Operations Control Resume Samples

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P Swift
27222 Gutmann Cliff
+1 (555) 641 1197
27222 Gutmann Cliff
p +1 (555) 641 1197
Experience Experience
08/2016 present
Dallas, TX
Operations Control Manager
Dallas, TX
Operations Control Manager
08/2016 present
Dallas, TX
Operations Control Manager
08/2016 present
  • Responsible for ongoing control improvements for the location using a risk based approach, focusing on items that pose the higher risks
  • Work closely with local country Compliance Officers, as well as Canada Compliance-
  • Control advisory to senior Operational managers
  • Representation of Operational Control Management at client presentations
  • Drive and deliver India GSC control agenda working in collaboration with the Line of Businesses
  • Regulatory changes, and new business initiatives and, performing risk and control related testing/QA
  • Weekly and monthly control reporting for MD management
10/2013 06/2016
New York, NY
Depository Operations Control
New York, NY
Depository Operations Control
10/2013 06/2016
New York, NY
Depository Operations Control
10/2013 06/2016
  • Ensures that adequate training/cross training is provided, identify training and developmental areas and establish performance standards for the section
  • Work closely with local DO management to determine priorities and objectives for performing reviews
  • Foster and promote Northern’s commitment to a strong risk management culture by developing a control mindset within the business
  • Assist with periodic procedure reviews for existing processes, as well as those for new processes created by implementations and take-on activity
  • Produce accurate management information reporting and analysis to deadline
  • Partner with various risk management and control groups throughout the organization
  • Assist with operational and/or corporate risk & control initiatives where directed
09/2008 05/2013
Dallas, TX
Operations Control Analyst
Dallas, TX
Operations Control Analyst
09/2008 05/2013
Dallas, TX
Operations Control Analyst
09/2008 05/2013
  • Responsible for project management - developing and coordinating projects with Operations Senior Management
  • Direct and conduct internal and external audit requests and provide findings and recommendations to management
  • Working as a partner to deliver control improvements and new control initiatives and ensure they are embedded into operational teams
  • Facilitate documentation related to complaints or DOI findings to report to management and provide for approval by Legal and Compliance
  • Assisting the Control Manager in balance sheet account attestation
  • This job description is not intended to be all-inclusive. The Analyst will also perform other reasonably related business duties as assigned
  • Participate on profit improvement programs discussions and contribute with new initiatives, propose ways to measure the initiatives, etc
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Northwestern University
Bachelor’s Degree in Accounting
Skills Skills
  • Strong analytical and numerical skills. Detail oriented
  • Ability to prioritize both own and teams objectives
  • Business level English, and strong reading and writing Japanese
  • Product &/or Operational knowledge Cash products
  • Able to navigate around the DB infrastructure and organisation
  • Excellent verbal & written communication skills
  • Advanced knowledge of Excel, Access, Word, Powerpoint etc …
  • Good planning & organizational skills
  • Advanced knowledge of Excel, Access, Word, Powerpoint etc
  • Capability to work effectively and efficiently under pressure
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Operations Control Specialist Resume Examples & Samples

  • Monitor activity to ensure compliance with department process, procedures and service level agreements
  • Performs data collection and analysis in compliance with audit program requirements to assist in identifying, analyzing and recommending changes to core business processes to minimize risk
  • Reviews procedures and federal regulations; completes gap analysis and then works with business unit leaders to create procedures to eliminate gaps
  • Recommends process improvements for internal audit processes and procedures
  • Maintains strong relationships with other areas of the firm e.g. Internal Audit, Compliance
  • Benchmarks industry best practices and maintains currency in audit processes and procedures
  • May support regulatory initiatives
  • Bachelor's degree in a related field or an equivalent combination of education and work experience
  • Will typically have at 2 years' experience in financial services /or back/middle office Operations
  • Excellent analytic, problem solving and business judgment and organization skills

Operations Control Management Resume Examples & Samples

  • Ensure that an appropriate and robust Business Impact Analysis (BIA) and Business Resiliency Plan (BRP) is created and maintained in accordance with Corporate Policy & Standards and best practices
  • Ensure that testing of the business resiliency plan is complete and compliant with Corporate Policy and Standards
  • Ensure that all resiliency metrics and reporting requirements, both firm wide and CIB, are met to the required quality standard and target date
  • Partner with the LOB function owner to develop and maintain the Business Impact Analysis (BIA) and Business Resiliency Plan (BRP). This will require liaison with their counterparts in other regions to ensure interdependencies are identified and accounted for
  • Ensure that copies of BRPs are distributed to the team and everyone is conversant with the contents and understands their role in the recovery plan execution
  • Drive the creation and execution of Test plan and coordinate testing, with the engagement of all critical management and staff and within appropriate timescales to ensure compliance with Corporate policy
  • Provide support, as requested, to deliver resiliency documentation and assist the plan owner when responding to audit (Internal or External) or Regulator queries
  • Assist in planning, documenting and executing resiliency table top exercises
  • Tracking and delivering all compliance metrics relating to BIA, Plan and Risk Based Testing policy and standards and responding to Global requests for Business Resiliency information
  • Partnering with their LOB to ensure regular reviews of the Business Recovery Plan are conducted, all issues and gaps recorded, action plans for remediation agreed by management and target dates set for resolution
  • Assist the Regional (RRM) & Business Resiliency Managers (BRM) in completing resiliency risk assessment reviews
  • Achieve or maintain the appropriate level of business resiliency knowledge and understanding to meet the requirements of the role through training and practice
  • Significant professional experience in business resiliency or a risk/audit/business background with demonstrated career progression
  • Strong coordination and control skills (e.g., develop and manage cross locations and Lines of Business strategies, communications, and implementations)
  • Strong project management skills (e.g., planning, issues escalation, reporting, management presentations, etc)
  • Excellent communication, relationship building and influencing skills; ability to engage with senior management
  • Fluent in English (Cantonese and /or knowledge of Mandarin useful but not compulsory)
  • Strong analytical and quantitative mindset and skills
  • Presence and ability to engage with senior management
  • Flexibility and ability to partner with other team members across locations
  • Experience in managing global initiatives and matrixed organization
  • 5+ years in Business Resiliency / Operational Risk Management or similar discipline of risk identification and management
  • Track record in business resiliency or a risk/audit/business background
  • Strong communications skills and proven record of driving process improvement

O&t-etd Operations Control Resume Examples & Samples

  • Support daily margining and settlements with exchanges, carry broker and the firm’s clients - computation and segregation of clients’ funds
  • Handling of bank accounts reconciliation including investigation of any breaks
  • Monitoring of margins and positions limits including escalation of any excessions prepare and submit exchange and regulatory reporting
  • Daily/weekly/monthly management and control reporting
  • Closely liaise with internal teams as well as exchange and clearing brokers to promptly resolve any trade breaks or exceptions participate in documentation of business requirements and testing of new processes and systems
  • Minimum 3-5 years experience in Operations
  • Additional language skills such as Japanese, Chinese, Bahasa is a plus
  • Strong team player who works well in a global and regional team environment
  • Solid time management skills with ability to multi-task and resolves problems under pressure
  • Strong controls mindset and good understanding of key operational risks and controls
  • Take initiative to continually improve Operations process and controls

O&t-etd Operations Control Resume Examples & Samples

  • Computation and segregation of clients’ funds
  • Monitoring of margins and positions limits including escalation of any excessions
  • Prepare and submit exchange and regulatory reporting
  • Participate in documentation of business requirements and testing of new processes and systems

Operations Control Manager Resume Examples & Samples

  • Risk/Control Reporting;, supporting Bank Policy implementation and governance,
  • Attestation processes,
  • Regulatory changes, and new business initiatives and, performing risk and control related testing/QA
  • This requires co-ordination across internal operations and control groups within the Bank
  • Provide guidance in evaluating the risks and controls and defining appropriate remedial actions
  • Proactive review of Operations and Finance related control processes and reporting
  • Advise on risks, appropriateness of controls, improvements needed and best practice
  • Take lead on ad-hoc projects and control initiatives
  • Support the wider Operations control strategy, promoting a control culture within the Operations division
  • Ensuring that significant Risks are appropriately and timely escalated through Control Governance channels
  • Minimum 2 years work experience in Financial Services Operations
  • Experience in risk and control policies, frameworks and processes
  • High level of capability in metrics and data analysis
  • Audit/controls testing background preferred
  • Knowledge of Bank Policies, Regulations and Governance
  • Analytical with attention to quality and strong problem solving skills
  • Ability to work under pressure managing multiple tasks to tight deadlines and / or unexpected changes
  • Excellent communication and relationship skills across all management levels
  • Technical – Strong Microsoft (Excel, PowerPoint, Word, Access) SharePoint and Web Based skills

Operations Control Centre Duty Manager Resume Examples & Samples

  • Monitor, review, and interpret security alerts/notifications and oversee and engage technical resources to manage escalations and service level agreements
  • Continually update clients and Bell’s internal senior management and executive staff on high priority situations
  • Call-out and engage the Security Incident Response Team (SIRT) when appropriate
  • Maintain a shift log and write a end of shift report covering all issues encountered on shift
  • Conduct shift handovers to incoming shift personnel
  • Manage the work of assigned “on-duty” staff
  • Maintain the incident “situation awareness” reporting system
  • Write or assist others with the preparation of post-mortem reports for all high priority incidents and missed SLAs
  • Maintain operational procedures documents and/or Wiki entries affecting OCC operations
  • Read, understand, and brief on contractual service level agreements
  • Contribute to continuous improvement of the OCC and whole-team practices and procedures through mentorship, and identification of development opportunities for assigned resources
  • A SECRET Security Clearance is required (non-negotiable)
  • Bachelor or specialized college degree in Computer Science, System Engineering or another related IT program
  • Minimum of 5 years of industry experience managing technical work in the information systems field
  • Ability to translate complex and ambiguous problems into actionable components and lead technical resources through a solution in a timely fashion
  • Excellent communication, presentation, and relationship skills, especially the ability to convey advanced technical topics to less technical management/executive teams
  • Thrives on challenge and change; reacts with proactive and innovative work solutions
  • Attention to detail on tracking, incident reporting, forensic data use case management
  • Ability to work in a team with very little supervision
  • Excellent influencing and negotiation capabilities
  • Work well under time constraints/pressure
  • Must be flexible and able to adapt to shift schedule changes to accommodate ever changing business needs
  • Language: Bilingual Preferred but not essential

Asset Management Operations Control Analyst Resume Examples & Samples

  • Bachelor’s degree or higher - Accounting, Finance, or Business preferred
  • Five to seven years of experience in the Financial Services industry with a good knowledge & deep understanding of the risk & controls environment
  • Excellent attention to detail, solid organization skills and the ability to accurately manage large volumes of information
  • Outstanding written and verbal communication skills; ability to proofread
  • The ability to pivot constantly and efficiently from one initiative to another in a fast-paced environment
  • Capacity to construct efficient processes; desire to revisit processes routinely in the interest of ongoing enhancement
  • Self-starter, organized, detailed-oriented and ability to work independently
  • Solid competency in Microsoft applications including Word, PowerPoint, Access and Excel
  • An effective team player, able to work with people of all levels
  • Strong problems resolution and listening skills
  • Ability to organize and prioritize work, meet tight timelines
  • Ability to adapt to changing business priorities; flexibility is key

Operations Control Analyst Resume Examples & Samples

  • Be a point of contact for Operations for financial issues related to the whole region, consolidate financial information from the region
  • Provide information and answer questions about costs, allocations, cost centers, taxes
  • Cost centers monthly reports, presentation, reviews per area, wrong bookings investigations and corrective actions
  • Support and coordinate Operations cost center budget process
  • Hourly rates calculation and maintenance in SAP (hourly rates and work centers)
  • Provide P&L information (OB, NS, UM, etc) reports and analysis
  • Provide information to prepare financial KPIs related to Operations
  • Follow up and take action on under-over absorption results
  • Review and people mapping in order to guarantee the correct payroll cost allocation
  • Support on time reporting issues and follow-up
  • Implement processes that are not in place yet and review existing ones
  • Participate on profit improvement programs discussions and contribute with new initiatives, propose ways to measure the initiatives, etc
  • Business cases reviews
  • Support on decision related to costs allocation (project, cost center)
  • Support on several analysis requests: overhead, costs per job level, results analysis as forecast for resources dimensioning
  • Support on Intercompany process
  • Financial Model Knowledge
  • Accounting & Reporting Skills
  • Financial Analysis Skills
  • Business Understanding
  • Ericsson Business Process Knowledge
  • English Skills
  • Change & Improvement Managements Skills
  • Bachelor Degree in Finance/ Accounting/ Economics/ Business Administration or Master in Business Administration (MBA) or equivalent qualifications
  • The candidate should have 2-5 years experience in similar position or skills to fulfill the position
  • Planning, Forecasting and Internal Control related skills
  • Advanced English level. Must be able to participate actively in conference calls, communicate clearly with distinct audiences while reporting to multiple levels of the Organization
  • Spanish is a differential
  • SAP knowledge is a differential
  • Advanced MS Office skills: Excel, Word, Powerpoint, Access, VBA is a differential
  • Strong System and Data Skills in extracting and manipulating data from multiple financial systems
  • Proactive team player, with demonstrated ability to work in a changing and dynamic environment, hands-on, able to work independently and results-oriented
  • A degree in Business Administration or the equivalent experience

Cib Operations Control Management Associate for Direct Custody Resume Examples & Samples

  • Work with appropriate Operations leads to determine the acceptable range for test results and performance
  • Assist Operations staff in identifying and resolving problems
  • Actively participate in numerous local and regional control forums X LOB representing Custody Operations Team
  • Minimum 3 years of experience working on financial institution, preferably on Custody (Operations, Finance or Audit)
  • Strong knowledge on risks and controls

AM, GIM Operations Control Manager, VP Resume Examples & Samples

  • Operational Control & Regulatory Oversight
  • Assist with maintaining and improving the control environment, i.e. Support RCSA Facilitation & Control, Coordinate Business Resiliency, Improve Audit ratings, Coordinate Application Recertification and Respond to the Changing Regulatory Environment
  • Understand and assess the adequacy of controls, identify control weaknesses and provide recommendations to resolve them. Prepare presentations, coordinate meetings and assist follow up on action plans. Ensure goals are successfully executed and all issues, risk and gaps are monitored and timely resolution found
  • Oversee and coordinate Operations responses to Regulatory requests. Facilitate improvements to systems and processes as needed
  • Identify / Implement leading Key Risk Indicators (KRIs); monitor these indicators on an ongoing basis and look for opportunities to drive improvements; facilitate effective communications to Operations and senior management related to these KRIs
  • Audit Preparation – coordinate global audit preparation in partnership with Oversight & Control
  • Corporate Mandates – ensure timely delivery on key Risk & Control deliverables impacting operations
  • Demonstrated passion/creativity using technology to influence management reporting and deliver solutions for effective management of risk through reporting
  • Outstanding analytical skills, excellent business judgment, strong problem solving and effective decision making ability
  • Ability to be a leader but also work within an overall team environment
  • Ability to adapt to work flow variation and change
  • Ability to negotiate and influence others outside of direct reporting responsibility
  • Experience in a investment management business preferred
  • Experience in risk management, audit, or operational roles preferred
  • Bachelor's degree (BS / BA) required
  • Advanced MS SharePoint
  • Advanced MS Office Suite (Access, Excel)
  • SAP Business Objects a plus
  • Excellent time management
  • Detail-oriented; committed to quality
  • Forward-looking and creative thinker, with a general problem-solving mindset

GRU Operations Control Tampa Change Resume Examples & Samples

  • Strong analytical ability and experience with large data sets
  • Understanding of multiple product classes
  • Strong writing skills and experience with preparation of status reporting
  • Understanding of management reporting requirements

Asset Management Operations Control Manager VP Resume Examples & Samples

  • 5- 7 years of experience in the Financial Services industry with a good knowledge & deep understanding of the risk & controls environment
  • Analytical skills - Candidate must be highly analytical, great attention to detail, solid organization skills with experience in collecting, analyzing, and synthesizing data from multiple sources using Excel
  • Ability to successfully influence many different groups and individuals to deliver high quality and timely deliverables
  • Teamwork skills - Candidate must be flexible in his/her work style and be able to work with stakeholders and colleagues at all levels
  • Must be proficient in MS Excel, PowerPoint and other Office applications; strong modeling skills a must

Am-gwm Operations Control Manager Resume Examples & Samples

  • Manage Operational Risk in GWM Operations; assess business risks and work with the Operations teams to ensure adequate detective and preventative controls are in place to mitigate risk
  • Support efforts around Regulatory impacts to Operations, including quarterly reporting, change activity, mandatory training etc
  • Partner with HR and Compliance to monitor compliance with licensing, including Ops 99 certification requirements
  • Oversee coordination of and perform Pre-Audits / Targeted Control Reviews, including communication of lessons learned across GWM Operations
  • Globally monitor GWM Operations Audit, Compliance Reviews and Regulatory assessments / exams, ensuring sharing of areas of focus and lessons learned
  • Partner with the GWM Operations Risk Leadership Team to implement consistent controls and practices across operations
  • Represent GWM Operations as subject matter expert on cross-functional operational risk initiatives, effectively communicating the status and issues to interested parties
  • Lead / Participate in other ad-hoc risk initiatives
  • Self-directed and self-motivated
  • Strong time management
  • Detail oriented; committed to quality and continuous improvement
  • Experience in risk management, audit, compliance roles with increasing responsibilities and diverse experiences in addition to other work experience

Cib Operations Control Manager VP Edinburgh Resume Examples & Samples

  • 5 - 10 years experience in a risk, audit or fund accounting environment
  • Professional, self-motivated, and adaptable person who can work effectively under pressure
  • Ability to understand business processes and their risk implications, analyze complex situations, reach appropriate conclusions, and make value-added and practical recommendations
  • Excellent investigation and problem solving skills with great attention to detail when required

Operations Control Unit Head Resume Examples & Samples

  • 10+ years of experience in Core Ops and/or Control function,
  • Knowledge of applicable Operational Policies / Procedures / Control Standards, Information Security and Continuity of Business processes,
  • Excellent interpersonal, written and verbal communication skills,
  • Analytical inquisitiveness and problem solving, ability to ask insightful questions, work through complexity and identify issues/exceptions clearly,
  • Able to interpret and apply policies, standards and procedures, and technical requirements,
  • Possess the ability to work with various levels of management (including other control/audit functions of the Bank), and the ability to build and maintain effective working relationships,
  • Confident in ability to achieve objectives by working with and influencing others, who are not under his/her direct control,
  • Strong risk analysis, problem solving, follow-up skills, and attention to detail,
  • Ability to work on several initiatives concurrently, to cope with changes in priorities with tight deadlines

CIB Ops-operations Control Resume Examples & Samples

  • Work closely with Business partners, Technology, Operations, Compliance to complete KYC
  • Act as liaison between Japan and global COB team to complete onboarding of Japan clients
  • JSDA Internal Administrator, JSDA 1st and 2nd Class

Cib-operations Control Management Resume Examples & Samples

  • Provide an independent, objective view of operational risk assessments, mitigation strategies, operational risk trends, and emerging risks
  • Work together with local, regional and global OCM and cross-functional teams and ensure proper reporting and escalation to Operations Senior management
  • Actively participate in numerous local and regional control forums X LOB representing Banking Controls Team
  • Minimum 3 years of experience working on financial institution, preferably on Banking (Operations, Finance or Audit)
  • Strong communication skills - written and verbal in Portuguese and English. Spanish is a plus
  • Organized

Operations Control Manager Resume Examples & Samples

  • Manage escalations and response to issues
  • Must demonstrate excellent communication skills, to both technology and business leaders
  • Delivery and Execution focused
  • Experience managing a geographically distributed and culturally diverse organisation
  • Mentoring and working as part of a close knit team
  • Take ownership and accountability for all related activities
  • Stays current with emerging technologies related to respective technology domain
  • Works closely with the local application support teams on emerging issues
  • Ensure regional compliance to all corporate, regulatory and legal requirements

Operations Control Client On Boarding Specialist Associate Resume Examples & Samples

  • Collecting and verifying client documentation and put them into practice
  • Work to complete KYC with Business partners and other teams
  • 3 years experience in financial services
  • Business level English, and strong reading and writing Japanese
  • JSDA Internal Administrator, JSDA 1st and 2nd Class preferred

Operations Control Associate Resume Examples & Samples

  • Take the lead in creating quality assurance review plans and execute efficient and effective methods to test controls, including data analysis, evaluation of transactions and interviewing key control owners with some assistance and oversight
  • Review and test internal controls over the accuracy and completeness of financial records and reports
  • Evaluate the effectiveness of operating policies and procedures
  • Ensure that such operating policies and procedures are in line with current regulatory requirements
  • Prepare review reports which include summaries, findings, conclusions, and recommendations
  • Coordinate with Finance to analyze the monthly FOCUS filing to FINRA to ensure all Operations data is accurate and all balances are explained appropriately
  • Document and comply with SOX controls supporting the team�s responsibilities
  • BA in Accounting or Finance
  • 3 - 6 years of related experience, preferably in the finance or accounting, Ops background a plus
  • Experience in audit or the relevant specialty a plus
  • Strong communication skills, both written and verbal. Emphasis on direct communication with Senior level management
  • Strong analytical skills, attention to detail, and ability to work independently
  • Team player, able to work well with all levels of the Firm, as well as with outside professionals

Operations Control Risk Analyst Resume Examples & Samples

  • Facilitate migration of process documentation to business owners, developing a detailed plan and timeline for migration
  • Provide support and subject matter expertise to assist in the production of SOPs and other control documentation within existing processes, new implementations and key initiatives, ensuring documentation is in place for all critical processes
  • Oversee management of controls documentation within operations, including but not exclusively SOPs and policy activity, ensuring
  • Accurate documentation reflective of UKHL policies, procedures and regulatory obligations
  • Review of documentation or supporting MI to identify areas for improvement and delivery of any enhancements
  • Timely production and renewal of all documentation including accompanying RCSA (Risk Control Self-Assessment), schedule of expiry and communication plan, utilizing network to ensure deadlines are met
  • Approval via the appropriate forum or from the relevant stakeholders
  • Appropriate documentation and record management including storage and archiving
  • Resolution and closure of all audit items
  • Escalation of high risk items to senior stakeholders where the above cannot be actioned
  • Enhance and develop operational understanding of regulatory requirements and risks relating to controls and control documentation, proactively sharing knowledge and best practice with operational areas
  • Develop a structured controls review process and output schedule to assist in building a rigorous and effective controls framework
  • Undertake controls reviews in accordance with agreed scope/procedures and provide informative, meaningful and actionable outputs highlighting risks and process failures to the Controls Manager with proposals for enhancement or resolution
  • Undertake analysis of new processes ensuring adequate controls are imbedded within any implementation and are reflected in all documentation including SOPs
  • Develop, maintain and constantly enhance the controls review processes and supporting management information, in line with all regulatory and business requirements to provide adequate assurance to key stakeholders
  • Identify areas of non-compliance within all relevant policies, procedures and handbooks, working with operational areas to establish plans for closure on any breaches
  • Support the Getting to Strong (GTS) programme with proactive engagement in business initiatives as required
  • Possess highest level of integrity with adherence to GE Values
  • Proficient understanding of GEMHL operations activities and operational systems
  • Knowledge of key legislation (e.g. CCA, DPA, AML, FSA, FOS)
  • Excellent written and verbal communication skills with ability to influence range of stakeholders
  • Clear thinking with effective prioritization and planning skills
  • Experience in either a team leader or quality role
  • Self- starter with demonstrated initiative
  • Ability to take on and understand new processes for additional operational areas
  • Proficient in use of Microsoft office programs including Word, excel, Power point and Visio
  • Ability to analyze, interpret and assimilate information
  • Ability to build relationships and good organizational awareness
  • Excellent planning and organizing skills
  • Self-starter used to working independently and using their own initiative
  • Experienced in change management
  • Analytical thinker with experience in utilizing analysis tools

Operations Control Analyst Resume Examples & Samples

  • Ability to conduct an effective interview and/or present information in one-on-one and small group situations to business unit staff and/or management, audit team and external auditors
  • Knowledge of finance and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data
  • Demonstrated understanding of audit and internal control concepts
  • Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems
  • Identify complex problems and review related information to develop and evaluate options and implement solutions
  • Effectively manage one's own time and the time of others
  • Communicate effectively in writing and verbally as appropriate for the needs of the audience
  • Ability to interact positively and communicate with all levels of staff and management
  • Ability to maintain confidentiality; ability to consider the relative costs and benefits of potential actions to choose the most appropriate one
  • Ability to adapt to change quickly and multi-task
  • Knowledge of computer hardware and applicable software. Proficient in Microsoft Office Suite Access, Microsoft Outlook, SQL and Internet
  • B.S. or B.A. in Accounting, Finance or related field
  • Professional designation or eligibility (CPA, CIA, CFE, OR CISA)
  • 3-5 years of experience in accounting, internal auditing or public accounting
  • 3 to 5 years in financial industry experience

Operations Control Manager Resume Examples & Samples

  • Representation of Operational Control Management at client presentations
  • At least 5 years experience in Financial Services Operations, Risk Management or Audit preferred
  • Analytical and able to write concise reports. Excellent articulation at senior management level
  • Able to be compelling and work with a variety of teams across Operations, Technology and Product
  • Able to work to multiple deliveries and be able to prioritize and drive execution under own initiative
  • Able to present to clients and external auditors with confidence

Country Head of ICG Operations Control Resume Examples & Samples

  • Maintain front-to-back line-of-sight on the monitoring of risks and controls across all ICG O&T processes
  • Represent ICG O&T on risk and control matters to support the Country O&T Head, and maintain oversight over emerging and existing key risks, issues, control weaknesses, control processes, corrective actions, control validations, and control enhancement initiatives front-to-back for ICG O&T
  • Participate in relevant risk and control committees, management meetings, and forums (e.g. Country Business Risk, Compliance, and Control (BRCC) committee, Legal Entity Governance Committee, etc.) to represent the risk and control aspects of ICG O&T
  • Lead or support as appropriate the root cause analysis of material risk events and control breaks, and establish an effective feedback loop to ICG Operations Unit management and the Country O&T head. Support the ICG Operations Unit management in drafting appropriate corrective and preventive actions plans
  • Assess, evaluate, and validate controls through processes and tools such as the MCA, KRIs, and the AsPac electronic Departmental Control Functional Checklist (eDCFC) process, and work with the process owners to develop action plans that remediate the weaknesses. Establish reasonable thresholds for KRIs, and supplement KRIs to cater for local regulatory requirements
  • Coordinate and support the review of country ICG Operations Units processes and controls, both at the inception of new processes and controls, and when these undergo material change, including appropriate linkage with the MCA
  • Track and review deviations and risk acceptances when raised and at the time of renewal to assess the need for deviations, and ascertain that country ICG Operations Units have
  • Establish an effective process to escalate and socialize material risk events and issues with country and regional management in line with the Regional Issue Socialization and Notification policy issued by the AsPac Chief Administrative Officer (CAO)
  • Coordinate the overall MCA and Annual Risk Assessment (ARA) processes for the country ICG Operations Units, track their status, ensure timely completion, and escalate exceptions
  • Support the Country ICG Operations Units in performing their ARA based on the analysis of internally raised risks and issues (management-raised issues, Compliance review issues, Internal Audit review issues etc) and externally raised risks and issues (regulatory issues, KPMG observations, etc.)
  • Perform a review of the country ICG Operations Units’ PRCs (Processes, Risks, and Controls) for quality assurance and completeness
  • Analyze MCA issues and trends, work with the business on implementing appropriate corrective actions, and share best practices
  • Track issue and CAP status and progress, and escalate to the Country O&T Head any issues and CAPs that are at risk of missing their target dates at least 30 days ahead of the targeted closure date. Support the country ICG Operations Units on ‘at-risk’ issues and CAPs
  • Act as ‘gate keeper’ and ensure data quality by centrally reviewing and documenting Management-Raised Issues (MRIs) and associated CAPs along with compensating controls and IBAM (Issues Being Addressed by Management) checklists in the global iCAPs system for issues and CAPs that have been drafted by the country ICG Operations Units
  • Ownership for issues and for developing and implementing CAPs remains with the respective country ICG Operations Unit heads
  • Perform quality assurance on completed CAPs in the iCAPs system prior to formal validation by other control and assessment functions such as Internal Audit
  • Support the country ICG Operations Units on reviews and audits involving Operations by proactively engaging with Auditors and reviewing and responding to draft findings issued by reviewers
  • Notify ‘at-risk’ audits to the country ICG Operations Units Heads and the Country O&T Head
  • Provide regular documented reporting on active audits and reviews
  • Minimum ten years in the Financial Services industry
  • Minimum three years in an Internal Audit, Risk Management, or Control Management-related role
  • Ability to lead and drive controls across the institutional clients products and functions irrespective of reporting lines
  • Ability to build rapport and work closely with key country and regional stakeholders and partners within and outside the country ICG Operations Units
  • Strong understanding of institutional clients operations Capital Market Operations, Trade and Treasury Operations and Security and Custody Services Operational processes and products as well as Operations and Technology
  • Up-to-date understanding of key risk and control concepts, tools and trends relating to risk identification, rating and prioritization, mitigation, and reporting, Operational Loss treatment, as well as the Basel Committee on Banking Supervision Accords (Basel I/II/III) and the COSO (Committee of Sponsoring Organizations of the Treadway Commission) framework
  • Proficient in the use of basic Microsoft applications (Word, Excel, PowerPoint)
  • Minimum Bachelor’s degree or equivalent professional qualification

Operations Control Analyst Resume Examples & Samples

  • Minimum of 1 year customer service experience in call center environment in the Banking/Financial industry handling
  • Ability to tactfully handle customer concerns
  • Ability to work within the operating hours and days for this position as outlined in the posted job requisition as well as overtime as needed
  • Excellent verbal and interpersonal communication skills
  • Proficient written communication skills
  • Strong critical-thinking and problem-solving skills
  • Detail-oriented and adaptable to change while receiving regular feedback
  • Comfortable in a fast-paced work environment while continuously learning on the job
  • Dependable, results-driven and achievement-focused
  • Self-motivated, people oriented team player
  • Champions for process improvement Desired Skills
  • Customer Information Protection (CIP) and/or Customer Due Diligence (CDD) research and remediation knowledge
  • An appetite and aptitude for reading and understanding governmental and legal compliance documentation
  • Demonstrate leadership skills
  • Financial or banking acumen
  • Proficient in Microsoft Word & Excel

Ais-operations Control Management Resume Examples & Samples

  • Experience in operational risk analysis, process improvement, end-to-end process reviews or similar roles
  • Masters or Bachelors Degree with relevant & equivalent experience
  • The incumbent should possess conceptualization skills with strong implementation capabilities
  • Strong written and verbal communication skills and proven ability to work with senior management
  • Strong knowledge of standard desktop applications: MS Office - PowerPoint, Excel, SharePoint and Outlook
  • Ability to work with tight timelines and in demanding and dynamic environment
  • Ability to effectively influence peers and business partners to achieve objectives
  • Demonstrated ability to manage multiple tasks and must be able to work independently as part of a small high impact team
  • Must be able to prioritize workload and adapt to changing demands
  • Demonstrated ability to create a collaborative environment by creating a strong network to achieve the desired result

Asset Management Operations Control Manager Resume Examples & Samples

  • The J.P. Morgan Private Bank, which includes both the Ultra High Net Worth and High Net Worth businesses, offers individuals and families personalized, comprehensive financial solutions that integrate sophisticated investment management, capital markets, trust and banking capabilities
  • Minimum experience required: 10 years of experience in financial controls or related experience
  • Strong knowledge of quality control techniques/procedures

Operations Control Associate Resume Examples & Samples

  • Promoting a strong risk and control culture
  • Performing risk analysis and monitoring, including implementation and oversight of the Risk & Control Self-Assessment process in Operations, and the development and enhancement of risk metrics
  • Issue management, including monitoring Operations risk events, providing appropriate challenge in the determination of required mitigating actions, monitoring actions through to completion
  • Executing testing and quality assurance reviews of Operations processes and controls
  • Detailed understanding of Operational Risk concepts
  • Product knowledge of either, Rates/Equities/Fixed income/Credit products

Cib-operations Control Manager Resume Examples & Samples

  • Results oriented; ability to effectively prioritize work and deliver against multiple
  • Excellent verbal & written communication, influencing, presentation and interpersonal skills, the ability to develop effective credible relationships with Operations, functional, support partners and auditors
  • Excellent knowledge and understanding of global investment markets, instrument types, NAV Production and accounting policies essential
  • University degree preferable but not essential

Cbna-o&t-core Operations Control Lead Resume Examples & Samples

  • Minimum three years in an Internal Audit, Risk Management, or Control Management-related role will be beneficial
  • Understanding of consumer business, products and processes
  • Sound background in retail bank products, in particular high volume lending
  • Sound understanding of the regulatory framework surrounding lending products (Include country specific Acts, Rules, Regulations, etc.)

Operations Control Analyst Resume Examples & Samples

  • Strong analytical skills & critical thinking with the ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems
  • Ability to communicate effectively in writing and verbally as appropriate for the needs of the audience
  • Interpersonal Skills – ability to interact positively and communicate with all levels of staff and management
  • Bachelor degree in Accounting or Finance. CPA, CIA, CFE or CISA license desired
  • 3-5 years of experience in accounting, internal auditing or public accounting required
  • 3-5 years financial industry experience desired

Cib-operations Control Management Resume Examples & Samples

  • In partnership with business executives, establishing and driving business control forums and key risk indicator and risk control self reviews
  • Coordinating internal/external audit and regulatory engagements
  • Addressing regulatory, compliance and customer issues with urgency and accountability
  • Managing the risk control self-assessment end to end process
  • Early identification and escalation of control problems and facilitating incident reviews and reporting
  • Facilitating deep dive reviews using a risk based approach to identify trends
  • Formalising quality assurance plan to test the operational effectiveness of key controls on a periodical basis
  • A relevant tertiary qualification
  • A minimum of seven year’s relevant experience in securities services, either in operations or in a risk and control function
  • Excellent understanding of custody and fund services products and markets and the role of a custodian
  • Solid understanding of controls and how to apply them to different processes and businesses
  • Excellent communication skills with the ability to engage at all levels

Markets Operations Control Analyst Resume Examples & Samples

  • Risk/control reporting, the provision of support to regulatory and bank policy implementation and governance process change, this requires co-ordination across internal operations and control groups within the Bank. Responsibilities
  • Provide guidance in the identification and evaluation of operational risks and appropriate compensating controls including the definition of appropriate remedial actions
  • Proactively review Operations and Finance related control processes and reporting / MIS, advise on inherent / residual risks, the appropriateness of existing controls, improvements needed and best practice
  • Productivity drives. Identifying and implementing common control process efficiencies
  • Participation in ad-hoc projects and control initiatives
  • Ensure significant risks are identified and escalated through the appropriate Control Governance channels in a timely manner
  • Support wider Operations Control and Reporting strategy, promoting a culture of compliance and control within ICG Operations and Technology
  • Experience of working in Financial Services Operations
  • Experienced and adept in the production and manipulation of metrics and related data analysis
  • Knowledge of financial services policy, regulation and governance
  • Analytical, with excellent attention to detail and strong problem solving skills
  • Able to work under pressure managing multiple tasks to tight deadlines and / or unexpected changes in scope
  • Willing to question/challenge existing processes and seek improved outcomes
  • Excellent communication and relationship skills, comfortable with all management levels
  • Technical – Strong Microsoft (Excel, PowerPoint, Word) SharePoint and Web Based skills
  • Financial Accounting qualifications e.g. ACCA, CIMA beneficial but not essential

Core Operations Control Oversight Manager Resume Examples & Samples

  • Risk Identification, Analysis, and Management
  • Coordination of Process Reviews and ‘Deep Dives&#8217
  • Implementation of corrective action plans
  • Professional qualification (CPA, Internal Audit) preferable
  • Previous experience in an Audit, First or Second line Operational Risk environment essential
  • Other risk experience (e.g. Credit Risk will also be considered)
  • Ability to observe and understand business processes across all areas of consumer banking, ensuring processes are documented completely and accurately
  • Proactive in researching business best practice concepts in order to apply as appropriate
  • Solid listening skills and ability to identify gaps in logic – inquisitive
  • Strong organization and follow up skills including the ability to handle competing priorities and meet all deadlines and commitments
  • Strong understanding of process and controls concepts, including risk identification, monitoring frameworks and methodologies
  • Adaptable to change and constantly seek opportunities to improve process and controls
  • Excellent interpersonal skills with the ability to interact with staff at all levels
  • Ability to give and follow instructions accurately and efficiently
  • Proactive in asking clarifying questions to ensure work effort is directed wholly toward desired outcome
  • Highly motivated and pro-active individual who is able to work under pressure
  • Sound background in retail banking
  • Experience in dealing with auditors or regulators preferable
  • Understanding of regulatory obligations surrounding consumer banking products
  • Ideal candidate should have at least 5 years of internal audit/compliance/risk background gained in consumer banking
  • Highly motivated and results driven
  • Ability to manage stakeholders and build trust based relationships
  • Ability to breakdown and communicate technical/complex concepts to a broader audience

Operations Control & Risk Lead Resume Examples & Samples

  • As regional head, the role provides direct support to the APAC Group Operations head in a control and regulatory capacity
  • Works closely with the APAC Operations Head to identity, escalate and review control issues in the region. A key focus will be on regional and regulatory issues
  • Represents Group Operations in committees and meetings as appropriate. If appropriate, leads the remediation of regional issues and ensure actions and owners are identified and carried through
  • Serves as regional APAC Group Operations faceoff and liaison to external auditors, internal audit and regulators
  • Provides an overview of the state of the control environment as appropriate
  • Works in conjunction with OC&R colleagues in other regions to design and implement globally a strong control framework across Group Operations that not only reports on current control standards but also seeks to pro-actively identify and monitor areas of relative weakness
  • Provides local oversight for the OC&R team based in the region working in a matrix structure with the global functional heads
  • Ensures that qualified, competent staff are hired, retained, trained and rewarded in the region and are being utilized to their optimum across the OC&R team

Custody Operations Control Analyst Resume Examples & Samples

  • Perform reviews / controls over Custody accounts (Suspense, Deferred, commissions earned not collected, Sundry, Receivable)
  • Reconcile Custody related Nostro accounts and Securities Positions
  • Report positions breaks, open cases to the concerned business managers
  • Prepare Internal Control reporting required by the Moroccan stock exchange authority and the Central Depository
  • Provide support to Direct Custody and Clearing in regularizing outstanding audit/Reviews comments
  • Oversee customers’ inquiries & complaints process in line with the local regulations
  • Manage the annual external audit concerning control effectiveness of custody business
  • Maintain a robust relationship with regulators based on integrity and respect

Operations Control Resume Examples & Samples

  • Reference data maintenance
  • Act as liaison to complete on boarding of Japan clients/ Foreign clients
  • Experience in a Client On Boarding area or the relevant function preferred

Manager Operations Control, Reconciliations Resume Examples & Samples

  • Custody and Banking / Funding knowledge
  • North American Transaction Settlements knowledge
  • Analytical thinker with a strategic approach to the business yet able to make solid decisions under time pressure
  • Good knowledge of technology
  • University degree in accounting/finance or business concentration or equivalent experience
  • 8-12years financial services industry experience in an operations environment
  • 8-10 years experience in managing groups of operations professionals
  • Superior interpersonal and networking skills with a proven track record of dealing with clients, senior management, colleagues and staff
  • Superior communication, presentation and negotiation skills
  • Strong business acumen and profit orientation
  • Track record of developing and implementing innovation and change

CIB Operations Operations Control Management Resume Examples & Samples

  • 5-7 years experience in Securities Services, in CAO, Corporate, Operations or in a risk and control function
  • Understanding of Custody and Fund Services products and markets and the role of a custodian
  • Excellent project management skills; oral and written communication skills; and analytic skills
  • Strong PC skills particularly Excel, Access and PowerPoint
  • Bachelor degree qualified

Cib-head of Banking Operations Control Management Resume Examples & Samples

  • Management of relationships and requests from various constituents, such as Risk, Compliance Internal Audit, PWC, Regulators
  • Develop key MIS indicators to Management related to performance and health of the overall control environment
  • Create and foster the systematic discipline of learning lessons from business processes as well as from errors
  • Represent Operations at Business Control Committee meetings
  • Core Abilities

CIB Bacc-operations Control Resume Examples & Samples

  • Perform control reviews against the framework and identify control gaps, process breaks, non standard tool sets or ad-hoc workflows, and recommend remediation strategy and timeline
  • Develop testing processes and approaches according to JPMC policies and procedures, revise test sequence and scope based upon test results and/or changes in product design
  • Document test procedures and findings
  • Work together with local, regional and global Controls Team and cross-functional teams and ensure proper reporting and escalation to Operations Senior management
  • Actively participate in numerous local and regional control forums X LOB

Operations Control Resume Examples & Samples

  • Minimum 3 years experience in Audit field and/or Regulatory knowledge with Good product knowledge on Client onboarding (Main) and accounting of the same
  • Minimum graduate in any discipline (preferably from business/ accountancy background
  • CA/CPA qualifications a big plus
  • Prior experience in process reengineering efforts highly desirable
  • Product &/or Operational knowledge Cash products
  • Audit and/or Cash Operational background would be preferred
  • Able to navigate around the DB infrastructure and organisation

CIB Documentation Management Operations Control Manager Centre of Excellence Controls & Oversight Leadvp Resume Examples & Samples

  • Set the control and oversight strategy and priorities working with the DMO Head, center of excellence leads and management team
  • Work in partnership with the DMO Bangalore Centre of Excellence Controls & Oversight Lead to deliver a consistent global control & oversight function for DMO services, teams and locations
  • Work across the line of businesses supported by DMO to deliver consistent best in class advice and controls; critically assess the DMO controls framework on a continuous basis
  • Establish and manage relationships with key stakeholders in supported lines of business and functions
  • Line management of the DMO control & oversight team jointly with Bangalore lead
  • Oversee and ensure delivery of the annual RCSA/SOX requirements; partner with BAU management to deliver self-assessments and develops timely and effective action plans
  • Monitor ongoing adherence for the CIB Documentation Management Policy
  • Ensure compliance to required policies and governance practices
  • Work with DMO management to investigate incidents/errors, perform root cause analysis, identify recommended solutions and report to senior management
  • Ensure all relevant control procedures are followed and appropriately evidenced
  • Provide oversight and coordination of key process control testing, including the collation and reporting of test results and the development and implementation of enhancements where necessary
  • Oversee controls development and deployment, providing ad hoc control guidance, key project participation, and support the introduction of procedural/ policy enhancements
  • Oversee & project manage Inter-Affiliate Services requests for DMO
  • Serve as the key contact for regulatory or risk questions for the business
  • Interact with internal/external auditors
  • Drive the operations training agenda around risk awareness and mitigation
  • Drive consistency and sustainability of controls across the region/locations
  • Act as trusted advisor to DMO Management team
  • Demonstrated ability to communicate effectively to multiple levels of management, both written and verbal
  • Confident decision maker and motivator
  • Strong analytical skills and ability to isolate the root cause
  • Detail oriented with ability to deliver consistently
  • Ability to juggle multiple demands and see them through to completion
  • Process review and process re-engineering experience
  • Strong financial markets product knowledge including detailed knowledge of at least one, preferably two, of Transaction Services, Custody Services or Markets
  • Solid understanding of the documentation management life cycle desired
  • 10+ years of financial services operational experience with 5+ years of Risk/Control related experience
  • Product knowledge (Markets, Investor Services and/or Treasury Services)
  • Knowledge of risk management tools

Market Operations Control Lead Resume Examples & Samples

  • Minimum of 15 years post-graduate experience
  • Must have served at least 3 years on AVP/C12 level
  • At least 10 years banking experience including processing experience in an ICG Markets product line such as FX, Money Market, Loans, Fixed Income, Derivatives or Equities
  • Must have served in at least 3 major areas of Banking Operations
  • Audit/controls experience
  • Proficient in metrics/KRIs assessment and reporting
  • Strong organizational skills with ability to multi-task
  • Good communication and relationship skills
  • Ability to prioritize
  • Willingness to Act with urgency, courage and conviction
  • Good articulation of issues/events

Accounts Payable Operations Control Manager Resume Examples & Samples

  • Ensure regulatory compliance and handle all payment related risk management objectives. Establish, maintain, and promote internal controls (e.g., adherence to Chart of Authority, separation of duties, etc.) to safeguard the Company's assets
  • Control Environment. Ability to assess current controls to ensure that assets are safeguarded and that transactions are authorized, recorded, and reported. This may include designing and implementing cost-effective systems and procedures properly
  • Uphold Sarbanes-Oxley and internal control financial standards by documenting and maintaining standard operating procedures, policies, and internal control documentation
  • Develop and promote internal controls, standards and processes to ensure accuracy and consistency in data used for decision-making, internal/external reporting and communications. Identifies control gaps and opportunities for improvement
  • Reconcile and analyze balance sheet accounts to ensure transactions are recorded accurately and account balances are accurately stated in accordance with GAAP and Company policy
  • Knowledge of international, U.S. or local Generally Accepted Accounting Principles (GAAP). This includes the ability to apply these principles and determine compliance with the principles
  • Customer Focus: Making customers (external and internal) and their needs a primary focus of one's actions; developing and sustaining

Director of Operations Control Resume Examples & Samples

  • 5+ years of professional Back Office and/or Financial Services experience
  • Bachelor’s Degree from top-tier University
  • Previous experiences interacting with and improving back office systems, data management, and controls
  • Solid Project Management skills

Senior Assistant Manager Counterparty Operations & Control Resume Examples & Samples

  • Ensure data accuracy and consistency for all counter-parties across six different systems
  • Liaise with existing counterparty set-up operations groups and GCMD to clarify data errors / inconsistencies
  • Cross train with other members within the group to ensure complete coverage of tasks
  • The incumbent is responsible for ensuring that management is kept informed and that problems and issues are escalated appropriately
  • Review reports being sent to CFTC
  • Liaise with technology and other departments for improvements in the process
  • Other ad hoc responsibilities to support operational needs/changes, as assigned
  • Ability to work with huge quantities of data, to research and find resources
  • Strong attention to detail and organization skills. Prior experience in a counterparty set-up/support role would be an asset
  • Ability to build relationships across different groups within the organization
  • Strong computer skills in MS Office and PC use
  • Strong knowledge of static and reference data, account opening, operational process with understanding of front to back processing
  • Strong knowledge/experience with regulatory reforms such as Dodd Frank, EMIR, FATCA, HKMA, Canadian Trade reporting
  • Excellent judgment & expert analytical problem solving skills, results oriented, deadline driven with strong leadership and strategic influencing abilities
  • Strong collaborative team member
  • University graduate in business/finance related field or comparable work experience is required

Operations & Control Manager Resume Examples & Samples

  • Securities Licenses 7, 26 or 24, and 63 or 66
  • Leadership experience in financial services running an operation of comparable size and scope
  • Ability to work with a diverse group of people including clients, financial professionals, home office and sales executives
  • Financial services industry experience
  • Budgeting/finance experience
  • Company compliance policy and insurance broker/dealer laws and regulations
  • Prudential products and services
  • Public speaking and presentation skills
  • Must be able to multi-task and work independently

Operations & Control Manager Resume Examples & Samples

  • Leadership - leading the business through change and ambiguity
  • Strategic Thinking and Commercial Acumen - designing the future to achieve commercial success
  • Problem Solving and Decision Making - making timely, quality decisions
  • Customer Relationship Management - Engaging the Customer and adding value
  • Communicating and Influencing - genuine two-way communication to achieve consensus and progress

Global Markets Operations Control Resume Examples & Samples

  • Principle point of contact for ICG Markets Operations Control in relation to AML & Sanctions GOM
  • Provide guidance in evaluating the risks & controls, and ensure appropriate remedial actions are in place as it relates to AML monitoring & sanctions
  • Proactive reviews of Markets Operations related control processes and reporting to ensure conformance to policy and standards
  • Support and interface to Internal and External Control organizations (Internal/external audit, Regulatory, Compliance, AML, Business Controls & Supervision etc.)
  • Oversight of corrective action plan remediation in relation to AML & Sanctions across Markets Operations
  • Align and support the wider Market Operations Control strategy
  • Ensuring that significant risks are appropriately and timely escalated through Control / AML / Sanctions Governance Channels
  • Track record of delivering to demanding standards of quality and accuracy
  • In-depth knowledge of AML and / or Sanctions in an ICG product line or control function
  • Strong Business knowledge – Order/Execution through to accounting
  • Audit/control/oversight experience
  • Managing, organizing and prioritizing multiple tasks and responsibilities
  • Ability to think strategically and tactically
  • Ability to work under pressure managing to tight deadlines and / or unexpected changes
  • Analytical with attention to detail and strong problem solving skills
  • Proactive, able to take the lead in devising creative solutions
  • Efficient team player
  • 7 -10 years of experience in financial services, with in-depth knowledge of AML and Sanctions regulatory requirements
  • Ability to demonstrate flexibility, versatility and an ability to lead multiple concurrent priorities to completion
  • Ability to understand and document end-to-end operational processes and identify control weaknesses
  • Strong interpersonal and communications skills, and the ability to interact effectively with senior management
  • Ability to navigate a complex organization and work collaboratively with global partners and functional units
  • Strong project management and organizational skills and able to drive program change
  • Ability to maintain composure in a fast-paced, high pressure environment
  • Advanced skills with the Microsoft Office suite of products

Operations Control Resume Examples & Samples

  • The role of Control Officer is aligned to the asset class / business line and forms part of a GM Operations Control Office function. The role holder will assist in ensuring controls and procedures are suitably designed and operating correctly and in doing so providing Risk Owners and Control Owners reasonable assurances that business activities are undertaken with an appropriate control environment
  • The role holder will need to work closely with the regional control teams, governance team and assurance teams, as well as the Operations line teams to collectively ensure the effective implementation and design of control standards, governance and procedures with the aim of sharing and promoting best practice
  • They will also play a key role in helping support and where necessary leading, the enhancement/improvement of controls and best practice within the asset class /business line
  • Degree holder, preferably with a professional qualification, with strong knowledge of internal control, governance/policy and risk management in Markets Operations
  • Minimum of 5 years' Experience in Operations or risk/control roles within a markets business
  • Strong understanding of Markets Operations business and products
  • Strategic thinker with strong analytical and project management skills to enhance standards, policies and controls
  • Well developed leadership and people management skills, able to drive change and provide positive influence to achieve organisation goals. Excellent stakeholder management
  • Excellent written and verbal communication skills, able to negotiate and work effectively with senior business management across business lines and geographies
  • Strong problem solving and prioritization skills and be able to perform multitask under pressure with a keen eye for detail
  • Excellent team player with a proactive and self-motivated attitude and ability to think and act independently

Remote Operations Control Center Specialist Resume Examples & Samples

  • Monitor real-time control center operations and the performance of wind farms across the US and apply established procedures in order to guarantee maximum availability, sale of energy, and wind farm service
  • Report and document the status of forced and planned plant outages to Regional Transmission Organization/ Independent System Operators (RTO/ISO)
  • Develop and implement effective strategies to maximize the WPP value by capturing profit opportunities in the real-time power markets
  • Evaluate system alarms and irregularities, taking corrective action as outlined in established guidelines
  • Ensure quality and accuracy of EDPR NA real-time generation information being tele-metered to RTO/ISO
  • Call-out field and emergency service personnel when appropriate
  • Direct electrical substation switching at EDPR NA facilities using a detailed understanding of the Company’s electrical switching practices
  • Ensure turbine and substation data integrity for internal databases used for reporting purposes
  • Use OEM SCADA (Original Equipment Manufacturer Supervisory Control and Data Acquisition) to control the real and reactive power of the 5 unique types of turbines now in use
  • Maintain understanding of the energy markets where Company assets are located
  • Maintain understanding of commercial practices as they relate to managing merchant power pricing and scheduling

Operations Control Head Resume Examples & Samples

  • Execution of Operational control plan and strategy in conjunction with functional leadership and country business management
  • Liaise with Management across all operational areas to ensure a strong ops controls framework is in place
  • Management and development of staff including training and professional development, career management and performance management
  • Ensure compliance with global and regional functional policies, procedures and programs relating to operations
  • Management of operations risk and control utilizing key performance indicators. Identification and implementation of control initiatives which add value and enhance performance
  • Conducting periodic reviews and checks to identify process gaps including advisory and ad-hoc projects
  • Evaluation of Significant Control Events (e.g., negative metric trends, operating losses and “at risk” balances, frauds) for area of responsibility including performing deep dives of significant losses and performing root cause analysis of significant control-related issues
  • Ensuring MCA properly covers risks and controls for area of responsibility and quarterly self-assessments are complete and correct
  • Close monitoring of the IA, regulatory and other reviews. Analysis of underlying themes and trends, sharing with stakeholders, working with stakeholders on corrective action and to ensure a state of audit readiness at any point of time
  • Maintain excellent relationships with relevant stakeholders at country, division and regional level
  • Identification and implementation of control initiatives which add value and enhance performance
  • Participate in projects as per supervisor requirements and guidelines
  • Work for continuous process improvement and provide solutions to customer requirements
  • Minimum Accounting knowledge
  • Banking products
  • Payment processing
  • Ability to maintain and co-ordinate working relationships across multiple geographies, cultures and time zones
  • Ability to work under pressure and prioritise within tight deadlines across different time zones,
  • Identify problems, gather evidence through research, evaluate options and derive conclusions
  • Attention to details - summarizing, reporting accurately
  • Data analytics and automated retrievals
  • Strong operations, controls and execution skills demonstrated through prior business accomplishments
  • Good verbal and written communication
  • Quick thinker, who can handle/report immediate action to be taken
  • Seeking continuous self-development
  • BA / BS Degree with operational background
  • 5+ years of core Banking Operations and Controls
  • Arabic language would be an advantage

Operations Control Analyst Resume Examples & Samples

  • 5 or more years in a banking or services/operations environment
  • Demonstrated knowledge of banking operations,Excellent Analytical and organizational skills
  • Excellent understanding of accounting processes and experience with the monitoring, settlement and reconciliation of general ledger applications
  • Knowledge of Financial/Accounting/Operational controls, with strict emphasis on adherence to all regulatory and audit requirements
  • Problem solver with the ability to perform well in a fast paced multi tasking environment

Operations Control Manager Resume Examples & Samples

  • Skills clusters: Implementation, Start Up, Leadership
  • Bachelor degree in Business Administration / Management / Finance or equivalent
  • Excellent critical thinking skills; analytical capabilities; demonstrated ability to translate data into insight
  • Excellent communication, team building and planning skills
  • Demonstrated ability to simplify the complex and develop lean, well-controlled processes
  • Intellectually curious; doesn’t stop at the first answer, but truly seeks to understand
  • Effective relationship building; ability to elicit cooperation from a wide variety of sources, including upper management, clients, and other departments
  • Organized; Can adapt to shifting priorities, demands and timelines through analytical and problem-solving capabilities
  • Proven track record in working effectively with multi-functional teams and in an influence model
  • High proficiency in Microsoft Office
  • Five or more years’ professional experience
  • Experience in providing analytical support for service centers or similar environment
  • International experience or experience working cross-culturally

Operations Control Manager Resume Examples & Samples

  • Eight to ten years of experience in regulatory compliance activities
  • Strong leadership skills (management)
  • Strong knowledge of federal, state and local laws and regulations; specifically PCI, RegZ, Reg E, Reg AB a plus
  • Thorough knowledge of the products, policies, operations and procedures related to the business unit
  • Strong organization, analytical and project management skills
  • Strong planning, implementation and negotiation skills
  • Effective interpersonal, verbal and communication skills
  • National Lockbox/Payment technology and/or operations knowledge
  • PCI control environment experience a plus
  • Testing and analytics skills
  • Ability to negotiate with external assessors and customers
  • Advanced strategic thinker

Bank Operations Control Mgr Resume Examples & Samples

  • Develops a comprehensive program of risk and compliance-based Level 2 Control testing for the area(s) of responsibility
  • Ensures performance of independent and objective evaluations of the adequacy, effectiveness, and efficiency of the business line's internal and governance controls in area(s) of responsibility
  • Manages projects and executes testing reviews which consists of planning, investigating, reviewing, evaluating, reporting, and supervising; annual testing schedule, continuous monitoring, and risk assessments over areas of assigned responsibility; and monitoring of management's issues resolution
  • Supervises direct reports and other control officers assigned in the execution of Level 2 Control testing program. Ensures that control activities include workpapers and supporting documentation comply with Bank standards
  • Acts as a subject matter expert on Level 2 Controls for assigned business line. In depth knowledge of industry best practices and systems
  • Delivers high quality testing results and well-crafted report deliverables on time
  • Maintains current knowledge of banking activities, and operational risk management and regulatory compliance requirements pertinent to business line activities. Attends professional seminars and participates in Bank operational risk management and regulatory compliance forums
  • Meets or partners with various Bank Business Groups to develop test scripts, understand or evaluate testing results, and assign defect severity
  • Years of functional/professional experience: 7+
  • Alternative: Combination of education and experience (years /description) Bachelor's degree or equivalent combination of training and experience
  • Thorough knowledge of banking operational risk management and industry practices
  • Thorough knowledge of banking and related laws and regulations
  • Thorough knowledge of bank operations activities, from both a branch and centralized function aspect
  • Proven skills in developing, writing, and communicating policies and procedures
  • Prior experience in Audit, Risk Compliance or Regulatory

Documentation Management Operations Control Manager Centre of Excellence Controls & Oversight Analyst Resume Examples & Samples

  • Strong experience with all Microsoft Office products, to include: Excel, Access, Power point, Word,
  • Experience with Sharepoint and Business Objects
  • Strong analytical and problem management skills
  • Team player and adaptable to changing environment, with good interpersonal skills
  • Proficient in handling multiple responsibilities and tasks simultaneously
  • Proven ability to work independently, as well as in a team setting
  • Use analytic tools to inform the business of risks and opportunities and prepare detailed business analysis to explain performance results
  • Design management reporting
  • Financial markets product knowledge and understanding of the transaction life cycle
  • Knowledge of operational risk and controls; working knowledge of relevant regulations and standard industry processes
  • 3 + years of financial services operational experience; 2+ years of Risk/Control related experience
  • Product knowledge in one or more of following: Markets, Investor Services and/or Treasury Services

Bank Operations Control Mgr Resume Examples & Samples

  • Escalates material issues to appropriate management levels for transparency and active risk and compliance management. As assigned within takes action to maximize effectiveness of testing programs in cooperation with all Business Units, as well as implementing new testing programs or changes to existing ones in management
  • Responsible for reviewing and using the proper testing methodologies for CBG (in coordination with both Risk and Compliance) and ensuring consistency throughout CBG
  • Very closely works with Risk and Compliance functions to develop and implement controls that mitigate excessive risks
  • Once the testing programs are in place, continues to regularly review, assess and monitor them in relation to the prevalent risk environment recommending incremental recommendations for improvement to ensure that risks are kept at acceptable levels for CBG
  • Assigned responsibility for testing programs throughout, ensures that each BU’s testing programs are well designed, looks for and implements continuous process improvement, is a subject matter expert in the area of testing, and able to communicate/educate others on the process
  • For CBG, undertakes complex assessments of business unit review, identifying risks, analyzing and evaluating their potential impact and reviewing the strengths and weaknesses of CBG’s existing testing program controls. Requires collaboration and partnering within Risk (mainly ORD) and Compliance and across CBG’s business lines/support groups
  • 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
  • Required Bachelor’s Degree (Business Administration) or the equivalent combination of education and experience

Operations Control Manager Resume Examples & Samples

  • Drive and deliver India GSC control agenda working in collaboration with the Line of Businesses
  • Responsible for ongoing control improvements for the location using a risk based approach, focusing on items that pose the higher risks
  • Ownership, production and distribution of key metrics across LOBs and Control functions through the Control Book
  • Alignment and partnership across Control teams in the GSC
  • Involvement in regulatory exams and interventions for the GSC
  • Ongoing analysis of themes and trends relating to Controls across GSC LOBs
  • Participation in global control programs across the GSC
  • Proactively promote risk aware behavior at all levels and across the location
  • Partnering with Risk, Compliance and Audit
  • Understanding and implementation of guidelines, policies and procedures as applicable
  • Business Knowledge and experience of having worked in the LOBs
  • Strong relationship management and partnership skills. Ability to build and maintain strong relationships with the LOB, Audit, Compliance, Risk and other Support Groups
  • Highly organized, motivated and strong prioritization to ensure delivery in-line with Global Controls Agenda
  • Strong orientation with usage of data and deriving meaningful analysis and trends from large sets of data
  • Skilled in MS office applications including Outlook, PowerPoint, Excel, Word, and Project
  • Excellent verbal and written communication skills, and adept at communicating with all levels of the business and technical parts of the organization
  • Can operate effectively in a dynamic environment with tight deadlines, and can prioritize one's own work to achieve them

Bank Operations Control Mgr Resume Examples & Samples

  • Performs other duties as assigned.*LI-KJ1
  • Required license(s) or certification(s) CPA, CIA, CBA, and/or CFE
  • Prior audit or regulatory

Operations Control Manager Resume Examples & Samples

  • Oversight of all functions within the OCC (ops control, crew control, gops control, flight planning)
  • Leadership of daily operations, setting and executing the daily strategy
  • Planning for regular and irregular operations
  • Recruitment and Staffing of OCC personnel (headcount and roster)
  • Training and Performance of OCC personnel (ensuring compliance with training requirements and records / regular evaluation of personnel)
  • Identifying and improving efficiencies within the OCC
  • Knowledge of Airline operations (desirable, but not essential for suitable applicant)
  • High degree of professional / personal flexibility
  • Strong people leadership and management skills
  • Operational 24/7 accountability and contact-ability
  • The ability to work and communicate effectively under pressure
  • Must continuously strive for improvement

Manager Intergrated Operations Control Sector Resume Examples & Samples

  • Responsible for coordinating, communicating, and administering Flight Dispatch policy with respect to ETOPS
  • Ensures continued compliance with ETOPS regulations and addresses issues with appropriate Company and Regulatory agencies
  • Creates and monitors operational plans to mitigate effects of weather, aircraft mechanical problems, air traffic control constraints, fuel supplies, labor problems, or other sources of disruption to the overall airline operation
  • Manages contingency plans to avoid lengthy tarmac delays
  • Conducts investigations and completes detailed reports associated with DOT tarmac rule violation occurrences
  • Responsible for the safe and dependable operation of the airline while continuing to focus attention on the economic savings that can be achieved through fuel conservation
  • Assists with future technology issues to ensure AA continues to be an industry leader in all phases of airline operations control
  • Coaches, counsels and administers discipline as required to ensure compliance with Company rules and regulations
  • Participates in hiring, employee development and succession planning
  • Coordinates regional operations with network regional partners
  • Performs the duties of the Integrated Operations Control (IOC) Director in their absence
  • Thorough familiarity with all aspects of AA operations, policies, and procedures
  • Must possess a FAA Aircraft Dispatcher certificate (strongly preferred) or obtain certification. AA Dispatcher experience is preferred
  • Ability to interact effectively with all levels of personnel both internal and external
  • Provide coaching and counseling of employees as required
  • Must be able to provide administrative discipline to employees as required
  • This job is subject to Department of Transportation (DOT) drug and alcohol testing. Your previous employers will be contacted to verify if you had any DOT drug violations and/or refusals to test for drugs or alcohol in the previous two year period. Your DOT required urine specimen will be tested for the following substances: Cocaine, Marijuana, PCP, Amphetamines and Opiates

Manager, Operations Control Center Resume Examples & Samples

  • Managing the OCC to budget
  • Employee hiring, scheduling, evaluations and training
  • Prioritization of work and client deliverables
  • Liaison to the Account Executives, Program Managers
  • Managing internal and external processes
  • OCC infrastructure planning
  • Responsible for managing all issues related to the Avaya phone system
  • Presentations and demos to clients and others, related to the value, benefits and operations of the OCC
  • The manager must be able to perform the tasks within the OCC and evaluate the competencies of the employees of the OCC
  • Bachelors Degree in related field preferred
  • 3-5 years experience working with multiple Energy Management Systems, HVAC/building environmental systems, and experience related to a call center environment
  • Preferred 3 years supervisory experience
  • 5 years of HVAC, EMS related experience
  • Good computer skills; including HVAC, EMS, and MS Office Suite

Operations Control Analyst Resume Examples & Samples

  • Direct and conduct internal and external audit requests and provide findings and recommendations to management
  • Monitor and coordinate QA work effort based on department needs
  • Ensure department complies with regulations and controls and communicate training needs, system bugs and process controls to management
  • Perform quality review of transactions according to department guidelines or as assigned
  • Serve as liaison with IT and Compliance, specifically related to changes in guidelines and systems that impact SOX, Compliance or other risk exposure
  • Identify trends, compile data, and make recommendations to present to management on quality, systems enhancements and potential training needs
  • Ensure data integrity and reporting accuracy during process and procedural updates
  • Serve as coordinator for Market Conduct, Independent Audit and SOX reviews to define and gather data and other material as needed
  • Facilitate documentation related to complaints or DOI findings to report to management and provide for approval by Legal and Compliance

CIB Operations Operations Control Management VP Dublin Resume Examples & Samples

  • Excellent interpersonal and negotiating skills; ability to develop effective credible relationships with Operations, functional and support partners and auditors
  • Excellent verbal and written communication skills, with the ability to create and present training materials
  • Results oriented; ability to effectively prioritize work and deliver against multiple objectives
  • 5 years Fund Industry experience or auditing experience preferred
  • Knowledge of the Dublin funds market and regulations, specifically Annex II
  • Familiarity with CIB businesses is an advantage
  • University graduate preferred, but a person with business experience is also acceptable

CIB Bacc Operations Control Management Resume Examples & Samples

  • Ensure that an effective operational control environment is maintained in the Buenos Aires Corporate Center in accordance with CIB and firm wide policies and standards, specially ensuring controlled migrations as per our Location Strategy plans
  • Perform end to end deep dive reviews
  • Maintain and update RCSA assessments, oversee and perform control design evaluations and control testing, and help identify and drive the resolution of key issues and control gaps
  • Coordinate and validate the timely closure of issues and action plans as required
  • Escalate high level risks and issues to senior management and partners
  • Internal and external audit liaison
  • Perform risk and control process and procedure reviews to validate and strengthen controls
  • Identify and assess the inherent and residual risk of activities
  • Monitor and review early warning indicators as appropriate for possible control breaks
  • Maintain audit ready state by driving audit readiness sessions with business partners, monitoring audit/exam schedules and status, and developing action plans when necessary
  • Minimum of 3+ years’ experience in Risk/Control/Audit/QA preferred
  • BS/BA Degree in business/finance/accounting or equivalent work experience preferred
  • Experience of working across geographical locations preferred
  • Good influencing and negotiation skills and ability to build and influence partnerships across global Securities Processing Operations, Technology and all other stakeholders
  • Effective time management and prioritization skills; ability to work in a busy environment and effectively to deadlines in order to react and drive developing events
  • Proficient with Microsoft Office toolset (PowerPoint, Excel, Word, etc)

Operations Control Analyst Resume Examples & Samples

  • Supporting the Operations Control Manager in managing the control agenda and leading control reviews
  • Running the weekly control call
  • Working as a partner to deliver control improvements and new control initiatives and ensure they are embedded into operational teams
  • Co-ordinating and reporting on the status of correction action plans (CAPs) owned by or impacting FCC Operations
  • Assisting the Control Manager in balance sheet account attestation
  • Running the daily trial balance, investigating any discrepancies, ensuring ownership and completion of remediation
  • Developing and transferring knowledge of the relevant CASS rules and the CASS implications for the business area
  • Ensuring that trust acknowledgement letters are in place for all live client transaction accounts
  • Ensuring that Operations accurately provide the relevant information to meet CASS requirement such as the Prudent Segregation Amount (PSA) and the Clearing arrangement mandatory PSA (CAMPSA)
  • Ensuring that Operations artefact owners maintain the regulatory standard for the Client Assets Resolution Pack (CASS RP); and
  • Supporting Operations in complying with other control standards such as those around end user computing and system access and entitlements reviews
  • Practical experience in analysis, design and implementation of new processes in a financial services industry
  • Good understanding of derivatives products, processes, controls and processing systems (GMI, IntelliMATCH, ClearVision)
  • Accounting training would be beneficial
  • Experience of compiling large volumes of data and analysing results
  • Experience of exception based controls and processing
  • Experience of working within a control environment; and
  • Experience of working within a CASS regulated environment
  • Advanced Microsoft Excel
  • Microsoft Office, including PowerPoint and Visio
  • Reporting tools such as Business Objects; and
  • Reconciliation tools such as IntelliMATCH would be helpful

Operations Control Resume Examples & Samples

  • Responsible for oversight and control tower / framework for APAC DCL i.e. ensuring all processes, controls, including regulatory are robust and in line with internal and industry best practice
  • Establish review model to identify high risk controls and testing methodology to ensure ongoing compliance / completeness in conjunction SAFE and Internal Audit
  • Responsible for ensuring BAU Change projects are managed in accordance with internal policies and industry best practice
  • Responsible for managing relationship with SAFE and Internal Audit to maintain and develop the partnership with these teams
  • Ensure all direct reports and functional teams responsibilities are completed accurately and on a timely basis
  • Ensure functional teams policies and procedures are maintained and updated
  • Ensure MORSE+ and CMT are leveraged to optimize control tower / framework and align with global Agency plans
  • Minimum 7 years Industry experience essential with exposure to Equities, FX, Treasury and Futures / Options preferred
  • Minimum 3 years management experience required
  • Demonstrated experience across multiple departments within Operations
  • Degree holder in Finance or related discipline
  • Advanced knowledge of Excel, Access, Word, Powerpoint etc …
  • Ability to work within team with diverse cultural backgrounds
  • Capability to work effectively and efficiently under pressure
  • Strong analytical and numerical skills. Detail oriented
  • Good planning & organizational skills
  • Ability to prioritize both own and teams objectives
  • Enthusiastic and self motivated
  • Outgoing personality

Operations Control Manager Resume Examples & Samples

  • Knowledge of bank systems, interact, image view
  • Prior experience working with BSA requirements
  • Proven ability to multitask and meet multiple deadlines at one time
  • Must have strong and proven communication skills
  • Strong and proven ability to work closely with customers and clients
  • Ability to create and present presentations to varying levels of management
  • Proven success in improving employee satisfaction and is active in engagement activities

AML Operations Control Manager Resume Examples & Samples

  • Primary point of contact to assist with LEO user role changes
  • Prepare Change Requests / Attend Change Request Forum
  • Work with LEO Technology to ensure inclusion of changes in LEO Release PFS document
  • Monitor development and implementation of user role changes throughout release cycle
  • Ensure appropriate employee population has changes applied during release weekend
  • Ensure appropriate changes/updates to ARM form configuration are completed
  • Ensure Update of User Entitlement Chart
  • Maintain access to LEO Admin to enable review of back-end LEO user role settings
  • MUST be a self-starter than can quickly move from dialogue to action with limited direction
  • Strong knowledge and understanding of software development lifecycle (SDLC) process
  • Experience writing business requirements/User Stories (Waterfall or Agile)
  • Software tester or test lead experience (this person will execute test scripts)
  • Understanding of complex technology architecture and application interdependencies
  • Track record of performance for managing & influencing sophisticated, fast-paced business partners with competing priorities
  • Ability to translate controls or policy to business and technology requirements
  • Experience working with global teams spanning multiple time zones
  • Strong focus on customer experience and software usability
  • Strong communication skills – both written and verbal
  • Ability to translate technical jargon and terminology to non-technical people
  • Process management/engineering
  • Experience with HP Quality Center
  • Microsoft Office skills must be strong (Excel, Visio, PowerPoint)     
  • Bachelor degree or equivalent preferred
  • Six Sigma training and designation preferred
  • Experience with Compliance and Audit
  • Knowledge of Anti Money Laundering policies and procedures

Operations Control Analyst Resume Examples & Samples

  • 5 Years Associates degree in Accounting or equivalent combination of training and experience
  • Demonstrated knowledge of banking operations
  • Excellent Analytical and organizational skills

Operations Control Analyst Resume Examples & Samples

  • A reporting unit for Unclaimed Property to all 50 state and 4 territories
  • Maintain and balance reports out of Content Navigator
  • Maintain and reconcile escheatable items with the Abandon property system (APECS)
  • Manually upload via CSV files escheatable items into the Abandon property system (APECS)
  • Format customer information within Abandon Property System (APECS)
  • Perform adjustment entries using FDES and ELedger
  • Quality Monitor formatted items done off shore using the NICE system
  • Quality Monitor completed Research cases using the NICE system
  • Strong organizational skills & ability to multi-task
  • Communicate professionally and interact with individuals across the organization and the state representatives
  • Detail oriented with attention to accuracy
  • Capable of working in a production environment and managing to deadlines, and drives for results
  • Transactions within FDES and ELedger

Operations Control Analyst Resume Examples & Samples

  • Proven Customer Service/Client Management skills experience
  • Excellent verbal, written and interpersonal skills
  • Strong communication skills and ability to handle inbound and outbound calls
  • Must be a self-starter and able to work successfully in a non-micromanaged environment
  • Strong research & analytical skills
  • Proficient computer skills (able to work w/ multiple systems) and internet skills (utilizing search engines)

Operations Control Team Lead Resume Examples & Samples

  • Administrative experience
  • Proficient in using Boss, Interact, Imageview, First, Right fax, Outlook, Word and Excel
  • Proven ability to work and succeed in a team environment
  • Strong communication skills and ability to handle escalated inbound and outbound calls as needed
  • Workflow assignments

CIB Operations Control Manager Resume Examples & Samples

  • Host regulator: Saudi Arabian Monetary Agency (SAMA)
  • Client Base: Saudi Arabian corporations, US multi-national clients
  • Control Framework: Due to local regulatory laws, we conduct AML and Sanctions Monitoring within Saudi Arabia supported by local instance of systems, but with oversight from regional centers in Dubai and the UK. The control organisation, policy framework and tools are consistent with those used by J.P.Morgan globally
  • Host Regulator: Capital Market Authority (CMA)
  • Client Base: Large corporates, Financial Institutions & Government entities
  • Control Framework: Local regulation has been incorporated into global operating practices and meet the local & global regulatory standards including Corporate governance, Client Money, Client asset, HR global practices and code of conduct, client acceptance and screening, AML screening, financial and prudential controls, audits and technologies
  • To develop and support a consistent best practice design and the effective execution of internal controls by CIB Operations and
  • Control Advisory
  • Risk Event Management
  • Controls Testing
  • Operational Readiness
  • Achieve favourable external and internal audit ratings
  • Minimize potential exposures, operational errors and near misses
  • Ensure that all critical controls are subjected to independent QA testing
  • Enforce robust monitoring & tracking to resolution of issue
  • Strong analytical / problem solving skills, ability to interpret and to apply standards and policies to some specific circumstances and to indentify issues, weaknesses and coverage gaps
  • Teamwork – ability to create and contribute to the regional environment of collaboration and mutual responsibility
  • Graduate, BA/BSc/MBA, with ~10 years post-graduate with experience of working in Operations, Risk Management, Controls, Compliance, Oversight functions in Practice and/or Financial Services industry
  • A recognised accounting/auditing qualification is desired but not essential

Operations Control Team Lead Resume Examples & Samples

  • Proven Team Leadership Experience
  • Strong Oral, Verbal and Written Communication Skills
  • Results-Oriented
  • Employee Training Experience
  • Self-Motivation
  • Strong Relationship Building
  • Champion of change with ability to communicate process and procedural changes
  • Exceptional time management skills and ability to handle multiple priorities and meet deadlines
  • Proficient in using Boss, Interact, ACMS, and Strong Excel skills

Operations Control Manager Resume Examples & Samples

  • Must have operational experience or compliance experience within an accounting/audit environment ideally within a pan European Shared Service Centre with exposure to high Value/Volume payments/receipts and a cross border Treasury Operation
  • Strong knowledge of Accounting & Financial systems (Knowledge of Oracle Financials or other ERP software preferred)
  • Experience with audit and internal control systems in large organizations (Operational & Technology)
  • Advance knowledge of accounting & controls principles
  • Financial services work experience within a risk management / operations / control environment
  • Experience in accounting reconciliation and reporting
  • Able to work independently, effectively and efficiently
  • PC literacy with specific knowledge of project management, flowcharting, spreadsheet, word-processing and accounting software
  • Qualified Accountant (CIMA, ACCA, ACA) beneficial not necessity

Senior Operations Control Specialist Resume Examples & Samples

  • Proven ability to multi-task and meet deadlines
  • Strong communication skills and ability to handle inbound and outbound calls as needed
  • Proficient in internet use

CIB Operations Operations Control Management Resume Examples & Samples

  • CIB Policy review and policy rollouts
  • Quality Assurance Testing reviews
  • Providing Control Training when required
  • Deep Dive Reviews
  • MIS – targeted reviews
  • Completed Risk and Control Self Assessments including understanding the Quality Assurance Testing Program
  • Interaction with Audit including leading discussions around issues
  • Able to interact with all levels of staff
  • Strong analytical, innovative and flexible skills
  • Attention to detail and good organizational skills - manages & prioritizes multiple tasks across different time horizons within deadlines
  • Strong communication skills written and oral
  • Able to build strong working relationships with internal stakeholders

Operations Control Analyst Resume Examples & Samples

  • Proven Customer Service/Client Management experience
  • Champions for process improvement
  • System Knowledge with ability to utilize system applications across all lines of business including, but not limited to: Avaya, LexisNexis, SharePoint, BOSS, Interact, iPortal, BLAST, Blades, TSYS, FIRST, ART, CSU, CentrePoint, ImageView, NICE

Depository Operations Control Resume Examples & Samples

  • Perform proactive focused reviews according to agreed priorities of end to end processes and/or clients and key risk areas to maintain quality levels & identify areas for enhancement
  • Review any region specific regulatory issues. Make recommendations and control implementation by Business Unit
  • Liaise with related central areas including Compliance and Operational Risk and local DO Managers who deliver our services to clients
  • Work closely with local DO management to determine priorities and objectives for performing reviews
  • Initiate quality related projects ensuring adequate business plans are created and signed off by all relevant business areas
  • Assist with periodic procedure reviews for existing processes, as well as those for new processes created by implementations and take-on activity
  • Manage and quality control data collected for audit-type visits including those from external Trustees and internal audit
  • Assist with the maintenance and testing of the Bangalore DO Business Continuity Plan, liaising with the regional business units being supported by Bangalore for ‘Transfer of Work’ continuity planning
  • Ensure the department complies with the requirements of any Training & Competence regulatory regime
  • Follow the goals and priorities based on the direction set for the section
  • Ensure consistent best practice and monitor the regional standards
  • Ensures that adequate training/cross training is provided, identify training and developmental areas and establish performance standards for the section
  • Produce accurate management information reporting and analysis to deadline
  • Track all review actions / reporting to Senior Management and plan effectively to meet the deadlines set
  • Keep abreast of industry and regulatory developments that may impact the risk and quality of our service
  • Assess operational readiness of the business unit’s ability to take on new clients, processes, or perform system migrations
  • Ensure preventative controls are in place following procedure & process failures
  • Ability to work on ad-hoc activities
  • Employees are required to comply with
  • Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organized and controlled
  • Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties
  • Seasoned operations partner with knowledge of Fund Accounting or Custody or Transfer Agency businesses or other associated products
  • Strong attention to detail and organization skills. Good analytical, numerical and reasoning skills
  • Ability to systematically assess & challenge existing processes
  • Knowledge of risk management techniques and proven ability to identify and asses risk in business processes, migration activity and new products
  • Knowledge of regulatory requirements and industry best practices like CASS, IMR, AIFMD, FATCA, UCITS V would be an added advantage
  • Strong communication, negotiation and analytical skills are necessary to consult with partners/clients throughout the organization as well as regulators and auditors
  • Effective project management skills are essential to help drive various initiatives
  • Self-starter with the ability to function independently in a fast-paced, dynamic and demanding environment
  • Proficiency in MS Office (particularly Excel, PowerPoint & Word)
  • Overall experience of 6+ years preferably in Fund Accounting or Custody (custody of Collective Investment Schemes) or Investment Operations or Transfer Agency activities and 24 months in the current role
  • Knowledge of regulatory requirements for Irish, UK funds and AIFMD (preferred)
  • Strong accounting / financial services/ capital markets work experience or equivalent
  • Bachelor’s degree with emphasis in Accounting, Master degree a plus
  • Knowledge Proven subject matter expert or referral point for complex issues
  • Should be flexible for shifts and extended working hours

Head of Clearing Operations Control Team VP Resume Examples & Samples

  • Lead and oversee the Listed Derivatives Cash Funding and Reconciliation teams (11 individuals), reporting to the Head of Asia Derivatives Clearing based in Singapore
  • Responsible for managing all risk aspects, provide support on audit reviews and manage control related activities to ensure a sound control environment
  • Provide supervisory oversight for accurate and timely regulatory report submissions
  • Work closely will key stakeholders to ensure the day to day Collateral process and Reconciliations are conducted in a timely manner
  • Responsible for ensuring team adheres to all internal policies, procedures and external regulatory requirements
  • Identify, prioritise and deliver efficiency related projects
  • Contribute to projects relating to new markets/business/technology
  • Ability to understand the details and drive the strategy to improve the control environment
  • Build cross-divisional relationships; gain support and respect from key stakeholders (Business Unit, Operations, FCG, Legal and Compliance)
  • At least 10+ years experience in the financial industry with at least 3 yrs specific experience within Listed Derivative Operations
  • Experience in Collateral Management, ideally in Futures Client Clearing
  • Team management experience a must
  • Confident is facing off to senior stakeholders, strong communication and networking skills
  • Strong controls background with previous track record in implementing and maintaining key business controls
  • Strong grasp and understanding of Regulation and Customer Segregation rules across Asia and global jurisdictions
  • Individual needs to be performance-driven, proactive, with proven ability to take on challenges, set and execute agenda
  • Strong Leadership and management skills and successful track record of talent development
  • Candidate should be able to take ultimate responsibility for developing team performance, morale, trust and respect

CIB Lead Role-operations Control Manager Resume Examples & Samples

  • Plan, execute and document test scripts and test plans globally
  • Evaluate, test and report on the adequacy and effectiveness of the control environment
  • Analyze risks and proactively identify the root-cause of issues with a view to providing recommendations for improvement where weaknesses are identified
  • Communicate audit results and issues in a clear and concise manner, both verbally and in writing
  • Implement and execute an effective program of continuous auditing for assigned areas. This includes monitoring of key metrics to identify control issues and adverse trends in the control environment and keeping abreast of key initiatives and pertinent industry and regulatory developments
  • Build and maintain key relationships with stakeholders and colleagues, establishing a culture of engagement while adding value, effective teamwork and innovative thinking
  • Disseminate best practice and regulatory requirements. Critically assess the impact of evolving industry and regulatory changes on the business and its control environment
  • Travel to overseas business locations as required
  • Minimum bachelors degree (or equivalent); advanced degree and/or certification (JD, MBA, CAMS etc)
  • Preferred 10+ years of relevant experience which could include compliance, audit and role in the front office
  • A strong, comprehensive understanding of key regulations and current regulatory developments relevant to CIB (FSA, AML etc.) and key Compliance priorities (including oversight of Anti-Money Laundering, Client Asset controls, managing MNPI, etc.)
  • Excellent communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
  • Ability to manage multiple tasks concurrently, with a high sense of urgency
  • Work well individually and in matrixed teams, shares information, support colleagues and staff
  • Demonstrate leadership capabilities, including effective performance management and staff development
  • Enthusiastic, self motivated, effective under pressure and willing to take risk

Operations Control Manager Resume Examples & Samples

  • Develop team members
  • Provides guidance to team members to prepare them for new or challenging situations
  • Ability to continuously learn and adapt
  • Organizational and problem resolution skills
  • Accustomed to multi-tasking and time management
  • Customer service skills including handling customers that are upset or irate
  • Proficient in Sharepoint, Microsoft Word, Excel, & PowerPoint
  • Customer Due Diligence (CDD) research and remediation knowledge is helpful
  • System Knowledge across all lines of business including: BOSS, OMNI, Interact, iPortal, BLAST, Blades, TSYS, Safe Box
  • Knowledge of Compliance and Regulatory Requirements
  • Understanding of Self Identified Audit Issues

Operations Control Mgr-ctr Resume Examples & Samples

  • Bachelor's degree or comparable work experience preferred with 3-5 years supervisory experience
  • Innate knowledge of the Financial Center Support channels
  • Min 2 years of prior CTR experience
  • Min 1 year of Team Lead Management skills
  • Strong communication, problem solving and analytical skills a must
  • MS office and associated tool set strongly recommended

Senior Operations Control Specialist Resume Examples & Samples

  • *Schedule is Monday - Friday, 7:30am - 4:00pm
  • Proven successful communication skills (written, verbal, and interpersonal)
  • Individual typically has 3-5 years of experience in compliance operations with regulatory practices

Operations Control Analyst Resume Examples & Samples

  • Tax form gap mitigation (Onboarding)
  • Refresh of expired tax forms
  • Collection of forms for a change in circumstance
  • GIIN (Global Intermediary Identification Number) Refresh
  • Reporting validation (weekly, monthly and annually)
  • Refund analysis and approval
  • General inquiries
  • Translation and dissemination of Global Tax communications
  • Training of Fulfilment, Service and Operations where necessary
  • Knowledge of both FATCA and CRS Tax Regulations
  • A minimum of 2 years client facing experience
  • Strong attention to detail is critical
  • Proven ability to create and deliver strong business results
  • Good team player, enthusiastic and committed
  • Ability to prioritize, use own initiative and be flexible
  • Proactive approach to problem resolution
  • Ability to work under pressure, meet deadlines, navigate change and prioritize daily

Area Operations Control Administrator Resume Examples & Samples

  • Work Collaboratively
  • Deliver Great Customer Service Acting with Professionalism & Integrity
  • Understand the Organisational Environment
  • Have some understanding of HR practices
  • Proven ability to manage a varied workload and prioritise accordinglyPeople who applied for this job also applied for
  • Operations Support Scheduler

Senior Operations Control Mgr Resume Examples & Samples

  • Establish/maintain the strategy, operational plan, metrics and team reporting
  • Ensures disciplined execution against work streams / projects to include robust execution routines and tollgates Stakeholder Engagement
  • Identifies, partners with, and maintains relationships with key stakeholders
  • Leadership - Leads, mentors and develops complex teams
  • Escalation - Manage escalated issues related to governance, policy implementation and audit remediation activities
  • Sustainable Change - Engages partners in designing future state solutions as a means to drive adoption post assessment
  • Staffing - Secures resources to support deliverables. Closes out resource plan at initiative deploy / close
  • Manage large remediation efforts and verify/attest to the satisfaction of all requirements
  • Working knowledge of bank’s current AML operations
  • Ability to manage multiple and competing priorities
  • Highly collaborative, execution driven and works through influence and engagement
  • Ability to bring multiple stakeholders together, directly address issues to reach consensus & decisions, and demonstrate personal courage
  • Experience managing large programs and groups of people
  • Working knowledge of firm’s technology capabilities and how to leverage technology to improve outcomes

IT Operations Control Specialist Resume Examples & Samples

  • High School Diploma (Havo in NL)
  • 1-4 years related experience
  • Relevant technology, platform, and/or ADP product experience required
  • Strong service orientation and multi-tasking skills
  • Critical thinking and problem solving with excellent communication skills both written and verbal

NAM Loan Operations Control Officier Resume Examples & Samples

  • Lead periodic meetings with Operations Management to review and assess the overall control environment and any required remediation. Evaluate processes to ensure that internal controls are implemented and risks are mitigated related to Operations functions, corporate policies, and regulatory requirements
  • MCA Program Management – work with the MCA team to assist in the coordination of firm-wide initiatives; proactive identification of control issues; monitoring of MCA issues; and consistency of MCA execution
  • Issue/CAP Management – work with staff and Loans Operations management to: identify areas of concern and related risks; develop corrective action plans for significant issues; assess relevance of issues across all regions; monitor and report resolution progress including periodic reviews with management; review support and ensure it adequately addresses closure of the issue; and proactive involvement in business meetings and walkthroughs to identify other control issues
  • Loss/Gain Event Management- Work with Ops mgmt to ensure all events are properly: assessed; documented; supported; and CAPs developed (present to senior mgmt and Independent Ops Risk). Ensure the Bank’s Ops Risk Loss database (EDCS) is appropriately updated & perform all required reviews/approvals
  • Examination Preparedness and Support – work with Operations management to schedule and monitor process walkthroughs; conduct focused review sessions prior to examinations; assist with deliverables; ensure status meetings are conducted during formal reviews to track progress and issue updates; and work with management to ensure responses to all findings are complete, have appropriate owners and target dates, and address compensating controls
  • Reporting – prepare reporting necessary to assist management in understanding outstanding risks and control activities and the status of corrective action; provide input for risk/control decks and required signoffs (e.g., Monthly Control Dashboards & Scorecards, Monthly Operating Review, Disclosure Committee Questionnaire, Statement of Accountability, and Business Risk Reporting Committee materials)
  • Work with the PMA team and coverage area management to understand and comment on KRI exceptions,
  • Complete "deep dive" reviews as identified by Control Officer and agreed with coverage area management, and/or as requested by coverage area management
  • Continue to identify and/or improve existing metrics that can be used to proactively monitor Regulatory, Financial and Non Financial Risks
  • Excellent problem-solving abilities; strong analytical skills; both quantitative and qualitative
  • Minimum of 5 years experience in/knowledge of Loans Operations, specifically Trading, Agency, and/or Originations

CIB Operations Derivative Operations OCM Operations Control Analyst Associate Resume Examples & Samples

  • Drive the control agenda specifically supporting CASS Operations in the Bournemouth Hub, however, with opportunity to offer broader support to other Operations teams across Derivative Operations
  • Coordinate and execute Risk and Controls Self Assessments (RCSA) in partnership with the functional owners in the Operations teams
  • Oversee standard Quality Assurance processes (key controls substantiation testing, thematic reviews and deep-dives) and host meetings to discuss the results with functional managers
  • Identify areas for control improvements
  • Partner with internal operational contacts to conduct operational reviews and deep dives on potential control gaps where required
  • Control Advisory - ad hoc question and answer with Operations teams regarding daily policy compliance, regulatory questions, and other procedural control questions
  • Demonstrated track record of process improvement and / or improving controls in previous roles
  • Demonstrated leadership ability and strong teamwork skills
  • Demonstrates flexibility and willingness to accept changes in priority and challenges in a rapidly changing environment; ability to work in a fast paced environment and work effectively under pressure
  • Strong organizational, project management and problem-solving skills
  • Operational Risk or Internal Controls Experience preferred
  • Experience working with or knowledge of FORCE/RADAR

Manager, Integrated Operations Control Sector Resume Examples & Samples

  • High School graduate or equivalent required, however a college degree is preferred
  • Thorough familiarity with all aspects of AA operations, policies and procedures
  • FAA Aircraft Dispatcher certificate preferred or must obtain
  • AA Dispatcher experience is preferred
  • Demonstrated leadership ability

IT Operations Control Specialist Resume Examples & Samples

  • Responds to changes of state of IT Infrastructure leveraging automation and monitoring systems and tools
  • Effectively drive restoration of normal service operation by leveraging knowledge base articles, previous known solutions, wikis, and all available tools, escalating appropriately
  • Prioritization, execution, and oversight of error conditions, user requests, and changes
  • Communicate impact, work-around procedure, incremental updates on status, and resolution to internal IT organizations verbally on large conference calls or in writing
  • Escalation point for Tier I
  • Respond to and resolve critical hardware, software, and application alerts
  • Advanced troubleshooting, updates, and regular maintenance on Windows, Linux, and UNIX physical and virtual servers
  • Communicate directly with technology teams and business users regarding technology issues, outages, and downtime during planned maintenance
  • Update and add documentation for support procedures and system information
  • Actively seek and implement ways to improve the team's processes, technical knowledge and relationships with other technology and business partners
  • Escalation point for team
  • Ensuring deliverables of department meet established SLA/OLA or other targets
  • Improving departmental processes to ensure expectations of clients are met and exceeded
  • Measuring outcomes, deliverables, and progress of a team and delivering feedback
  • Coaching and mentoring front line associates while providing support and direction to the department
  • Engaging peers and clients for feedback on service quality
  • Negotiating and agreeing to standards, rules of engagement, and other inter-departmental standards
  • Establish and maintain excellent business relationships
  • Developing technical skills, training, and diversifying technical and professional capabilities enhancing associate potential and growth

Cib-fs Operations Control Analyst Resume Examples & Samples

  • Supports the Fund Services team in ensuring that best practice combined with an optimal control environment exists as all times
  • Reviews the risk management framework for the department and ensures the highest level of quality of work is maintained
  • Perform Quality Assurance tests
  • Proficient in Microsoft office applications (Excel and Powerpoint)
  • Experience to roles related MIS creation and Management Reporting is a plus

CIB ITO GMO Operations Control Resume Examples & Samples

  • Global Markets operations’ Internal Control plans follow-up
  • Evaluation and communication on identified operational risks to Management through the control of KPI, prioritization of issues and suggested improvements or action plans
  • Dedicated control reviews
  • Control improvements follow-up

Operations Control Specialist Resume Examples & Samples

  • When the AUTEC Coordination Center (ACC) is manned guard all required AUTEC radio frequencies and circuits
  • Processes range user requests. Locates the appropriate organization and personnel to provide operational and/or administration information
  • Coordinates efforts of the various military units to resolve Real-Time customer requests
  • Conducts follow-up with range users to make sure that the request has been achieved to their satisfaction
  • Coordinates transportation of Navy personnel for C-130 off loads and on-loads
  • Coordinates with the Harbor Master and RUCORD all at sea Rendezvous&#8217
  • Coordinates pick-up and delivery of DATA for transfer on AUTEC RDVU Vessels
  • Assists emergency personnel and AUTEC assets/equipment in the event of Air/Sea accident or natural disaster
  • Maintains daily logbook of all significant events
  • Verifies Target/weapon launch & recovery in the Range Utilization Journal Entry (RUJE) log
  • Performs additional related duties as directed by the Test Operations manager
  • Flexible work schedule, could require both day and night shifts on a rotating basis of 7 on and 7 off / 12-hour shifts
  • May be required to work extended hours for test support or as back-up to Co-worker on vacation or emergency leave
  • College or vocational/technical certification involving customer service and or business courses preferred
  • Prior Armed Forces Service Schools a plus
  • 3 years related experience working in test and range operations environment
  • Former military with a working knowledge of military protocol preferred
  • Familiarity with radio operations and work control procedures is highly desirable
  • Must be able to provide clear and concise information and directions to support personnel as well as range user ships and aircraft
  • Competent in Microsoft Office Suite products (Word, PowerPoint and Excel)
  • Must be able to monitor computer screens/monitors for long periods of time
  • Must be able to walk up and down short stairwell
  • Must be able to reside in remote location with limited medical facilities
  • This position requires the individual to be eligible to obtain a US Government security clearance; US Citizenship is required
  • A valid US Passport and Driver’s License is required