to markets / capital markets businesses within area being covered
  • Previous risk experience gained in line roles within an Investment bank
  • Ability to operate at an executive level, provide informed challenge and build strong and effective working relationships
  • Experience of delivering risk management insight and analysis of impacts from an internal and external perspective
  • Preferred – Degree and/or MBA
225

Cbna-gcg-country Consumer Business Operational Risk & Control Head Resume Examples & Samples

  • Consumer Business Control Governance and Line-of-Sight
  • End-to-end Process Management (including Third Party and Inter-affiliate)
  • Risk Identification, Analysis, and Management (including risk domain coverage of 22 Globally Identified Front-to-Back Consumer Bank Risk Domains1)
  • End-to-end Regulatory Compliance Process Review
  • Risk and Control Governance over "Digital"
  • Manager’s Control Assessment (MCA) Coordination
  • Issue and Corrective Action Plan (CAP) Process Oversight, Coordination And Validation
226

Liquidity & Operational Risk Development Manager Resume Examples & Samples

  • Build up and supervise the development team with hands-on approach. Ensure development activities per target state architecture that includes Big Data components (specifically the Hadoop stack), Data Analytics, Microservice architecture, PaaS & IaaS models
  • Review and enforce development guidelines for the team to follow; key development practices such as pair programming as appropriate, Test Driven Development
  • Significant experience in Hadoop, up-coming software frameworks that deliver Microservices in the Processing, Data Management space; Open Source platforms & tools; Spring frameworks; UI/UX tools & methods
  • Implement comprehensive DevOps practices including Continuous Integration/ Continuous Deployment, Release Automation, Blue & Green deployments
  • Prior knowledge and experience on Pivotal Cloud Foundry PaaS, Angular JS would be highly desirable
  • Oversee design & development of applications on legacy technology stack and drive the move to OpenSource components and a modern software architecture
  • Manage regular communication with key stakeholders to ensure seamless and an integrated working model across locations, updates on the teams and book of work in keeping with Agile methodology
227

VP Field Operational Risk Resume Examples & Samples

  • Supervise team execution of Risk and Control Self-Assessment (RCSA) testing across a wide range of functional areas, including: Alternative Investments, Capital Markets, Consulting Group, Financial Planning and Infrastructure Risk, Institutional Wealth Services, Retirement Solutions and Traditional Investment Products and Services
  • Manage team resources and partner with key stakeholders (including business control units, control owners and operational risk leadership) to define test plans, execute testing, conduct test quality assurance, communicate test results and define control remediation plans if/when control gaps are identified
  • Monitor and report on team metrics to identify patterns, trends and areas where increased management attention is warranted and to ensure timely completion of strategic objectives
  • Engage in a variety of strategic operational risk management initiatives and special projects, including targeted risk assessments and remediation projects
  • Develop and maintain operational risk team procedures, risk management tools and data repositories to facilitate effective activity execution and continuously identify opportunities to improve team efficiency
  • At least eight (8) years of Financial services experience (familiarity with wealth management operations is preferred)
  • Risk, compliance and/or internal audit Experience
  • Managerial experience
  • Strong proficiency with Microsoft Excel, Word and PowerPoint (familiarity with MS Access is preferred)
  • Must be comfortable working closely with various business, risk, compliance and audit functions
  • Excellent written and verbal communications skills required
228

Operational Risk-icg Business Coverage Risk Manager Resume Examples & Samples

  • Represent Operational Risk at senior level governances such as Business Risk Reviews and Business, Risk, Compliance and Control Committees
  • Interface with regulators and Internal Audit
  • Establish minimum risk standards for a product
  • 5+ years relevant industry or risk management experience and/or accreditation. Citi experience in Operations & Technology, Finance, Business Management or Compliance preferred
229

Operational Risk Mgr Resume Examples & Samples

  • Support establishment of Payment Risk Management Framework and Risk Assessment Methodology that conforms with industry leading practices, standards and specifications
  • Support maintenance of Corporate policies, procedures and standards for corporate payment process, including addressing application questions from business areas
  • Develop and oversee operational controls testing program
  • Maintain assigned Corporate Payments Process/System flows and risk/control matrices, for all processes linked to bank accounts either managed by Freddie Mac (in corporate capacity or fiduciary capacity) or on behalf of Freddie Mac
  • Support periodic corporate aggregation assessments of unmitigated payment risks across the company
  • Support review of changes that impact payment processes or systems before release to a production environment to ensure that the risk and controls have been adequately assessed from an end-to-end view
  • Support maintenance of resiliency/disaster recovery plan for end-to-end payments processes; and
  • Support training Freddie Mac staff about payments fraud; industry trends and appropriate safeguards and tips
  • 7-10 years of operational risk/process management and/or audit experience
  • Previous big four experience and/or relevant professional certifications (CPA, CFA, Six Sigma green belt/black belt, CIA, etc.) a plus
  • Familiarity with the COSO internal control framework
230

Head of Operational Risk-it Resume Examples & Samples

  • Communicating & Influencing - genuine two-way communication to achieve consensus and progress – Level 4
  • Problem Solving & Decision Making - making timely, quality decision – Level 4
  • Banking & Regulatory Environment – Level 4
231

Operational Risk Managment Resume Examples & Samples

  • Proficient in MS Powerpoint, Word and Excel
  • Proficiency in MS project is a plus
  • Good interpersonal skills and able to multi-task
  • Able to write and speak reasonably well
  • Ability to work independently as well as in a team
  • Understanding of Banking products is preferred
  • 1-2 years in audit/compliance role is preferred
232

Deposit Operational Risk Manager Resume Examples & Samples

  • Overseeing the payments risk areas including consumer payments, treasury services, and internal funds transfers
  • Establishing and maintaining a sustainable and effective due diligence and ongoing treasury review process that includes appropriate testing, escalations for late reviews and workflow efficiencies
  • Serving as the escalation point for all payment processing, higher risk customer escalations, and other risk issues
  • Documenting operational risk assessments of all deposit products and presentation of risk assessment results to the designated committee of the Bank and incorporating risk assessments into the Bank’s enterprise risk management risk model
  • Consulting with stakeholders on initiatives and programs that may impact the payments systems, operational risk direction and responsible for providing risk control requirements to the initiative
  • Assisting stakeholders and business units with policy and procedure development
  • Documenting workflows, value chains and making recommendations for improvements and controls
  • Monitoring daily business and regulatory events that may impact the payment system and providing analytical insight and recommendation about the event for the bank to be aware of or take action upon
  • Documenting and presenting deposit operational risk management training based on subject matter expertise (SME) to business owners specific to the risk of the line of business (e.g. payments risk including consumer and treasury risks, fraud prevention and other emerging deposit risks)
  • Responsible for leading the deposit operational risk group in communicating quarterly reporting on status of operational risk program
  • Responsible for creation and ongoing sustainability of the fraud prevention and investigation unit
  • Documenting fraud events, reviewing trends and implementing controls for lines of businesses that are susceptible to higher risk fraud attempts
  • Documenting the Bank’s fraud risk assessment, fraud policy and procedures and ensuring these are incorporated into the Bank’s operational risk program
233

Operational Risk Prf Resume Examples & Samples

  • Obtain understanding regarding basics of SOX and operational testing
  • Obtain understanding of Freddie Mac’s SOX and operational testing process via on the job training and by reading Company’s testing guidance
  • Perform test of design of SOX and operational controls
  • Perform test of operating effectiveness of SOX and operational controls
  • Able to use Microsoft Office, specially Excel in daily test work documentation
  • Able to work in a collaborative team environment
  • Able to interact within the team and different business areas
  • 2-4 years of experience in Accounting or Finance related positions
  • Bachelor’s degree in Accounting, Finance or related field
  • Be proficient in MS Office (Excel, Word and PPT)
  • Experience using Adobe PDF
  • Experience with perphial devices such as printers, scanners and copiers
234

Operational Risk Cybersecurity Threat Oversight Resume Examples & Samples

  • 1st Line: Business Units/Infrastructure Groups - Own their operational risk & are responsible for its management
  • As a key leader in the 2nd line cybersecurity risk team, drive strategic and tactical evolution necessary to maintain effective and efficient cybersecurity threat identification, assessment, and management
  • Integrate and coordinate 2nd line cybersecurity threat and risk governance activities; provide direct support to ORD leadership and the Chief Risk Officer
  • Build and maintain strong positive relationships with the existing cybersecurity risk community in 1st line of defense, with a focus on the cybersecurity threat assessment and management areas
  • Provide meaningful challenge to 1st line identification, assessment, and management of cybersecurity threats, including mapping to vulnerabilities, and associated mitigating controls
  • Work with 1st line of defense cybersecurity risk and control owners in assessing inherent and residual levels risks based on a structured risk framework based on specific and general cybersecurity threats
  • Coordinate with ORD colleagues who cover Business Units and Infrastructure Groups in discussing impact of cybersecurity threats on business and support processes
  • Participate in Operational Reviews such as cyber threat identification, assessment, and management forums
  • Contribute to scenario analysis workshops to assess risk impacts based on specific threats
  • Monitor industry developments in the management of cybersecurity risk, threat intelligence, and threat management
  • Work with key stakeholders to evaluate specific threat-based responses and prepare for senior management review
  • Identify and evaluate risk management practices related to the systems and information supporting Firm activities
  • Maintain and or oversee relevant policies and procedures related to cybersecurity processes executed by 1st line of defense
  • Review cybersecurity risk issues as well as internal and external incidents in order to help inform the 2nd line of defense independent view of the overall cybersecurity risk posture of the Firm and its underlying legal entities
  • Work with 1st line of defense management in discussing and resolving control gaps, risk trends, risk issues and incidents
  • Provide monthly and quarterly cybersecurity risk reporting, including updates on relevant top operational risks and emerging risks
  • Bachelor’s Degree minimum; Masters degree preferred
  • 15+ years’ worth of cybersecurity, information security, or other security risk related work experience, preferably in part focused on the financial services industry
  • Current Top Secret Clearance preferred
235

Group Operational Risk Manager Resume Examples & Samples

  • Experience in control function (audit, operational risk…) in insurance or financial environment
  • Ability to master a groupwide operational risk tool and train local administrators/users
  • Knowledge of internal and external requirements (regulators, rating agencies) with regards to the risk management and assessment within the frame of Solvency II
  • Actuarial / financial competencies
  • Ability to manage local and international correspondent’s network with enthusiasm and commitment
  • Strong communications skills to liaise with a wide range of correspondents at various level of management
  • Rigor and reliability especially in the production and validation of Group Operational risk capital charge
  • Ability to produce synthetic reporting to Executive Management
  • 5 years minimum ideally in risk management / audit in insurance or bank industry
236

Digital Operational Risk Resume Examples & Samples

  • Working with the business and functional support teams in order to remediate control gaps, respond to operational risk incidents, and earn approvals for new products or risk acceptances
  • Preparing monthly/quarterly metrics dashboards to inform senior management of
  • At least 8 years of experience in financial services risk management roles, with direct-to-consumer and wealth management experience preferred
  • Team player with a track record of partnering with colleagues and mentoring junior employees
237

VP-field Operational Risk Resume Examples & Samples

  • Contribute to key strategic operational risk priorities such as the monthly business risk review, Risk & Control Self-Assessment, and data remediation projects
  • Conduct Financial Advisor and Client Service Associate error reviews with appropriate support teams such as Risk, Operations, IT and the Field
  • Oversee the policy governance process for Field Management, including centralization, ownership designation, and content reviews
  • Coordinate with Complex Office teams to prepare for Compliance Branch Exams and Internal Audits
  • Develop new metrics and key risk indicators (KRI’s) with business management, internal audit and compliance
  • Represent Field Operational Risk in technology prioritization meetings and forums when relevant
  • Develop Business Requirement Documents, Use Cases, Test Cases and training materials for improvements impacting field facing systems
  • Conduct data analysis to help identify trends and root causes branch exam and audit findings, and develop projects to remediate repeat exceptions
  • Partner work closely with Technology and Operations to oversee project implementation
  • 5-10 years of experience within Operational Risk or Wealth Management Operations
  • Must be familiar with Wealth Management branch structure and/or Branch Operations
238

Market Operational Risk & Excellence Manager Resume Examples & Samples

  • Previous experience in the Financial Industry with specialization in audit management, compliance or operational risk assessment roles
  • Previous experience in internal process and control framework re-engineering
  • Previous experience in operational risk assessments and relative corrective actions/project initiatives
  • Strong interpersonal skills and proven ability to work efficiently with a wide range of internal and external stakeholders across different functions and international markets
  • Strong communication skills are critical for the role
  • Excellent knowledge of Microsoft Office Package (Excel, Power Point, Access, Visio/Flow charter)
  • Excellent communication skills, both spoken and written
239

Operational Risk Prf Resume Examples & Samples

  • Under normal supervision, perform design and operation effectiveness testing of controls over significant accounts, disclosures and processes, as part of the company’s SOX compliance as well as Operational Risk Management Framework
  • Document test execution, ensuring that all appropriate risks are identified and documented
  • Analyze, document, and monitor issues identified, including root cause analysis, control failure identification, level of significance assessment for deficiencies and remediation plans
  • Maintain a current level of expertise relating to professional standards and emerging industry and technical developments, including US GAAP, COSO, PCAOB and emerging technologies and best practices
  • Minimum of 2 plus years of service of previous experience in public accounting or internal audit; other relevant experience may be considered
  • Bachelor degree in Accounting, Information Systems, Computer Science, Business Administration or related field
  • Audit and SOX 404 with Big Four Accounting Firm and/or corporate internal audit functions
  • CPA or other relevant professional certifications (i.e., CIA, CISA) preferred
240

Operational Risk Dir Resume Examples & Samples

  • Serving as a trusted advisor on risk issues and emerging risks
  • Providing leadership in the establishment of I&CM divisional risk objectives (including risk appetite)
  • Providing input on the development of corporate risk policies and standards
  • Driving development of I&CM divisional procedures to meet evolving corporate risk policies and standards
  • Developing, reporting and monitoring I&CM risk metrics (e.g., KRIs, KPIs)
  • Preparing Board and management reporting pertaining to risk governance topics
  • Representing I&CM on cross-divisional risk working groups and forums
  • Promoting a culture of risk awareness and accountability within I&CM
  • Managing and/or performing special projects or assignments in support of I&CM risk governance
  • Minimum of 10-12 years of risk management, compliance, audit and/or finance experience
  • Bachelor’s degree in relevant discipline
  • Strategic and project management capabilities coupled with strong business and financial acumen
  • Experience developing and managing policies, procedures or standards
  • Demonstrated ability to build a strong network of relationships and collaboration with peers, internal business partners and senior leaders
  • Demonstrated ability to work effectively independently as well as in team environment, including with matrixed reporting structures
  • Demonstrated ability to exercise sound judgment and maintain confidentiality
  • Demonstrated strength in working in a fast-paced environment
  • MBA or other advanced degree
  • CPA or other professional certification
  • Understanding of the risks inherent in capital markets processes and functions
241

Operational Risk Resume Examples & Samples

  • Management and maintenance of the firm?s insurance programs corporately and across various businesses including but not limited to the Investment Management Division, Merchant Banking Division, J Aron & GS Bank USA
  • Insurance programs include but are not limited to various firmwide and divisional management liability programs (D&O, E&O, Fraud, EPL), Cyber Security, Trade Credit, Reps & Warranties, Commodities/Cargo Liability & Political Risk/Violence
  • The management liability portfolio of programs (inclusive of various D&O and E&O programs, Employment Practices Liability, Fidelity/Fraud, Cyber, Fiduciary etc.) represent $2.3B in limits procured, $38mm in premium spend annually and ~200 insurance contracts; this discipline has grown extensively in recent years due to new programs being put into effect (i.e Asset Management E&O, various 40Act Fund D&O programs, EPL and CyberSecurity & Privacy Liability). Allocation of candidate?s time can be expected to be weighted more heavily to support of these programs
  • Management of the firm?s captive insurance company, Pearl Street Insurance Company
  • Drive compliance with ongoing regulatory demands, inclusive of vendor management initiatives, service level agreement documentation & management, quarterly key performance indicator (KPIs) evaluations & various regulatory required committee/board presentations, inclusive of but not limited to the Firm?s Risk Committee and the Physical Commodities Review Committee
  • Evaluate and mitigate operational risks with a particular focus on the evolving footprint of GSBank
  • Management of the framework for utilizing various insurance programs in operational risk capital and stress test processes in coordination with other segments of the Operational Risk department
  • At least 10-15 years of insurance and risk management industry work experience
  • Financial institution / asset management firm knowledge/experience preferable
  • Interest in financial markets and risk management, motivated by learning and continuous improvement
  • Ability & desire to learn new insurance products when/as necessary
  • Ability to interact with and build relationships with people from different departments and levels of seniority
  • Excellent communication & presentation skills
  • Ability to analyze, evaluate and form independent judgments
242

Head of Operational Risk Capital Resume Examples & Samples

  • The jobholder is required to contribute to maintaining an excellent relationship with the Regulators and industry bodies in respect of Operational Risk
  • Extensive knowledge of the global regulatory environment for the financial services sector and experience in working with Regulators
  • Strong analytical, planning, problem-solving, financial, and technical skills
  • Strong communications,, interpersonal. negotiating and influencing skills
  • Able to cope with pressure and tight deadlines
  • Able to conceptualize the operational impact of business change
243

Operational Risk Mgr Resume Examples & Samples

  • Assist in building knowledge and understanding of objectives, risks, and controls to enable increased Company responsibility for SOX and operational testing
  • Perform administrative tasks, including resource allocation and scheduling, management and audit committee reporting, and assisting with the annual planning process
  • Manage and oversee design and operation effectiveness testing of controls over significant accounts, disclosures and processes, as part of the company’s SOX compliance as well as Operational Risk Management Framework
  • Performing the Level 1 review of work papers, ensuring that all appropriate risks are identified and documented
  • Leading, as needed, status meetings with key stakeholders in the SOX 404 testing program, including ORM, Finance, the independent auditor, and internal audit
  • Assist in preparing quarterly reports with status of the 404 testing program
  • Act as the primary liaison with external SOX consultants
  • Evaluating performance, and appraising customer satisfaction
  • Minimum of 8 plus years of service of previous experience in public accounting or internal audit; other relevant experience may be considered
  • A Bachelor degree in Accounting, Information Systems, Computer Science, Business Administration or related field
  • Extensive audit and SOX 404 with Big Four Accounting Firm and/or corporate internal audit functions
  • Strong people management and organizational skills
  • Demonstrated ability to manage complex projects
  • Financial Services industry experience preferred
  • Experience with infrastructure, information security or computer operations risk management
244

Senior Assoc, Operational Risk Resume Examples & Samples

  • Help implement and embed the operational risk framework and processes for defining, assessing, measuring, monitoring and reporting risks for the various Corporate Centers, e.g. Business Area Risk and Controls Self-Assessment, Supplier Risk Management, Incident Loss Reporting
  • Actively engage with the First Line of Defense to document identified risks, controls, issues/findings/incidents/losses, develop KPI/KRI risk metrics, evaluate mitigation solutions, execute control validations, and monitor and consult with deal owners on vendor relationships that they manage
  • Work with Corporate Centers to perform targeted process “deep dives” as required to assess control strength and identify gaps or weaknesses and be capable of articulating and challenging identified risks, controls, issues (control deficiencies) and proposed mitigation actions. Conduct independent analysis of business area control plans and KRI/KPI validation
  • Build relationships with the stakeholders in Corporate Centers to actively promote a culture that is sensitive to identifying, measuring, mitigating and monitoring their risks
  • Develop strong working relationships with colleagues in other Control Groups such as Compliance, Audit, and Information Security to leverage synergies to help ensure we are being efficient and effective in focusing the ‘First Line of Defense’ on the key risk issues
  • Experience in the financial services or the life insurance industry is required; 5-10 years’ experience is preferred
  • Risk focused experience gained through work in Operational Risk Management, or Compliance, or Internal Audit, or Sarbanes Oxley (SOX) is required; 5-10 years’ is preferred
  • Experience with Operational Risk Management and related concepts, e.g., vendor management, IT security, internal and external fraud is preferred
  • Strong project management skills and ability to oversee multiple projects to completion
  • Proficiency in Excel, Word, Power Point. Knowledge of GRC Archer a plus
245

Operational Risk Mgr Resume Examples & Samples

  • Leads and coordinates focused or allocated resources for analysts/specialist groups
  • Identifies issues and outlines scope. Probes beyond symptoms to determine the underlying causes of problems
  • Understands and reviews risk processes to ensure the execution of the documentation needed to protect the bank’s reputation and economic capital
  • Manages control structure through effective use of the Managers Control Assessment
  • Understands the Internal Audit and ARA process
  • Bachelors degree, Masters degree preferred
246

Senior Operational Risk Anlyst Resume Examples & Samples

  • Escalates material issues to appropriate management levels for transparency and active risk management. As assigned within the corporate operational risk framework takes action to maximize effectiveness of Control Programs, such as Third Party, Information Security, Business Continuity, Records, Fraud, etc. as well as changes in management
  • As needed, works with other risk functions to develop and implement controls that mitigate excessive risks
  • Operational Risk Department: Assigned responsibility for broad areas of the Bank's Corporate Operational Risk Management function, ensures assigned areas are well designed, looks for and implements continuous process improvement, is a subject matter expert in their areas, and able to communicate/educate others on the process
  • Business Group Operational Risk Support Assigned specific LOB OR activities. Undertakes complex assessments of business unit exposures, identifying risks, analyzing and evaluating their potential impact and reviewing the strengths and weaknesses of the firm's existing controls. Requires collaboration and partnering within ORD and across business lines/support groups
  • High School - Not Applicable
  • Bachelor’s Degree in Business Administration) or the equivalent combination of education and experience - Required
  • Required License(s) or Certifications - Preferred
  • Requires deep knowledge of job area typically obtained through advanced education combined with experience. Typically viewed as a specialist within discipline. May have broad knowledge of project management
  • Requires 7 years minimum prior relevant experience
247

Operational Risk Initiatives Senior Manager Resume Examples & Samples

  • Implementing a communications strategy including identifying tools and implementing a clear vision to informing senor ORM management and the global teams of upcoming events, industry practices and critical ORM focus points
  • The communications strategy will include creating a quarterly newsletter that enables ORM senior managers to communicate globally with the organization about key events and professional goals as well as the coordination of town halls
  • Working with Functional Learning and Development to building a training program for operational risk managers
  • Working with Functional Learning and Development to create programs covering ORM Framework components Citi-wide
  • Documenting Procedures regarding the roles and responsibilities of the organization
  • Managing ORM’s book of work regarding 2nd line oversight of Citi-wide Key Initiatives
  • A presentation resource to support the Head of ORM
  • Knowledge/Experience (What knowledge/ experience of the role or the industry does the individual need, e.g. relevant work experience, industry and/or product knowledge)
248

Manager, RJF Operational Risk Managment Resume Examples & Samples

  • Assists in the development and execution of risk and control consulting activities for assigned area of responsibility in accordance with internal standards, relevant government statutes and regulations
  • Oversees or leads engagements from planning through reporting and produces quality deliverables in accordance with both department and professional standards
  • Directly manages junior staff and performs human resource management activities, including identifying performance problems and developing plans for remedial action; evaluating performance; and interviewing and selecting staff
  • Attracts, develops, and retains talent within the Risk Management organization and the Firm
  • Establishes strong relationships with senior leaders and related control groups, with particular focus in the Asset Management business segment
  • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or executive management partners
  • Analyzes complex problems, researches and organizes solutions and effectively presents recommendations to Sr. Management
  • Works with business process owners and internal/external auditors to evaluate control deficiencies, and develop risk-based solutions to address concerns
  • Interprets, applies and recommends changes to organizational policies and procedures. Maintains currency in relevant risk management processes and procedures
  • Holds entire team accountable for meeting deliverables, adhering to internal criteria and utilizing consistent methodology
  • Uses judgment to provide an overall opinion on the business unit’s control environment and communicates findings to management. Identifies opportunities for improvement in the design and effectiveness of key controls and mitigation strategies
  • Executes an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends
  • Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model
  • Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
  • Stays up-to-date with evolving industry and regulatory changes impacting the business
  • In-depth understanding of risk management practices and methodologies, including risk assessment and a solid understanding of internal control and mitigation strategy concepts
  • Specific subject matter expertise of Private Client Group or Asset Management products and services
  • Advanced investment and asset management concepts, practices and procedures used in the securities industry
  • Managing employees, either directly or indirectly through risk management engagements
  • Demonstrated ability and success in interacting with and influencing senior leadership, including executive management
  • Experience in managing against deadlines associated with a risk management engagement
  • Strong analytical skills particularly with regard to assessing the probability and impact of a control weakness
  • Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner
  • Enthusiastic, self-motivated, effective under pressure and willing to take personal risk and accountability
  • Proven ability to multitask as well as assess and change priorities
  • Ability to work well individually, and in teams, share information, support colleagues and encourage participation
  • Plan, assign, monitor, review, evaluate and lead the work of others
  • Coach and mentor others
  • Balance conflicting resource and priority demands
  • Incorporate needs, wants and goals from different business unit perspectives into risk management engagements and recommendations
  • Lead others in providing a high level of customer service
  • Bachelor’s Degree and a minimum of five (5) years of experience in a related field
249

Director, Operational Risk Mgmt Resume Examples & Samples

  • Bachelor’s Degree required; a concentration in engineering or finance discipline with heavy math/statistical focus is preferred
  • Prior experience supporting risk or compliance processes or functions is required; 7-10 years’ experience is preferred
  • Experience in individual financial services (consumer banking, wealth management, investment management, insurance, and/or and product management) is required
  • Experience with business process design is required
  • Experience with change management principles is required
  • Experience with Incident Loss programs including both internal and external data is required
  • Experience with Scenario Analysis is required
  • Experience with financial modeling and analytics is preferred
  • Project Management is preferred
250

Operational Risk Mgr Resume Examples & Samples

  • Bachelor’s degree in Finance, Accounting, IT, Management or related field of study
  • Demonstrated experience in employee management
  • History of enterprise-level project work experience with increasing responsibility
  • Understanding of Risk Management methodologies
  • Application support – preferably direct experience with eGRC technology
  • Experience with configuring and supporting eGRC platforms
  • Self-motivated, pro-active, and result-driven problem solver with excellent analytical and communication skills (both written and verbal)
  • Ability to multi-task and exhibit initiative to work across teams and collaborate effectively