Operations Risk Control Resume Samples

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CA
C Abbott
Chasity
Abbott
15192 Keeling Forest
San Francisco
CA
15192 Keeling Forest
San Francisco
CA
Experience Experience
02/2014 – present
Los Angeles, CA
Operations Risk & Control Specialist
Los Angeles, CA
Operations Risk & Control Specialist
02/2014 – present
Los Angeles, CA
Operations Risk & Control Specialist
02/2014 – present
  • Providing guidance for all risk and control issues that arise
  • Providing quality assurance & control over Operations key control processes
  • Providing an independent assessment of control and risk issues for senior leadership of Operations and outside Risk organizations
  • Working with Operations line management to strengthen the control environment and improve control culture and practices
  • Embedding a risk awareness culture across GMO
  • Providing an oversight responsibility across regulatory processes within Americas GMO and Middle Office
  • Investigate and remediate controls and logic to ensure reporting accuracy
07/2009 – 09/2013
New York, NY
Operations Risk / Control Manager
New York, NY
Operations Risk / Control Manager
07/2009 – 09/2013
New York, NY
Operations Risk / Control Manager
07/2009 – 09/2013
  • Expertise in performing robust risk assessments, identifying and designing effective testing of internal controls and performing effective root cause analysis
  • Responsible for decision making on whether an assessment will apply in particular circumstances or could ultimately be waived due to an extenuating circumstance
  • Perform Quality Control Reviews on all Sworn Documents, and Other Signed Documents, and Notarized documents executed by Commercial Banking personnel using established review testing questions and acceptance criteria
  • Acting control officer supporting the IB Loan Operations team- Support business operations by partnering with the business to create best practice solutions and drive process and control enhancements, providing expertise in risk/controls and the development of corrective action plans
  • Recommend and implement resource and/or process changes to improve service performance
  • Daily interaction with Line of Business staff (to request documentation, clarify issues, issue approvals), JPMC Legal, Compliance, Sworn Documents Librarian, and Quality Management Team
  • Partner closely with QIP managers, internal MIS teams and production process owners to develop effective workflow systems for new volume migrations
05/2006 – 03/2009
Philadelphia, PA
Operations Risk & Control
Philadelphia, PA
Operations Risk & Control
05/2006 – 03/2009
Philadelphia, PA
Operations Risk & Control
05/2006 – 03/2009
  • Working with team management on future developments due to changes in business or market practice
  • Create and maintain effective working relationships with business area management
  • People management including coaching, career development and performance feedback
  • Provide senior management coverage including Operations, Compliance, Finance, Technology and Data and Operations Risk Department
  • Design and implement strategies to more effectively manage entitlements risk and data leakage prevention
  • Assist management in responding to outsourcing requests received from any of our global regulators
  • Provide regular management reports on the key issues/ risk highlights
Education Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
University of California, Berkeley
Bachelor’s Degree in Business
Skills Skills
  • Proven analytical and problem solving skills, alongside the ability to assimilate and learn quickly
  • Ability to set deliverables and help drive agendas forward
  • Strong business analytical skills with ability to prioritize and allocate resources effectively
  • Excellent oral and written communication skills, with the ability to moderate style and delivery as appropriate
  • Working extensively and building relationships with all stakeholder groups that rely on account reference data such as the Enterprise Data Group (EDG), Finance, Credit, Treasury, Regulatory teams, and various Operations Departments
  • Communicating with business units and account opening groups to remediate data discrepancies and to address procedural differences through meetings and conference calls
  • Proven self starter with the ability to independently whilst being a solid team player
  • Knowledge of accounting and basic terminologies used in the financial services sector
  • Excellent verbal and written communication skills
  • Proficient in MS Office suite of applications
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1

Operations Risk & Control Resume Examples & Samples

  • Ensuring the team achieve tight daily reporting and disclosure deadlines by organising and managing the team’s workload
  • Identification and implementation of process improvements
  • People management including coaching, career development and performance feedback
  • Managing the relationship with our vendors at TCS, Chennai (provide 2 employees currently)
  • Ensure the team adhere to firmwide and operations policies and procedures
  • Ability to absorb information and learns quickly
  • Innovation and creative skills – challenges the existing processes and status quo
  • Diversified financial services product knowledge – particularly in Equity products
  • Advanced knowledge of Morgan Stanley trade flows and operational models
2

Operations Risk & Control Resume Examples & Samples

  • Maintain governance of Cross Operations Sub-Ledger Account Ownership and Substantiation Policy and best in class reconciliation/substantiation guidelines
  • Conduct periodic Quality Assurance of substantiation process across Global Operations with RAG status derivation
  • Test reconciliation/substantiation evidence attached in the BCSI tool by the account owners
  • Advise on and track remediation plans to strengthen reconciliation and substantiation practices
  • Maintain senior management reporting and escalation on reconciliation/substantiation control gaps
  • Oversee certification of entire active Operations owned account population in BCSI and 3Rs
  • Work with account owners to resolve unsubstantiated balances identified during the review process
  • Maintain administrative ownership of BCSI certification tool
  • Liaise with Technology and CTB to implement and track improvements to BCSI certification tool functionality
  • Strong accounting knowledge and full understanding of account classification in the General Ledger
  • Experience in designing and managing control functions in Financial Services/Banking industry
  • Ability to coordinate efforts with IT Support to enhance functionality of existing technology platforms
3

Operations Risk & Control Resume Examples & Samples

  • Initiate, design and implement Quality Assurance reviews across Firmwide Operations
  • Analyze & evaluate operations processes to identify operations risk & control deficiencies
  • Assist in the design of process control remediation where required
  • Report risk management findings to Operations Risk & Control Management
  • Perform closure verification of Quality Assurance related action plans
  • Provide assurance that internal controls are comprehensive and effective
  • Perform closure verification of internal & external audit examination action plans
  • Create and maintain effective working relationships with business area management
  • Demonstrate a high standard of conduct and ethics
  • Strong knowledge of financial services operations and the securities markets
  • Strong knowledge of risk-based audit / evaluation practices
  • Outstanding communication skills (both verbal and written)
  • Excellent interpersonal skills able to adjust approach as required
  • Strong analytical & problem solving skills (critical thinking ability)
  • Adaptive and able to meet deadlines on assignments and change priorities as required
  • Collaborative & able to build effective working relationships with all levels of employees
  • Strong skills in negotiating & relationship building
  • Detail oriented and able to quickly grasp big picture issues
  • Driven and able to initiate
  • Committed to self-development
4

Operations Risk & Control Resume Examples & Samples

  • Production - performing the daily calculations, monthly FCA returns, stakeholder engagement
  • Production support - change management, project delivery, process improvement, new product approval
  • Risk & Control - breach process, risk reviews, training coordination
  • Governance - coordination of governance requirements, audits, FCA interaction, ad hoc requests
  • Development of the Client Money risk and control framework
  • Interacting with users, analyzing and escalating issues
  • Completing aspects of month end and quarter end reporting and the production of timely and accurate management information
  • Carrying out the program of cycling controls testing across the Client Money framework
  • Working with team management on future developments due to changes in business or market practice
  • Working with Compliance on strategic initiatives where specific assistance is required
  • Interacting with the other teams in the Client Money team
  • Liaise with the relevant Operations teams in Glasgow, London and various offices globally
  • Communication - clear and timely
  • Confidence in dealing with senior management and multiple stakeholder groups
  • Ability to assimilate multiple sources of information and produce succinct, accurate summary
  • Develop and maintain effective working relationships across a broad spectrum of stakeholders
  • Understand the principles of operational risk management and their application in an operations environment
  • Experience of dealing with regulatory issues, and in particular the CASS rules, would be beneficial, but is not a pre-requisite of the role
5

Operations Risk & Control Resume Examples & Samples

  • Oversight and management of the Asia CAS processes and reporting (excl Japan)
  • Production and delivery of Asia Governance Monthly Update for Asia CAP Governance Committee
  • Production and delivery of Asia CAP regulatory reporting and internal management reporting
  • Analysis and appropriate escalation of any breaches identified
  • Management of regulatory breaches i.e. maintaining of a log, ensuring breaches & actions logged in incident tool RECAP, tracking actions through to remediation and ensuring training demand fed into education plan in RADAR
  • Maintenance & delivery of an education strategy & training plan to ensure that staff are aware of CAS regulations in respective jurisdictions and their responsibilities
  • Strong functional knowledge of client money regulations (especially in Asia)
  • Ability to analyse and assess impact of changes on existing processes and identify action required to comply
  • Good management, leadership, and communication skills
  • Good communication skills including ability to write documents for presentation to senior management and regulators
  • Ability to coordinate efforts with IT support to create new tools and enhance functionality of existing technology platforms
6

Operations Risk & Control Resume Examples & Samples

  • Analyse and understand the impact of any new requirements on existing businesses
  • Define and implement new business processes as a result of the change portfolio
  • Display leadership in delivering effective requirements for the change portfolio
  • Generate, manage and deliver key process improvement initiatives (including benefit projection and realisation)
  • Control and Risk focus
  • Self motivated with a strong sense of ownership and accountability for tasks and people
7

Operations Risk & Control Resume Examples & Samples

  • Formulate, communicate, and test new locational tools (Assessment reports; ServiceNow alerts, etc) in support of scenario driven responses of Ops departments to emergency situations
  • Coordinate internal and external testing throughout the year, including required regulatory testing
  • Coordinate semi-annual BCP plan refresh / maintenance and work with coordinators to ensure accurate updates in Firm BCP plan repository
  • Assist team members with work area backup testing across a geographically disperse area
  • Produce analyses and presentations in support of major program improvements
  • Communicate relevant information to regional Ops leaders, especially during incidents, and act as the focal point for regional situations and Operations assessments
  • Produce and present BCP Awareness sessions to Officers, New Hires, and BCP Coordinators
  • Coordinate work area backup testing with Tech and Data Disaster Recovery and Firm BCM
  • Expand the regional participation for assigned groups in the Interagency Paper/ Sound Practices Program
  • Assist Ops BCP officers with ad hoc information gathering and research
  • Coordinate Ops reporter assessments during Tech outages or major locational emergencies
  • Ability to institute new programs that increase Ops? resiliency
  • Strong relationship-building skills, across organisational boundaries
  • Carry out that work in a global team, with a focus on completing jobs in a timely and efficient manner
  • Skilled in desktop applications (Excel, Word, and PowerPoint)
  • Ability to work independently, with remote direct supervision but multiple local indirect managers
  • General understanding of business continuity practices and the capability to integrate same
8

Operations Risk & Control Resume Examples & Samples

  • Oversight and management of the EMEA client Risk, Control, and Governance processes
  • Production and delivery of reporting requirements including key governance committees, risk committees, board requirements and updates for the regulators
  • Working with the UK Client Money Risk Officer with respect to client money breaches
  • Oversight of Governance and report planning for FCA, Board, and Audit Committees. - Delivery within the client money regulatory change agenda including facilitation of the impact assessment of proposed regulatory and business change as it pertains to the risk, control, and governance teams
  • Identification and ongoing assessment of CM & CA controls and escalation of issues and risks as appropriate
  • Superior communication skills including ability to write documents for presentation to senior management and regulators
  • Strong functional knowledge of client money regulations
9

Operations Risk & Control Resume Examples & Samples

  • Oversight and management of the EMEA client money production processes
  • Working adjacent to the UK Client Money Risk Officer with respect to client money breaches
  • Oversight of an education strategy & training plan to ensure that staff are aware of FCA CASS regulations and their responsibilities (delivery of training will be split across both teams)
  • Delivery of the client money regulatory change agenda including facilitation of the impact assessment of proposed regulatory and business change, ensuring appropriate prioritisation and funding and management of any external vendor relationships
10

Operations Risk & Control Manager Resume Examples & Samples

  • A professional certification in risk management is highly desired
  • 12 years progressive work related experience with demonstrated proficiency and understanding of operational risk
  • 6 years supervisory or management level experience
  • Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance
  • Demonstrated advanced knowledge of principles and practices of accounting and financial analysis
  • Strong communication skills, both verbally and written
  • Ability to perform multiple tasks in a fluid environment, and to work both independently and as a team member
  • Demonstrated ability to access and analyze actual and emerging risks within highly complex Functions/LOB’s
  • MBA or advance degree
  • Consulting experience at a corporate level Experience in the financial services industry; Project management skills, Strong writing and verbal skills, Ability to work within a matrix organization
11

Operations Risk Control Resume Examples & Samples

  • Review exceptions/breaks and the quality of research conducted by TCS and provide relevant feedback where necessary
  • Participate in Weekly Risk Meeting to review all outstanding risk issues with TCS
  • Perform various intra-day & end of day control checks on occasional basis to ensure that TCS delivers quality output
  • Assist staff at TCS to perform root cause analysis and elimination of issues at source
  • Provide Subject Matter Expertise to TCS on a range of reconciliations
  • Identify risk issues, escalate where appropriate and provide assistance in resolving
  • Ensure upward and peer communication of developments and issues
  • Perform various reconciliation functions for those processes retained within the Control Group
  • Ensure the teams SLAs are met and, where possible, exceeded
  • Actively seeking out opportunities to improve the teams control framework and ensuring controls are carried out in as efficient a manner as possible
  • Ensuring existing procedures are documented, kept current and complied with
  • Participate in testing to protect process from impacts of system/booking changes
  • Developing and maintaining relationships with key stakeholders and business partners
  • Build an understanding of our process and how this links to our clients requirements and the regulatory framework
  • Pro-actively communicate exceptions / issues within our processes which may impact our clients but are out with our immediate scope of reporting
  • Provide periodic updates on project deliverables to team management
  • Participate in weekly / monthly risk meetings with key internal stakeholders, providing updates on outstanding issues
  • Proven analytical and problem solving skills, alongside the ability to assimilate and learn quickly
  • Excellent organisational skills, including working with and ensuring vendor team meet deadlines consistently
  • Demonstrates ownership of issues and an eye for detail and thoroughness
  • Excellent oral and written communication skills, with the ability to moderate style and delivery as appropriate
  • Confident, well-rounded and methodical in approach
  • The ability to work in a constantly changing environment; identifying where process improvements can be made
  • Guardianship focused, with the ability to identify risk areas and question accordingly
  • Focus on delivering superior client service
  • Proven self starter with the ability to independently whilst being a solid team player
  • Proficient in MS Office suite of applications
  • Knowledge of Market Risk Theory and Concepts
  • Knowledge of Fixed Income, Equity & Commodities Products
  • Knowledge of Firm Trading, Operations and Finance Systems
12

Operations Risk & Control Administrative Assistant Resume Examples & Samples

  • Provide excellent telephone coverage including ability to manage priorities; handle urgent calls with professionalism and good judgment
  • Arrange large group meetings; schedule meetings with all parties; book meeting rooms and call-in numbers; arrange special meeting facilities; send meeting confirmation emails; prepare and distribute meeting materials
  • Maintain executive calendars; schedule/reschedule meetings. Highlighting attendance in advance as well as printing documents needed
  • Highlighting upcoming significant meetings to senior executives. Arranging prep meetings if necessary
  • Handle business travel; book travel arrangements; coordinate out-of-town meeting schedules; prepare travel and expense reports
  • Maintain executive files; correspondence files; document files; personal office files
  • Handle executive mail; pre-sort and prioritize; respond to simple, immediate requests
  • Strong ability to write and prepare letters and presentations independently
  • Able to manage projects as necessary
  • Navigate firm; interface with various departments on behalf of executives to collect information, respond to requests, obtain service, etc
  • Miscellaneous support; including, but not limited to preparation of copies; ordering of supplies and maintaining supplies drawer; handling faxes; maintaining orderly, fully-functioning work area for executives and their staff
  • Must be extremely well organized
  • Strong interpersonal skills and collaborative work style
  • Flexible and ability to work in a demanding fast paced environment juggling multiple tasks simultaneously
  • Proficient with all office technology; advanced skills in MSOffice, particularly Word, Excel and PowerPoint
  • Outstanding attention to detail and follow-up
  • Strong time management/prioritization skills and solid judgment
  • Self-motivated, innovative, hardworking individual, who can handle changing priorities and multiple tasks
  • Must be a customer service oriented, team-player eager to assist colleagues and members of the department at all levels
13

Operations Risk & Control Manager Resume Examples & Samples

  • Act as a Regional (EMEA) functional specialist in up to three of Operation’s core processes - Card Operations, Investments, Liabilities, Account Opening & Credit Initiation, Collections, Customer Service, Core Operations and Fraud Execution
  • Co-author the Minimum Control Standards and evolve the control requirements in line with emerging risks, lessons learned, market trends or business strategy. Ensure each business adopts the MCS requirements and verify that there is a consistent approach between the MCS, the local MCA program and any applicable KRIs
  • Implement the Consumer Operations Issue Management process, which ensures that risk events are properly identified, escalated, analyzed, remediated and reported. Complete defect analysis to identify weakness in design and/or execution, then introduce preventative measures to prevent reoccurrences
  • Provide support and advice to EMEA Consumer Operations units with regards to audits; ensuring that issues identified during an audit are reviewed for accuracy and that responses are of an appropriate standard
  • Oversee any policy/process/standards deviation, which includes assessing the gap, documenting the risk and presenting any recommendations to senior management
  • Develop an interactive relationship with the in-country control units to ensure that assessment programs on the MCS are incorporated into their schedules. Develop and maintain the knowledge and awareness of developments in the Consumer business and operations in terms of changes in products, processes, technology, organization structure and regulatory environment to ensure that the control environment is updated to address these
  • Partner and leverage with appropriate organizations across Citi to enhance the culture of controls and embed a high level of control awareness across Consumer Ops
  • Establish and promote the right forums and mechanisms to deliver increased control awareness and provide active consultation and guidance to operations groups across the EMEA Consumer Region
14

Operations Risk & Control Resume Examples & Samples

  • Contribute to oversight of the work performed at the third-party vendor by carrying out control checks, monitoring performance and being a point a contact to assist with any queries
  • Contribute to the monitoring of periodic entitlements reviews to ensure completion by reviewers and monitors, providing ongoing completion rates of the reviews
  • Assisting reviewers and Risk Managers with completing the Segregation of Duties reviews while liaising with Technology and Information Risk, where required
  • Contribute to the monitoring of employee transfers and terminations ensuring that entitlements are assigned correctly and that there is no over entitlement or aged revocations
  • Performing post mortems on high and critical rated misdirect communications identifying where processes can be enhanced to mitigate risk of similar incidents reoccurring
  • Ensuring that there is sufficient reviewer and monitor coverage in the Entitlements Management Platform
  • Liaising with Technology and Information Risk and the relevant Business Unit to configure applications in the Next Generating Provisioning (NGP) tool
15

Operations Risk & Control Resume Examples & Samples

  • Close communication with dedicated compliance team
  • Strong academic background
  • Exhibit a strong sense of urgency, accountability and ownership
  • Team-player
  • Ability to work under high work pressure
  • Innovative and creative ? challenges the existing processes and status quo
  • Prior experience of trade flows and operational models
  • Prior experience of working in a regulatory environment
16

Operations Risk & Control Associate Resume Examples & Samples

  • Liaise with senior stakeholders in the Operations, Compliance, and Technology
  • Work with technology partners to define the functional and technical design to support business processing requirements
  • Collaborate with Management to ensure common standards and best practice related to the project lifecycle are implemented and followed
  • Track and communicate project status to wider team and management
  • Collaborate with the Project team on test plan development, design test strategy and manage the UAT process
  • Ability to interact and influence effectively at all levels of the organization
17

Am-gwm Operations Risk & Control Associate Resume Examples & Samples

  • Strong communications and interpersonal skills, including dispute resolution
  • Highly motivated
  • Able to operate with minimal oversight
  • Forward-looking and creative thinker
  • Ops 99 or equivalent (if none, will need to address this requirement within 120 days of starting the role)
  • Experience in risk management, metrics management, business management or other roles with coordination responsibilities across a diverse set of stakeholders
  • Experience in direct interface with Senior Management / Senior Leadership
18

Operations Risk Control Resume Examples & Samples

  • Demonstrating information and project management skills through the following
  • Responding and assisting in stakeholder requests around reference data, system dependencies, and account opening
  • Managing a population of account referential data, working with relevant stakeholders to identifying system dependencies and data consumption
  • Re-validating and proposing standard changes to Account Usage Steering Committee
  • Notifying account stakeholders when reference data is misaligned based on validated standards and working to remediate discrepancies
  • Supporting ad hoc requests relating to Regulatory Compliance and/or Legal Entity-related Programs through execution of surveys, data collection, and communication to relevant stakeholders
  • Engaging in weekly team meetings with the larger Data Governance team to highlight achievements, work priorities, and to provide updates on work stream (as assigned)
  • Gathering and presenting risk metrics as requested to support additional governance work streams by conducting surveys and/or setting up meetings as necessary
  • Leading communication with various stakeholders and reference data consumers
  • Driving reference data agenda with stakeholders, consumers, and data providers through communication
  • Communicating with business units and account opening groups to remediate data discrepancies and to address procedural differences through meetings and conference calls
  • Acting as reference data consultant to various project managers tasked with Firm-wide initiatives and participating in Account Usage Steering Committee or any other relevant Committees as needed
  • Working extensively and building relationships with all stakeholder groups that rely on account reference data such as the Enterprise Data Group (EDG), Finance, Credit, Treasury, Regulatory teams, and various Operations Departments
  • Strong business analytical skills with ability to prioritize and allocate resources effectively
  • Ability to handle large volumes of data intensive functions
  • Ability to work effectively in a team environment as well as independently
  • Ability to set deliverables and help drive agendas forward
  • Strong technical skills in various Microsoft Office Tools (particularly Access, Excel, Visio, Project and PowerPoint)
  • Work experience as a business analyst would be desirable
  • Detail oriented and well organized
  • Familiarity with Morgan Stanley systems would be advantageous
19

Operations & Risk Control Balance Sheet Substantiation Associate Resume Examples & Samples

  • Ability to design and implement creative and flexible solutions to problems
  • Experience in reconciliation processes would be advantageous, as would knowledge of financial markets and products
  • A strong interest in and enthusiasm for building a career in Financial Services
  • Familiarity with Morgan Stanley systems would be beneficial
20

Z-operations Risk & Control Analyst Resume Examples & Samples

  • Excellent presentation skills and the development of related materials
  • Strong organizational and prioritizing skills
  • Ability to drive execution and meet deadlines
  • Intermediate experience with MS Office applications, specifically Word, Excel, and Visio
21

Mortgage Lending Operations Risk & Control Analyst Resume Examples & Samples

  • Perform ongoing oversight of operational risk and controls in key ML functions such as retail originations, correspondent lending, fulfillment, loan servicing, collections, loss mitigation and other key mortgage operations
  • Assume ownership of assigned work streams to evaluate key processes and risk controls in ML
  • Utilize Key Risk Indicator (KRI) reports and Key Performance Indicator (KPI) reports to monitor operations and risk control effectiveness. Recommend enhancement to reports and monitoring tools
  • Develop and/or provide oversight to ensure root cause is communicated back to the responsible ML functional area (ensure accountabilities established). Ensure corrective action plans are established and managed
  • Coordinate with ML Risk and Control Issues Resolution Manager to ensure identified issues are escalated, tracked, prioritized and managed
  • Lead or assist in the prioritization, tracking and oversight of open issues
  • Assist project work teams to consider solutions to identified problems in order to meet the objectives of ML functions
  • Perform process and risk control validation of remediation performed by the mortgage line of business
  • Excellent analytical and communication skills (verbal and written)
  • Excellent organizational and planning skills
  • Risk management experience
  • Supplemental education and experience in residential mortgage lending (e.g. operations, audit, processing, quality control, loss mitigation, underwriting)
  • Financial control experience
  • Strong knowledge of investor/insurer guidelines, including Federal Home Loan Mortgage Corporation (FHLMC), Federal National Mortgage Association (FNMA), Federal Housing Administration (FHA) and Veteran Affairs (VA)
22

Operations Risk & Control Manager Wholesale Loan Operations Resume Examples & Samples

  • Managing key functions of the Flood QA team as far as validating corrections from the lines of business, internal peer reviews, and internal/external audit findings
  • Managing a team to effectively update and get approval on all procedure and process changes
  • Integrating more tightly the team communication on the observations from the key functions and all procedural changes
  • Conceptualize, socialize, and introduce enhancements leading to increased efficiency and accuracy
  • Partner with various lines of business to confirm exceptions, determine root causes, and drive enhancements
  • 5-7 years of management experience and college degree are strongly preferred
  • A functional understanding of the Flood Regulation and Flood documents is strongly preferred
  • Experience in team management with the ability to manage and build an effective team
  • Detail-oriented with a strong emphasis on quality
  • Strong organizational skills and the ability to follow problems through to a solution
  • Experience in process design, program management, business analysis, and quality automation is preferred
23

Operations Risk & Control Resume Examples & Samples

  • Impact analysis for all reporting functions for new product memos
  • Impact analysis of new or changes to existing regulatory rules
  • Work with production team and Technology to develop business requirements documents for system changes
  • Implementation of regulatory or business-driven change (including process design, training and handover to the production team)
  • Issue management and analysis to support remediation
  • Contribute to the monthly metrics providing meaningful MI to support volume, workload and issue prioritisation
  • Perform gap analysis on processes and procedures to identify control enhancements
  • Draft test plans, execute user acceptance testing and co-ordinate testing inputs from the production team
  • Support global DOI initiatives
  • Knowledge of equity and equity derivatives products
  • Strong experience with MS Office (Excel, Power Point, and Visio)
24

Operations Risk & Control Disclosure of Interest Associate Resume Examples & Samples

  • Monitoring of various exceptions to highlight potential disclosure obligations across EMEA (approximately 30 jurisdictions)
  • Building knowledge of security transactions and various product types
  • Has the ability to absorb information and learns quickly
  • Equity product knowledge
25

Cib-operations Risk / Control Analyst Resume Examples & Samples

  • ·5+ years experience in financial services (investment management) industry
  • ·Working knowledge of Core Cash Operations
  • Sound understanding of risk management and audit methodologies
  • University/college degree or may possess professional registration or certification
  • Relevant work experience across all aspects of a particular function or process is needed to contribute at the expected level and lead others
26

Operations Risk & Control Analyst Firmwide Operations Resume Examples & Samples

  • Demonstrate Teamwork and Production Management skills
  • Verify counterparty understanding of position
  • Ensure communication out to external counterparties is current, accurate and up to date
  • Maintain counterparty repository of information; financial institution, name, contact information, etc
  • Maintain and develop regulatory knowledge and serve as a contact for 17A13
  • Develop and maintain effective partnerships with all stakeholders on 17A13 related issues
  • Identify, manage, escalate, track and ensure resolution of issues
  • Support projects to improve the 17A13 process
  • Work with stakeholders and team members to deliver assignments within deadlines
  • Ensures existence of mitigating controls and constantly question procedures, checklists and processes to ensure that they are current and accurate
  • Technical skills in various Microsoft Office Tools (particularly Access, Excel, Visio, Project and PowerPoint)
27

Reference Data Operations Risk & Control Specialist Resume Examples & Samples

  • Assist to create and maintain risk control framework for Client and Account Reference Data
  • Develop deep understanding of business and their risk and control structure
  • Review existing procedures and processes, undertake fact finding and initial investigations and ultimately to suggest improvements and to implement change to ensure the workflows and processes are well controlled and meet regulatory requirements
  • Develop and maintain risk and control strategy and documentation
  • Conduct semi-annual Control self assessment review
  • Partner with business to identify key risk/control deficiencies
  • Track and maintain an inventory of internal/external Audit inquiries and findings and monitor the implementation of the remediation plans
  • Facilitate action plan & risk acceptance tracking
  • Hold targeted control reviews/testing as required
  • Establish and Monitor Operational Error Reporting, Tracking and Resolution
  • Improve control metrics and reporting depicting status of key controls and control breakdowns
  • Ensure controlled and tested Client and Account Reference Data environment to support enhancements and data clean-up
  • Produce client and account control scorecards on a regular basis
  • Document and Report Privacy breaches, including implementation of enhanced controls
  • Training for new joiners relating to a proper control environment
  • Support control and risk related initiatives and participate in working groups and other ad hoc requests
  • Minimum 5 years in the Financial Services industry with background in Risk/Control Assessment, Auditing, Quality Assurance or Risk Management required (Big 4 experience preferred)
  • Extensive understanding of internal control and risk management concepts
  • Demonstrated leadership capabilities, initiative, problem solving & results orientation with attention to detail
  • Strong organizational and time management skills; ability to manage multiple and conflicting priorities, in a global organization; ability to adapt to a fast paced environment
  • Ability to work with cross-location teams
  • Strong interpersonal skills, exceptional relationship building and influencing skills
  • Control mind-set and proficiency in identification of control gaps and implementation of mitigating processes
  • Proficiency with MS Office applications (Word, Excel,PowerPoint)
28

Operations Risk & Control Associate Firmwide Operations Resume Examples & Samples

  • Monthly coordinate across the ORG organization as well as other Operations risk teams to collect data which is required for the production of the Global report
  • Work with teams to understand information which was provided and validate accuracy of data when feeding into the global report
  • Create reporting for action items and monitor/follow up on any items which become overdue
  • Ability to work within tight delivery timeframes
  • Strong experience with MS Office (Excel, Power Point, and other)
29

CIB Operations Reference Data Operations Risk & Control Manager Resume Examples & Samples

  • Lead and manage control and risk related intiatives and projects
  • Semi-Annual Control self assessment review
  • Action plan & risk acceptance tracking and handle Privacy breaches
  • Business Continuity planning
  • Targeted control reviews as required
  • Maintain and develop audit relationship as it relates to the operation
  • Capacity Planning
  • Lead Metrics Review, Monthly Control Meetings and Operational Error Reporting
  • Involved in business changes (as relates to control environment)
  • Training for new joiners relating to a proper control environment. Participate in working groups and other projects
  • At least 5 years Operations and Management experience required
  • Excellent leadership, initiative, resilience, problem solving & results orientation
  • Work with cross-location teams
  • Proficiency in identification of control gaps and implementation of mitigating processes
  • Lead focused discussions to achieve specific objectives (strong facilitation skills)
  • Passion for the agenda: strong desire to make a quick impact to the organization through a successful program
  • Proficiency with MS Office applications (Word, Excel,PowerPoint); Strong Excel and Powerpoint skills is a plus
30

Operations Risk & Control CTB Analyst Resume Examples & Samples

  • Responsible for the collation of business requirements and testing approach for the project
  • Update key stakeholders on current work drivers, achievements, significant issues and risks
  • Develop an effective network of stakeholders to facilitate easy integration of changes quickly with new areas of the Firm
  • Proficient in MS-Excel and MS-Word
31

Operations Risk & Control Analyst Wholesale Loan Operations Resume Examples & Samples

  • Determine effectiveness of controls through end to end process reviews and testing
  • Support business partners to conduct in depth root cause analysis for issues and assist in the development of remediation plans
  • Design and execute targeted testing to determine remediation effectiveness
  • Input testing results into internal CSA tracking system
  • Perform root cause analysis on risk events, audit issues, customer complaints
  • Retrieve and interpret loan documents and other pertinent source documents as necessary to complete CSA testing requirements
  • Support business operations by partnering with the business to create best practice solutions and drive process and control enhancements, providing expertise in risk/controls and the development of corrective action plans
32

Operations Risk & Control Resume Examples & Samples

  • The successful candidate will be responsible for completion of reconciliations and root cause investigation in addition to reconciliation related project work and testing. The successful candidate will report into the Credit Risk Director responsible for their specific products
  • The successful candidate should be a confident and experienced associate
  • The successful candidate should have a record of accomplishment of delivering against tight deadlines and SLA targets
  • The successful candidate should be a confident well-rounded methodical person with strong analytical skills, interested in a technical role where they will expected to understand the detail of the trade flows, products, accounting and systems
  • Attention to detail and accuracy is essential (Responsible for metrics preparation and escalation of issues)
  • Excellent communication skills both oral and written are essential (requires dealing with UK and international colleagues from a variety of Morgan Stanley departments on a regular basis)
  • Task orientated, inquisitive in nature, the successful candidate will be required to ensure issues and processes are challenged
  • The successful candidate should be self-motivated and have the ability to work consistently and efficiently to achieve goals either as an individual or as part of a team
  • The successful candidate should have the ability and confidence to identify and raise risk issues to management, and to suggest solutions to issues, process improvements or highlight Gaps and areas of concern
  • Proficient with Microsoft Office - Access, Excel, Word, and PowerPoint
  • Knowledge of Credit Risk Theory and Concepts
  • Knowledge of Firm Trading, Operations and Finance System architecture
  • Knowledge of OTC Derivative and Financing Products
  • Proficient with Omega WISE (ability to create reports and controls)
33

Operations Risk & Control Glasgow CTB Associate Resume Examples & Samples

  • Working with senior stakeholders in the project space across relevant business functions to deliver the team's global projects; be responsible for the collation of business requirements and testing approach and execution for system implementation and process change for Operations Risk and Control projects and wider control issues, contributing towards delivery on multiple projects
  • Collaborate with Management to ensure common standards and best practice are implemented within the European region and globally
  • Self motivated with a strong sense of ownership and accountability for tasks
34

Operations Risk & Control Resume Examples & Samples

  • Manage/supervise a small specialist team
  • Supervise a remote vendor team, providing feedback, where appropriate
  • Manage the daily business as usual processes and maintain desktop procedures for those processes
  • Assist management in responding to outsourcing requests received from any of our global regulators
  • Analyse and determine appropriate legal documentation requirements based upon location, legal entity relationship and scenario
  • Provide guidance to the Operations (Ops) divisional areas concerning the initiation phase of the Firm's transition process
  • Work with a vendor to provide guidance to the Ops divisional areas concerning the legal documentation requirements and drafting of Ops: TO (Task Order)/SOW (Statement of Work) and WSP (Written Supervisory Procedure) /SCD (supervisory Control Documents)
  • Perform reviews of Operations drafted documentation, providing feedback where appropriate on identified findings with both Ops divisional areas and Legal, where required
  • Facilitate the annual review process of the legal documentation for all Operations outsourcing
  • Facilitate interaction between LCD and Operations
  • Facilitate the storage of the documentation on Firm systems of the Task Orders (TO) /Statement of Work (SOW) and Written Supervisory Procedures (WSP)/ Supervisory Control Documents) (SCD)
  • Develop and maintain a strong working relationship with divisions throughout the organisation, including, Legal, Compliance, Global Workforce Strategy and Solutions and the wider team
  • Manage the day to day relationship between Operations Risk and Control and a Vendor, providing support to the Control Teams and facilitating the monthly governance call
  • Previous experience of managing and supervising a team
  • Previous experience of supervising a vendor team in a remote location
  • Business writing ability - experience should include creation/editing of legal documentation
  • The ability to interact and influence effectively at all levels of the organization to present views and gain consensus amongst them
  • Strong attention to detail and accuracy
  • Understands the business they support and how to add value to it
  • Recognises risk in day-to-day processes, draws out the key issues and suggests ideas for continuous improvement
  • Documents and details processes and procedures in order to manage changes to new or existing work streams
  • Performs the majority of day-to-day activities with minimal guidance and supervision
  • Key problem solver and decision maker for their area of responsibility
  • Establishes clear goals and sets priorities for themselves, and teaches others their job function
  • Addresses non-standard issues within their area of expertise with minimal guidance and supervision
  • Shares expert knowledge across the team and contributes significantly to team output and development
  • Will be required to build and manage relationships on a day to day level with key stakeholders
  • Understands client needs/requests and seeks clarification if required
  • The ability to communicate technical matters in a concise manner
  • The ability to multi-task and grasp new concepts quickly
  • Excellent prioritisation and time management skills
  • The ability to work independently and as part of a team
  • Proficiency in Microsoft Word, Excel and PowerPoint is essential
35

Operations Risk / Control Analyst Resume Examples & Samples

  • Enhances the control environment
  • Assists the functional units with the monitoring of issues and adherence to CSA action plans
  • Assists with the implementation of all change control initiatives
  • Reviews all new and updated Sworn Document and Collections Litigation procedures
  • Oversight for implementation of new Sworn Documents and changes to existing documents. Also serves as the secondary Librarian for documents
  • Facilitates the identification, dissemination and implementation of best practices across the organization
  • Assists in the monitoring of all Consent Order workstream reporting to assess the overall health of workstream team activities
  • Minimum of 3 – 5 years experience in risk management, change management or related job experience in Operations or Controls job functions
  • Strong analytical and consulting skills required
  • Previous experience with risk based analysis methodologies. Bachelor’s degree or equivalent work experience required
  • Candidate must be articulate, detail oriented, and able to work independently
  • Candidate should possess a proactive approach toward problem solving
  • Project Management skills are preferred
  • Good interpersonal skills, negotiation skills, and ability to influence are required
  • Strong partnership and team building skills are required
  • A Bachelor's degree or equivalent work experience is preferred
36

Operations Risk & Control Glasgow Business Management Associate Resume Examples & Samples

  • Reporting of financials, expense allocations and headcount
  • Deliver timely and accurate financial information and analysis to ORC management team and support groups
  • Communications to Business Units and internal firm-wide stakeholders on costs, efficiencies, metrics on a monthly/quarterly basis
  • Reviews of ORCs contribution to Operations wide metrics (Cost Per Trade, Capacity & Constraints, etc.)
  • Support and faceoff with Division Management, Operations COOs/BM community and Financial Controllers
  • On-going analyses and transparency of IT related costs
  • Support Location strategy through financial/headcount management
  • Identification of cost levers and efficiencies to generate savings
  • Support People & Culture agenda and reporting for the division
37

Operations Risk & Control Resume Examples & Samples

  • Some people management responsibility within the Glasgow team
  • Act as an escalation point for issues requiring additional management focus
  • Work closely with IMR management in Glasgow, Mumbai and New York in ensuring that the global team are successful in meeting goals
  • Monitoring and escalation of various exceptions to highlight and mitigate risk
  • Analysis of global exception reports, identifying and highlighting trends
  • Gathering of commentary from various business areas, and collation of this commentary for submission to Senior Management
  • Building a detailed understanding of each exception type, allowing complex queries to be answered and commentary to be questioned and challenged
  • Providing support to other members of the team, both locally and globally
  • Strong organizational and time management skills, with the ability to prioritise workload as necessary
  • Team-player, with the ability to also work independently
  • Risk awareness ability to recognize potential risk issues
  • Innovative and creative challenges the existing processes
  • Diversified financial markets and product knowledge
  • Experience of working with Vendors would be beneficial
  • Experience of reporting tools such as Qlikview / Cognos would be advantageous
38

Operations Risk & Control Resume Examples & Samples

  • Production performing the daily calculations, monthly FCA returns, stakeholder engagement
  • Production support change management, project delivery, process improvement, new product approval
  • Risk & Control breach process, risk reviews, training coordination
  • Governance coordination of governance requirements, audits, FCA interaction, ad hoc requests
  • Carrying out one of the daily Client Money calculations
  • Interacting with users, analysing and escalating issues
  • Carrying out part of the month end process
  • Interacting with the on-going Client Money project team
  • The role requires clear and effective communication, interpersonal skills and analysis. Some business knowledge of financial products is needed, which can be developed; however good communication skills, analysis skills and time management are essential
  • The successful candidate will be well organized personally and need to be able to interact with people at all levels within the organization
  • This role has no line management responsibility, but the successful candidate will need to manage the large user group of the key AQUA system in order to get the answers needed to complete the daily functions. They will also need to have the confidence to interact with senior people for signing off the calculations, or when escalation is required
  • The successful candidate will be a team player who works well face to face and remotely. The sharing of information is key to the success of the team
  • In addition, the successful candidate will be expected to manage and take ownership for issues effectively and this will involve influencing skills to ensure issues are resolved effectively and at the right level
39

Operations Risk & Control Resume Examples & Samples

  • Responsible for the Operations Regulatory Oversight function in the region (Asia including Japan)
  • Main duties of the regional role include but not limited to
  • Provide senior management coverage including Operations, Compliance, Finance, Technology and Data and Operations Risk Department
  • Partner with Legal and Compliance Department on regulatory rule change management
  • Provide risk oversight on regulatory inspection as well as internal/ external audits
  • Provide regular management reports on the key issues/ risk highlights
  • Chair Regulatory reporting governance meeting to provide transparency to senior management on the regulatory reporting risk/ issues and to drive risk initiatives/ remediation plan
  • Partner with global head to ensure global consistency for regional execution
40

Operations Risk & Control Resume Examples & Samples

  • Operations Risk and Control Group (Ops R&C) is a global team committed to ensure that adequate controls are in place to mitigate operational risk across
  • Operations and to protect the firm from such risks. With increased demand over regulatory risk and controls, a challenging opportunity has come up for a Director Role to work in a team to provide robust regulatory risk oversight across Asia Operations
  • Provide risk manager/ line officer coverage including Operations, Compliance, Finance, Technology and Data and Operations Risk Department
  • Provide management presentation in the Asia Regulatory reporting governance meeting to provide transparency to senior management on the regulatory reporting risk/ issues and to drive risk initiatives/ remediation plan
  • Proactive, self-motivated, ability to execute independently
  • Good communication and presentation skill to drive senior management meeting
  • Good interpersonal skills - Ability to interact effectively with others across departments, regions and time zones
  • Ability to execute under tight timelines and with high quality
41

Operations Risk & Control Resume Examples & Samples

  • Highly committed and self-motivated
  • Positive Attitude and Confident
  • Well organized with High regard for attention to detail and accuracy
  • Strong written and verbal communication skills; excellent follow-up skills
  • Expertise in making presentations for management & other stakeholders
  • Demonstrates strong interpersonal skills
  • Expert in multi-tasking, organizing and prioritizing critical tasks
  • Good knowledge of MS-Office
  • Having basic Risk Management understanding
42

Operations Risk & Control Analyst Wholesale Loan Operations Resume Examples & Samples

  • Assess risks applicable to Credit Support and Middle Office business functions across the LOBs supported by Wholesale Loan Operations
  • Design and execute targeted testing to determine effectiveness of controls around Credit Support and Middle Office business functions
  • Prepare executive level reporting of key risk and control metrics
  • Support business operations by sharing "best practices" and current risk issues; reinforce importance of a strong control culture within operational teams
  • Bachelor’s degree with an emphasis in Accounting or Finance or a combination of education/experience consistent with the above that would demonstrate the capability to perform the duties of the position successfully
  • Previous experience (3-5 years) in external or internal auditing and knowledge of operational functions within the banking industry
  • Supervisory skills or project management skills a plus
  • Specific experience in Commercial Banking and/or Credit Administration
  • Certification (CPA or CIA), a plus
  • Expertise in performing robust risk assessments, identifying and designing effective testing of internal controls and performing effective root cause analysis
  • Expertise with auditing techniques including appropriate sampling, performance of controls testing and documentation required to meet the reperformance standard
  • Ability to formulate and clearly document appropriate conclusions on control effectiveness based on testing performed
  • Proven aptitude for recommending process improvements and strengthening controls
  • Supervisory skills/defining/monitoring tasks to completion
  • Strong familiarity with commercial banking lending operations, regulations and lending related source documents
  • Ability to organize and prioritize work, to remain flexible and productive through shifting priorities and deadlines and to handle tasks concurrently
  • Intermediate to advanced experience with Excel, Word and PowerPoint required; Visio experience preferred
43

Operations Risk & Control Executive Assistant Resume Examples & Samples

  • Telephone coverage (Ex. answer phones, take accurate messages, know executive's whereabouts at all times, handle urgent/confidential calls with appropriate judgment; back-up other lines, as needed.)
  • Maintain executive's calendar, schedule all meetings and conference calls, field e-mails and phone calls requesting meetings, handle meeting conflicts and prioritization issues
  • Update and maintain senior management team's shared calendar
  • Navigate Firm's resources, interface with various departments on behalf of executives to collect information, respond to requests, obtain services
  • Research materials from intra/internet
  • Responsible for distributing executives mail, prioritize; arrange messenger and overnight package services
  • Arrange all aspects of travel. Including keeping executives travel profile up-to-date, manage approvals for any travel. Arranging flights, hotels, rental car and sedan service, currency exchange using agency and online services
  • Prepare all itineraries
  • Prepare and submit all expense reports on a timely basis
44

Operations Risk & Control VP-firmwide Operations Resume Examples & Samples

  • Deliver Quarterly Forecasts and annual Budgets. Drive the coordination of inputs across all line and change the bank teams
  • Support central coordination for all Firm and Divisional management projects and engagements by ORC Operations personnel
  • Support ORC management and provide analysis on Financials and Headcount. Work with the management team on future developments due to changes in business or market practice
  • Maintain financial control by overseeing monthly expenses and work with FCG to correct errors
  • Manage resourcing requests and review business cases. Oversee the regular resourcing process of PeopleTracker, Taleo, Simba and RMS
  • Promote a financial awareness and accountability culture across Operations
  • Complete Semi Annual Business Review, Stakeholder Storyboards, Town hall presentations and offsite analysis
  • Previous experience in Financial Planning and Analysis Function
  • Previous experience in Change Management
  • Knowledge of Trade Lifecycles across one or all asset classes
  • Proven relationship management skills and ability to influence others
  • Knowledge of financial services operations trade support function
45

Operations Risk & Control Goup Associate Resume Examples & Samples

  • Assist in facilitating and coordinating firmwide risk projects
  • Escalating any identified/ perceived risk issues to senior management where appropriate
  • Demonstrating a good understanding of risk issues and initiatives of the region
  • Maintaining stakeholder relationship with functional lines and external parties (Firm ORD, TIR, IAD, Compliance etc.)
  • Conducting theme analysis on risk, control, root causes from incidents, audit/ inspection findings across Operations and identifying lessons learned
  • Proactively identify control gaps and assist in remediating; developing risk/ control framework and best practices
  • Assist in promoting risk culture through regular communication and sharing, risk identification and assessment, training, metrics and reporting, audit/ inspection coordination, etc
46

Operations Risk & Control Resume Examples & Samples

  • Interface with stakeholders and senior management to confirm project sponsorship and support, align strategies, and report progress, achievements, significant issues and risks
  • Comprised of architects and strategists who are responsible for assessing and designing solutions in line with the needs of upstream and downstream partners
  • Perform a current state assessment of risks and issues impacting Operations Risk and Control functions
  • Lead in overall strategy and solution design including providing both high level and detailed views
  • Project
  • Comprised of Project Leads and Business Analysts who are responsible for working with the stakeholders to deliver Operations Risk and Control projects
  • Remit of project scope includes Regulatory change, Sub-ledger change, Balance Sheet Substantiation, and Special Projects and can span both IT and non IT Projects
  • Works with the PMO to ensure adherence to the agreed project operating model and governance lifecycle
  • Act as first point of contact externally for any new work
  • Provide supporting services to project execution leads by maintaining the tools, standardized processes and reporting of project data
  • Manage budgeting & forecasting and resource allocation as demanded by the projects
  • Knowledge of current US Regulatory initiatives and upcoming Regulatory agenda
  • Experience of project management and change management principles
47

Operations Risk & Control Resume Examples & Samples

  • The role reports to the Global Operations Risk and Control Change the Bank Lead and will be accountable to the EMEA Head of Operations Risk and Control
  • Engaging with EMEA Legal and Compliance, EMEA Operations Regulatory Oversight and wider EMEA ORC functional leads to understand ongoing EMEA regulatory rule requirements
  • Proactively driving change activities required within ORC and in partnership with wider Operations teams to successfully implement regulatory changes
  • Leading and challenging the definition and evaluation of strategic options for implementing regulatory change as well as the wider regulatory framework
  • Supporting the multiple regulatory updates from to programme steering committees, Operations Management, the EMEA Risk, Audit, UK governance and Board-level committees
  • Regional management of ORC change the bank staff and contribution to the global ORC and wider Operations change agenda
  • Proven experience operating at a senior level in a financial institution together with deep experience of a complex operational risk and regulatory environment
  • Proven experience establishing, managing and delivering complex change programmes
  • The ability to prepare written reports to a high professional standard alongside effective verbal communication skills (i.e. being able to communicate clearly and decisively to colleagues and senior stakeholders) will be a key candidate attribute
  • An intrinsic ability to identify priorities and deliver outputs on time to a consistently high standard, alongside a proven ability to work within tight delivery timeframes
  • Ability to coordinate efforts with other divisional heads and Legal and Compliance leads
48

Operations Risk & Control Specialist Resume Examples & Samples

  • This role will provide Risk coverage in Baltimore. The Risk Manager provides product coverage of the Capital Markets & Core Processing team located in Baltimore, assists in supporting the CMCP team located in New York, and provides central risk coverage
  • The Risk Manager and team are responsible for addressing day-to-day risk related issues such as incident management, BCP events, escalation and trouble shooting
  • Additionally the Risk Manager and team are responsible for a variety of Operational Risk management responsibilities and programs including Risk & Control Self Assessments (RCSA), review and resolution of Segregation of Duties (SoD) conflicts, management of system entitlements, oversight of the BCP program, conduct control testing of processes, coordinate and facilitate internal and regulatory examinations, and ensure remediation of any gaps in Operations controls
49

Operations Risk & Control Resume Examples & Samples

  • Drive Morgan Stanley’s Operations analysis of EMEA Regulatory Change events leading to identification of firm-wide impacting initiatives; driving interpretation and impact assessment of proposed regulatory change
  • Engaging with EMEA Legal and Compliance, EMEA Government Relations and wider EMEA Divisions to support ongoing
  • EMEA regulatory rule assessment
  • Working with senior stakeholders across the firm to assist in delivering Global Regulatory Projects
  • Responsible for the definition of business requirements, testing approaches and execution for system implementation and process change for Operations Risk and Control projects and wider control issues, contributing towards delivery on multiple strategic and tactical projects
  • Supporting central analysis for all EMEA regulatory initiatives impacting Production and delivery of key inputs E.G. Rule Interpretations to key governance committees, risk committees, analysis of regulatory impact on Morgan Stanley’s business
  • Management, analysis and appropriate escalation of relevant regulatory breaches, defining solutions, actions and tracking through to remediation
  • Modelling of Operations and Firm-Wide business process in order to gain a complete understanding of regulatory impact to current procedures, processes across Operations and the subsequent impacts firm-wide, identifying and documenting requirements to an industry standard
  • Perform feasibility analysis, projects scoping, and working alongside the project management teams to prioritise deliverables, and negotiate on product functionalities
  • Defining project requirements by identifying project milestones, outcomes, outputs, and phasing; assisting to establish project budgets and business plans
  • Proven analytical and problem solving skills; ability to define and maintain business requirements etc
  • Understanding of the trade lifecycle and the various downstream user requirements of trade and financial data
  • Experience in modelling business processes, and has good documentation skills
  • Proven experience operating at a Manager / Director in a financial institution, with knowledge of investment bank operations, and relevant trade life cycles
  • Strong functional knowledge of Global or EMEA Transaction Reporting Regulations (MiFID/EMIR/REMIT)
50

Operations Risk & Control Resume Examples & Samples

  • Engaging with EMEA Legal and Compliance, EMEA Government Relations and wider EMEA Divisions to support ongoing EMEA regulatory rule assessment
  • Supporting central analysis for all EMEA regulatory initiatives impacting
  • Production and delivery of key inputs E.G. Rule Interpretations to key governance committees, risk committees, analysis of regulatory impact on Morgan Stanley’s business
51

Operations Risk & Control Analyst Resume Examples & Samples

  • Ensure the uniform net capital calculation (SEC Rule 15C3-1) from an Operations perspective. This includes supporting the production of the Financial and Operational Combined Uniform Single Report (FOCUS)
  • Support the regulatory reporting regional strategy project
  • Support the development of programs and execute reviews on operational controls and the effectiveness of meeting operational regulatory expectations
  • Proactively explores tactical and strategic solutions to close identified control gaps, working with other groups as appropriate
  • Ensures existence of mitigating controls and constantly question procedures, checklists and reports to ensure that they are current and accurate
52

Operations Risk & Control Analyst Resume Examples & Samples

  • Execute and continually refine process for review of transactions for loans in a flood zone including origination, trigger events, policy renewals, lender placement, vendor quality monitoring, and remaps to determine quality in terms of compliance with regulations and company policy
  • Support business operations by partnering with various lines of business to confirm exceptions, determine root causes and drive control enhancements
  • Review quality assurance reviews completed by internal analysts for accuracy
  • Complete quality assurance reviews and serve as backup to internal analysts
  • Collaborate with lines of business to validate that observations identified by internal analysts are remediated within established deadlines
  • Update workflow tracking database as applicable to insure data integrity and accurate reporting
  • Bachelor’s Degree or qualified work experience required
  • Insurance expert with specific experience in commercial property, casualty, and flood insurance
  • Understanding and working knowledge of flood insurance regulatory requirements including calculation of insurance requirements, required timing and content of notifications, policy renewals, and lender placed policies, and insurance cancellations
  • Specific experience in Compliance with Flood regulations preferred
  • Thorough understanding of flood insurance, Biggert-Waters and flood insurance regulations with which lenders are required to comply
  • Must understand Actual Cash Value, Replacement Cost Value and be able to calculate Insurable Value based on statutory and bank requirements
  • Ability to analyze complex blanket insurance policies and confirm coverage is sufficient and compliant with bank policy and regulation
  • A functional understanding of real estate lending and associated loan documents is strongly preferred
  • Working knowledge of lending operations processes and internal controls
  • Certification (CPA, CIA, CPCU, NARM), a plus
  • Specific experience with a Quality Review Program, a plus
  • Excellent communication, presentation, analytical and problem solving skills
  • Ability to perform detailed work and report results in a clear, concise manner at the appropriate level
  • Proficiency with standard MS office products including Power Point, EXCEL and use of databases for accumulation and reporting on large amounts of data
53

Operations Risk & Control Manager Resume Examples & Samples

  • Oversee the execution and continued enhancement of the control framework within the context of the Firm’s global control mandate
  • Maintain global protocols and reporting for Issue Management and Risk Control Self Assessment (RCSA)
  • Partner with Corporate Functions Control Officers in implementation and maintenance of Business Control Committees for Corporate Functions
  • Identify and implement best practices leveraging Corporate Function Control Officers and factoring in industry best practice; drive change within the organization to strengthen the control framework
  • Represent Corporate Functions Control Program Office as required
  • Guide and collaborate with Corporate Functions Control Officers in preparing for internal audits and supervisory exams, as well as, the management of existing and resulting issues
  • Partner with Corporate Functions Control Officers, Internal Audit, Exam Management, Operational Risk and other control functions in driving the strategic agenda to improve the control framework as well as execution of tactical steps
  • Work with training to identify and implement robust business training on control framework and execution
  • Follow-up with accountable Control Officers to ensure control issues (regulatory, audit, compliance identified, and business/self identified) are effectively resolved
  • Minimum of 10 years experience in audit, compliance, operations, risk or regulatory examination with a deep understanding of controls, control framework, effective root cause analysis, control self assessments, new business initiative approvals and third party oversight
  • Experience in governance and oversight roles
  • Demonstrated ability to lead and influence across organizational and geographical boundaries
  • Strong control orientation, analytical, communication and negotiation skills
  • Ability to build rapport, garnering respect and appropriately exercise authority in a collaborative cross-cultural environment
  • Preferred locations for this role are Jersey City, NJ or Columbus, OH
54

Operations Risk & Control Manager Resume Examples & Samples

  • Responsible for supporting a team of approximately 14 quality specialists
  • Responsible for excellent internal and external customer service
  • Manages a functional unit including accountability for effective and efficient processes and services to both internal and external clients
  • Manages and directs overall team activities, manages team metrics, coaches for improvement, and monitors progress
  • Manages projects as assigned
  • Bachelor’s degree with 2-4 years of financial services, regulatory and compliance experience or equivalent is required
  • 2-4 years experience managing and directing employees in a Quality Assurance setting
  • Financial services industry knowledge with regulatory practices, including lending, loan processing and support operations
  • Excellent decision-making skills are crucial, as are oral and written communication skills
  • Strong analytical skills including the ability to probe sensitive issues while maintaining the highest level of integrity and objectivity
  • Extensive experience with reading and interpreting regulatory and compliance procedures against the loan documentation
  • Ability to organize and prioritize work, and handle multiple tasks concurrently
  • Productivity and flexibility through shifting priorities and deadlines are required
  • Accuracy and attention to detail are imperative
  • Demonstrate the ability to function in a joint, cooperative manner; share information with co-workers and peers and support department and team plans, programs, and policies
  • Support a teamwork/team spirit environment and present a professional attitude/image within department and in all company interactions
  • Business Banking, Commercial Banking and Private Banking experience is a plus
  • Experience with VLS, RLOTS, Loan IQ, ACBS, Ivault, Dealworks is a plus
  • Intermediate to advanced use of Microsoft Word, Excel, Access is a plus
55

Operations Risk & Control Analyst Wholesale Loan Operations Collateral & Documentation Resume Examples & Samples

  • Produce project reporting and tracking documentation to evaluate progress of CTRAC project
  • Manage issue resolution process and corrective action as necessary
  • Facilitate/lead/participate in meetings at the business, operational and technology levels
  • Participate in defining scope, requirements, milestones, and deliverables
  • Communicate with business partners and management regarding progress and recommendations/decisions; develop effective presentations and project update materials suitable for senior executives
  • Resolve conflict through broad decision making
  • Minimum of 3 years in the financial services market, loan operations and/or loan technology required
  • Compliance or Regulatory experience preferred
  • Ability to lead and influence without having positional authority
  • Strong team-orientation, leadership skills and proven ability to develop strong client relationships
  • Proficient with Microsoft PowerPoint, Excel, and Visio
  • Experience with JIRA, Microsoft Access, Confluence, and Basalmic a plus
56

Operations Risk / Control Manager Resume Examples & Samples

  • Manage team of 4-7 Quality Assurance Analysts
  • Perform Quality Control Reviews on all Sworn Documents, and Other Signed Documents, and Notarized documents executed by Commercial Banking personnel using established review testing questions and acceptance criteria
  • Represent WLO in discussions on the strategic direction of Sworn Documents and Notary
  • Track and preserve supporting documentation as a trusted sources for future audits
  • Author and maintain Quality Control procedures to remain in alignment with the Firm’s Policies
  • Daily interaction with Line of Business staff (to request documentation, clarify issues, issue approvals), JPMC Legal, Compliance, Sworn Documents Librarian, and Quality Management Team
  • Review and escalate Quality Control findings with Execution Area Managers and key business partners, to drive for transparency and remediation
  • Prepare Report Metrics and assist in Quality Assurance monthly testing process
  • Bachelor’s degree plus 7-10 years of controls experience or equivalent is required
  • Previous experience managing small teams - a true passion for people management
  • A functional understanding of Sworn Document execution and Notary is strongly preferred
  • Ability to learn rules, policies, procedures, regulations and laws pertaining to collections litigation documents
  • Detail-oriented with a strong emphasis on quality, risks, controls, and process improvement
  • Ability to work collaboratively as well as independently in a fast paced, deadline driven environment
  • Experience in audit, procedure writing, and training is preferred
  • Proficiency with standard MS office products including Power Point and EXCEL
57

Operations Risk / Control Manager Resume Examples & Samples

  • Responsible for the operational MIS needs of the Quality Assurance (QIP) team
  • Develop and support strategic data analysis of QA and BAU production
  • Maintain a dynamic and comprehensive resource capacity model that ensures compliance with established service level agreements and partner expectations
  • Recommend and implement resource and/or process changes to improve service performance
  • Partner closely with QIP managers, internal MIS teams and production process owners to develop effective workflow systems for new volume migrations
  • Manage operational projects and deliverables as assigned
  • Bachelor’s degree with 2-4 years of MIS, Analytics, Finance, Management Consulting or the equivalent in educational background
  • Advanced-level ability with MS Office tools (Excel, Pivot Tables, Access, VBA, PowerPoint)
  • Experience developing business analysis models for large scale, global operations teams
  • Ability to deliver timely, high quality reporting, and analysis from diverse data sources
  • Strong prioritization skills to handle multiple tasks and competing priorities
  • Excellent productivity, communication and flexibility in a fast-paced changing environment
  • Attention to detail, with experience creating executive quality presentations
  • Exposure to Business Intelligence toolsets and database platforms: SQL Server Reporting Services (SSRS), Business Objects, SAS, Crystal, SQL/Oracle/Teradata, etc., preferred
58

Operations Risk & Control Analyst Resume Examples & Samples

  • Manages client relationships
  • Performs advanced data analysis in support of risk management project activities
  • Identifies, reviews, assesses and documents risk management and control issues in assigned business processes
  • Collaborates with various business units across the firm to develop controls and strategies which address risk
  • Supports the development and execution of key operational risk management activities, including, loss event analysis and reporting, operational control analysis, segregation of duties review, logical access roles development, data privacy analysis, business continuity activities, and/or business process engineering
  • Facilitates presentations and workshop sessions on process analysis, risk identification, assessment, control and mitigation
  • Recommends process improvements for risk management processes and procedures
  • Benchmarks industry best practices and maintains currency in risk management processes and procedures
  • Performs other duties and responsibilities as assigned
  • Risk and control frameworks (COSO, Basel II, etc.)
  • Understanding and documenting business process workflow and control points
  • Preparing and delivering oral and written presentations
  • Partner with others to accomplish objectives
  • Develop relationships with all levels of management
  • Maintain currency in risk management policies, procedures and methodologies
  • Interpret and apply policies
  • Manage multiple tasks with changing priorities to meet deadlines in a fast paced environment with constant interruptions
  • Establish and maintain effective working relationships with others
  • Solve complex problems
  • Bachelor’s Degree (B.A.) in Finance, Accounting, Business or related field with a minimum of five (5) years of risk management, internal control, audit, or information security experience
59

Operations Risk / Control Manager Resume Examples & Samples

  • Manage, monitor and track a pipeline of third party supplier's compliance to the Third Party Oversight program
  • Act as a central point for all Engagement Requests
  • Responsible for monitoring through various reports, tools, and system research for all engagements/services associated with the third party supplier
  • Responsible for decision making on whether an assessment will apply in particular circumstances or could ultimately be waived due to an extenuating circumstance
  • Monitor and ensure all applicable risk assessments are completed in the appropriate timeframe based on third party risk tier and managing timelines
  • Understand all assessment issues and monitor and report remediation plan issues until the third party supplier has remediated all reported issues
  • Work with all levels of the organization to fully understand and document the business needs and any identified solutions
  • Assist in training Senior Managers on the TPO procedures and systems
  • Oversee multiple countries/regions
  • Work on adhoc projects as required, administer meetings, produce documentation and coordinate actions
  • Responsible to ensure all requirements of TPO are met which could require working directly with Sourcing, Audit, Risk, Legal, Information Security, Privacy and Third Party Oversight
  • Good networking skills and proven experience with liaising with multiple teams
  • Ability to interact with both JPMC and supplier management
  • Good time management and the ability to work unsupervised, a natural self-starter
  • Strong MS Office suite skills (Excel, Word, Power Point) – SharePoint knowledge
  • Good presentation skills & Strong oral and written communication skills
  • Ability to lead and multitask
  • Degree or significant previous equivalent work experience is preferred
  • High level knowledge of TPO standards preferred
  • Strong knowledge and experience with the corporate Sourcing, AP, and standard TPO systems is preferred
  • Outstanding analytical, organizational and research skills
60

Operations Risk Control Manager Resume Examples & Samples

  • Provide oversight for and drive compliance with Collections Litigation and Bankruptcy policy
  • Function as liaison for policy and process changes supported by analytics
  • Inventory and assess available Collection Litigation and Bankruptcy data sources
  • Develop strategies for data mining for use in analytics and standards for data collection, analysis and reporting
  • Develop a common data taxonomy for Collections Litigation and Bankruptcy risk analytics
  • Develop validation methodologies for data and metrics utilized
  • Act as liaison with multiple stakeholders to solicit information and data, document current state and to develop future state strategy while meeting business needs and regulatory commitments
  • Analyze data and reports to derive performance improvement opportunities, perform root cause analysis and collaborate on viable solutions to drive simplification, efficiency and enhanced operational processes
  • Drive optimization of data and reporting
  • Demonstrate proficiency in accessing multiple Collections Litigation and Bankruptcy platforms, systems, applications and data repositories across the firm
  • Support assigned firm wide projects
  • 10 years experience in data management preferred
  • 5 years experience in quantitative analytics preferred
  • Ability to excel in a highly complex data environment
  • Ability to manage complicated projects through entire lifecycle
  • Ability to consistently meet aggressive timelines
  • Advanced understanding of program management and project life cycle
  • Advanced proficiency with MS Excel and Access including vba with databased design and development required
  • Proficiency in use of relational database technology, data warehousing concepts and data retrieval using SQL, SAS, Business Objects and Cognos
  • Ability to write/execute Oracle SQL, Business Objects and Cognos queries from multiple metadata sources and schemas required,
  • Proficiency in Chase data environments, schemas and tools, preferred
61

AML Operations Risk & Control Senior Analyst B Resume Examples & Samples

  • 3+ yrs experience and knowledge of AML/BSA and compliance matters
  • Anticipate and respond to internal customer needs; follow through and complete requests on time
  • Excellent corporate work ethics (timely, respectful and considerate to others, honest.)
  • Demonstrate the ability to make sound decisions and exercise sound judgment
  • Demonstrate ethical behavior with regard to information security
62

Operations Risk & Control Specialist Resume Examples & Samples

  • Providing quality assurance & control over Operations key control processes
  • Providing an independent assessment of control and risk issues for senior leadership of Operations and outside Risk organizations
  • Working with Operations line management to strengthen the control environment and improve control culture and practices
  • Embedding a risk awareness culture across GMO
  • Providing an oversight responsibility across regulatory processes within Americas GMO and Middle Office
  • Reviewing and analyzing risk data including; Credit Alerts, New Product Reviews, Operational Losses, Regulatory submissions, Audit Status reporting, Sox and Finance reporting
  • Providing Risk Business analysis on strategic risk change programs and directing priorities to remediating technology change requirements to mitigate those risks identified
  • Providing guidance for all risk and control issues that arise
  • Perform a monthly independent risk assessment based on key risk and environmental risk
  • Set risk appetite and risk scoring
  • Present findings and opinions to senior management
  • Assist the Line of Business (LOB) with development of control policies and procedures
  • Oversee the updating of process control documentation by the LOB (process maps, business self-assessment, etc.) throughout the year, as process/controls/staffing changes occur
  • Support the timely closure of LOB Process Control Standard gaps, review LOB action plans and ensure successful implementation in conjunction with PCS standards
  • Assist LOB in developing SIAIs and coordination of tollgates with Corporate Audit and COO team
  • Monitor/gather/provide status reporting of issue remediation plan milestones to the Audit Liaison team
  • Assist in the completion of pre-audit review documentation
  • Assist the LOB with documenting and reporting Operations Losses and near miss data
  • Understand root cause, make recommendations for improvements to operational processes and facilitate any changes
  • Assist in the identification of key risks and Key Risk indicators/Key Control Indicators with the LOB
  • Monitor Task Tracker supervisory reviews and escalate non-compliance as required
  • Assist the LOB with control implementation/modification based on regulatory updates
  • Attend weekly control meetings to review and action control breaks and issues
  • Complete the requirements as set out by the Global Risk & Control function in respect of specific initiatives and projects e.g. payment controls including SSIs, payment thresholds, segregation of duties, Quality Assurance testing, OFAC controls, confidential data, balance sheet & EIRT
  • Work closely with other divisions e.g. Middle Office, Technology, Finance, Audit, and Compliance on key control issues to develop appropriate reporting and processes
  • Experience in corporate operations, risk and compliance environment
  • Knowledge of broker dealer/bank operations
  • Responsive to demanding deadlines
  • Ability to work with multiple levels of management
  • Ability to learn quickly and adjust as requirements change
  • Experience dealing in multi-region operations environment
  • Experience with database concepts
  • Experience with interdependency analysis
63

CIB Ops-operations Risk / Control Manager Resume Examples & Samples

  • Work directly with Operations Management and staff to ensure an effectively designed control environment exists
  • Partner with Operations Risk Management, Information Risk Management, Internal Audit and internal and external auditors to ensure compliance with corporate and regulatory compliance directives
  • Help maintain Risk & Control Self Assessments (RCSA’s). In addition to maintenance functions, ensure entry, update, and closure of action plans and risk acceptances timely
  • Partner with IT Risk in support of technology staff, as needed, to improve controls over technology assets
  • Work on any special compliance and security-related projects as required by management
  • Execute Internal Risk Reviews to identify risks and assess related controls to ensure the adequacy of the control environment
  • As necessary, assist with execution of required Sarbanes-Oxley testing. Document and report results to business and technology management and upstream corporate oversight
  • Assist with all internal and external examinations
  • Experience with operational risk analysis, process improvement, end-to-end process reviews and process flow mapping
  • Experience executing deep dive reviews to identify process and control gaps and identify the root cause of issues to ensure appropriate controls are enhanced or implemented to prevent reoccurrence
  • Understanding of key controls and how they impact the business from an operational, accounting and/or systems perspective
  • Ability to identify and assess impact of proposed product, accounting, operational and technology/infrastructure changes on the overall control environment
  • Assess and determine implications of new or changes to regulations on processes and controls (e.g., BSA/AML; Sanctions Screening, Privacy, etc)
  • Foster partnerships with all stakeholders, both internal and external
  • Ability to identify ways to increase efficiency and effectiveness of work performed and resources utilized
  • Ability to analyze and recognize patterns, relationships and trends from a variety of data points to determine impact on risk and controls
  • Identify and analyze issues/concerns to determine full end-to-end impact outside of silos
  • Build and execute effective testing strategies to assess risk and controls
  • Provide sound advice and guidance to add value and address problems
  • Work in partnership with stakeholders to contribute to the firm's success
  • Communicate clearly and persuasively with colleagues and stakeholders across a variety of levels
  • Is articulate and composed when delivering difficult messages to stakeholders
  • Effectively mediate and resolve conflict either within existing team or with stakeholders
  • Attentive listener who is able to receive and react appropriately to feedback provided by stakeholders
  • Minimum education required: Bachelor's degree or equivalent in Business Administration, Finance, Economics, Accounting or related field. Employer will accept a combination of degrees in Business Administration, Finance, Economics, Accounting or related field as meeting the Bachelor's degree requirement
64

Operations Risk / Control Analyst Resume Examples & Samples

  • Assess risks applicable to Credit Administration, Middle Office, and Loan Trading business functions across the LOBs supported by Wholesale Loan Operations
  • Map risks to key processes within Commercial Bank Operations and ensure controls are properly aligned to activities having moderate to very high inherent risk
  • Partner with business unit management to develop action plans and provide recommendations to remediate issues identified. Monitor the status of actions plans to drive on-time completion
  • Act as liaison for internal and external audits and compliance reviews
  • Excellent communication, presentation, analytical and problem solving skills
  • Expertise in performing robust risk assessments, identifying and designing effective testing of internal controls and performing effective root cause analysis
  • Expertise with auditing techniques including appropriate sampling, performance of controls testing and documentation required to meet the performance standard
  • Ability to formulate and clearly document appropriate conclusions on control effectiveness based on testing performed
  • Proven aptitude for recommending process improvements and strengthening controls
  • Supervisory skills/defining/monitoring tasks to completion
  • Strong familiarity with commercial banking lending operations, regulations and lending related source documents
  • Intermediate to advanced experience with Excel, Word and PowerPoint required; Visio experience preferred
65

Operations Risk & Control Change The Bank Associate Resume Examples & Samples

  • Analyze and understand the impact of any new requirements on existing businesses
  • Define new business processes as a result of the change portfolio
  • Contribute to building business cases with measurable benefits and costs
  • Work with stakeholders to perform analysis and capture business requirements
  • Forge and maintain relationships with various groups throughout the Firm
  • Ability to interact effectively at all levels of the organization
  • Excellent written and verbal communication skills and confidence to lead meetings
  • Demonstrate experience of analytical and problem solving skills
66

Operations Risk & Control Associate Resume Examples & Samples

  • Investigate and remediate product data issues to ensure position accuracy
  • Research short position reports and complete regulatory filings (e.g. FINRA Rule 4560)
  • Maintain effective partnerships with all stakeholders on regulatory related issues
  • Work with Compliance to ensure awareness and appropriate interpretation of regulatory requirements and application to MS data
  • An undergraduate degree in business, finance or other related fields
  • Proactively explores tactical and strategic solutions to close identified control gaps
67

Operations Risk & Control Specialist Resume Examples & Samples

  • Substantial Shareholding
  • Monitor and report firm?s substantial equity positions and trading activity in accordance with various regulatory position requirements (e.g. SEC 13G, 13F, FERC, etc.)
  • Confirm alerting rules are defined properly in order to ensure accurate monitoring/filings
  • Short Interest Reporting
  • Assist with FINRA inquiries
  • Investigate and remediate controls and logic to ensure reporting accuracy
  • Become involved in various other Regulatory Reporting processes and ad hoc projects
  • Prior experience in operational risk, modeling or information technology, or legal experience on a broad array of regulatory operations issues
  • Challenges assumptions, enforces consistent standards and champions new ideas
  • Ability to manage and prioritize responsibilities according to reporting deadlines
  • Highly motivated with outstanding record of professional achievement
68

Operations Risk & Control Specialist Change the Bank-firmwide Operations Resume Examples & Samples

  • Display leadership and value-add capabilities in delivering effective requirements for the change portfolio
  • Ensure projects have thorough business cases with measurable benefits and costs
  • Work with IT to deliver requirements into future state system deliveries
  • Communicate project status, risks, issues and next steps to Finance, Operations and IT colleagues and stakeholders
  • Manage and grow staff careers
  • Display a knowledge of the trade lifecycle from Front to Back and be able to identify opportunities for change or synergies with other change initiatives
69

Operations Risk & Control Resume Examples & Samples

  • Responsible for ensuring that Operations for all trading activities are robust, with high levels of control and in line with all regulations across the industry
  • Complete regulatory reporting for all operation activities, including position reporting, outstanding shares information and reconciliation reporting
  • Complete reconciliation for various products and investigate any breaks
  • Work on global project to ensure that the bank remains ahead of its competitors and provides an high level of service to its clients, ensuring that clients turn to this bank to provide its financial solutions
  • Work with other Lines of Business on any irregular trades
  • This is fantastic opportunity for a junior candidate to get experience of all elements of an Investment Bank and develop their skills in an area that is growing in importance with exposure to senior managers within the organization
  • All candidates require is knowledge of financial services and work experience within any area of a financial institution
  • The desire to work within a role that overlooks all activities within operation and faces off to regulators and senior managers
  • Business level English and native Japanese
  • If candidates have experience of Operations this will be a plus point
  • Knowledge of recent regulations affecting Investment Banking
70

Operations Risk & Control VP-firmwide Operations Resume Examples & Samples

  • Ensure the appropriate monitoring and filing of short interest reporting requirements, including assisting with FINRA inquiries
  • Ensure the appropriate monitoring and reporting for Disclosure of Interest requirements for Americas Jurisdictions including
  • Oversight and supervision of equity position monitoring and reporting for compliance with regulatory requirements specifically including filings for SEC 13D/G/F, Section 16 form 3 and 4
  • Daily interaction with Compliance, Front Office, and the Control Group to monitor for specific equity ownership limits and ensure potential risks of large holdings is appropriately evaluated and trading is restricted, as necessary
  • Liaison with Legal and Compliance and IT to analyze, interpret and incorporate market and regulatory changes from regulators; maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for operations regulatory advice and interact with regulators as needed to provide information and responses
  • Develop and maintain effective partnerships with all stakeholders on regulatory related issues
  • Oversee the development and improvement of the Firm?s regulatory systems including enhancements required by regulatory changes
  • Manage, escalate, track and ensure resolution on issues that pose operational regulatory risk to the bank
  • 8+ years of related experience in the banking industry
  • Legal, Business, Accounting or Finance related postgraduate degree desired
71

Operations Risk & Control Analyst Resume Examples & Samples

  • Leads the work of others and provides training in risk management and internal control techniques
  • Coaches and mentors less experienced associates within the Operations Controls department
  • Assists with the development and execution of key operational risk management activities, including, loss event analysis and reporting, operational control analysis, segregation of duties review, logical access roles development, data privacy analysis, business continuity activities, and/or business process engineering
  • Assists with facilitating presentations and workshop sessions on process analysis, risk identification, assessment, control and mitigation
  • Concepts, practices and procedures of risk management (including Operational Risk Management, Enterprise Risk Management and Business Continuity)
  • Finance and/or basic accounting principles, practices and procedures
  • Conducting and documenting risk and control assessments
  • Performing due diligence
  • Develop relationships with various levels of management
  • Solve moderately complex problems
72

MYS Ctsm Kl-aml Operations Risk & Control Manager Resume Examples & Samples

  • Communicates and interacts regularly with employees and business management on IS related programs, policies, and standards
  • Integrates GISO priorities into day-to-day business
  • Communicates with the GISO and business managers; escalates as appropriate
  • Provides general IS consulting services including interpretation and/or clarification
  • Supports the business by reviewing Third Party contract language as it relates to IS
  • Exercises oversight to the IS program within the business, including programs, policies, and related reporting
  • Participates in the IS community on committees and cross-business/functional opportunities
  • Reviews status of business IS program and oversees corrective action when necessary
  • Develops corrective action language for all IS-related gaps and approves all closures by reviewing evidence to ensure the closure meets Citi requirements or industry best practices
  • Collaborates to create Risk Acceptances (RAs), Risk Exceptions (REs), and Corrective Action Plans (CAPs) in the appropriate tools (iCAPs, CIRAS, etc.)
  • Ensures that approvals and reviews are executed when needed
  • Performs IS awareness and training activities, including IS education of new employees
  • Ensures IS awareness materials are distributed per CISS requirements
  • Monitors/tracks IS training per CISS requirements
  • Assists with Third Party IS Assessment (TPISA) follow-up
  • Ensures IS Risk Assessment is performed according to Citi standards by partnering with the businesses throughout the ISRA process and determines the impact of control deficiencies
  • Ensures Information Owners periodically review CSI IS-related information and it is accurate
  • Engages a TISO, SME or another senior ISO where additional technical knowledge is required
  • Operations Management Experience
  • Awareness of AML regulation and banking products
  • Must be Computer Literate
  • Analysis and research skills
  • 0-3 years' experience in IS or other Risk Management activities and at least 2 IS programs including but not limited to Audit Reviews, IS Risk Assessment, Awareness and Training, Identity Access and Management, Data Protection, Incident Management, Vulnerability Assessment
  • Solid business experience, preferably in a controls type role
  • An awareness of the fundamentals in information security
73

MYS Ctsm Kl-aml Operations Risk & Control Resume Examples & Samples

  • Assist the Risk and Control Senior Manager as a primary point of contact for Risk and Control related queries and matters
  • Ensure compliance to global standard policies, procedures and tools
  • Ensuring that all critical functions are documented in the hub procedures, and that all controls are appropriately defined and implemented
  • Validating that the procedures, tools and training in place in the hub meet policy and control recommendations
  • Assist the Risk and Control Senior Manager to ensure that all critical functions are documented in the hub procedures, and that all controls are appropriately defined and implemented
  • Assist the Risk and Control Senior Manager in managing Service Level Agreements (ICSAs and PLSDs) to ensure AML hub operations comply with agreed business SLAs and confidentiality standards
  • Facilitating communications with the Business and Compliance
  • Managing deliverable requests from the regulators/auditors relating to quality assurance; collecting information and documentation in a timely manner, tracking and documenting requests and responses
  • Assist the Risk and Control Senior Manager in compiling, preparing and responding to findings raised during internal business reviews, audits, exams and MCA tests
  • Assist the Risk and Control Senior Manager in developing and deploying appropriate control monitoring mechanisms vide Manager's Control Assessment (MCA)
  • Assist the Risk and Control Senior Manager to maintain appropriate record management, Infosec and COB processes and controls
  • Internal trainer - develop training programs and plans and conduct training sessions accordingly
  • 5-8 years working experience, preferably in AML or Banking Operational Risk and Control
74

Operations Risk & Control CTB Projects Resume Examples & Samples

  • Working with senior stakeholders on projects across relevant business functions to deliver the team’s global projects
  • Be responsible for the collation of business requirements and testing approach and execution for system implementation and process change for Operations Risk and Control projects and wider control issues, contributing towards delivery on multiple projects
  • Working with technology partners to define the functional and technical design to support business processing requirements
  • Work with the Project lead to ensure delivery throughout the lifecycle of the project
  • Experience of interacting with a team either locally or globally
  • Knowledge of project management and change management principles
  • Knowledge of Regulatory Reporting processes and directives
  • Knowledge of MS suite of products including Power point, Share point etc
75

Operations Risk & Control Resume Examples & Samples

  • 1 Proactively manage all communication from external and internal clients to ensure a timely and adequate response
  • 2 Scrutinize/supervise all data pulled by the vendor team and ensure quality information is being sent to the auditors/clients
  • 3 Preparing and analyzing metrics for senior management in order to provide transparency to the volumes the team encounters
  • 4 Use of Microsoft Office suite, particularly excel and outlook (Intermediate level; use of pivot tables, formulas including lookup functions and managing multiple inboxes)
  • 5 Become efficient in the use of internal firm systems as quickly as possible
  • 6 Work is conducted in a team environment with various internal deadlines throughout the day; must be willing to ask questions when unsure of procedure to ensure the team achieves its objectives
  • 1 Knowledge of 17A13 regulation
  • 2 Excellent verbal and written communication skills
  • 3 Strong attention to detail
  • 4 Be seen as a dedicated to outstanding Customer Service professional
  • 5 Demonstrate ability well as work independently as well as part of a team
  • 6 Should be a self starter and be able to effectively manage status updates to senior management
  • 1 Technical skills in various Microsoft Office Tools (particularly Access, Excel, Visio, Project and PowerPoint)
76

Operations Risk & Control Resume Examples & Samples

  • Proactively manage all communication from external and internal clients to ensure a timely and adequate response
  • Scrutinize/supervise all data pulled by the vendor team and ensure quality information is being sent to the auditors/clients
  • Become efficient in the use of internal firm systems as quickly as possible
  • Knowledge of 17A13 regulation
  • Be seen as a dedicated to outstanding Customer Service professional
  • Demonstrate ability well as work independently as well as part of a team
77

Operations Risk & Control Associate Resume Examples & Samples

  • Preparing and analyzing metrics for senior management in order to provide transparency to the volumes the team encounters
  • Use of Microsoft Office suite, particularly excel and outlook (Intermediate level; use of pivot tables, formulas including lookup functions and managing multiple inboxes)
  • Work is conducted in a team environment with various internal deadlines throughout the day; must be willing to ask questions when unsure of procedure to ensure the team achieves its objectives
  • Should be a self starter and be able to effectively manage status updates to senior management
78

Operations Risk & Control Resume Examples & Samples

  • Executing the front to back operational control framework that allows Operations Risk and Control to efficiently, effectively, and consistently manage risk across the organization
  • Management of the monthly divisional risk reporting processes, facing off with senior Operations Risk and Control stakeholders and key teams across the division globally
  • Administering the Risk & Control Self-Assessment (RCSA)
  • Overseeing Cross Divisional Risk Reporting to Senior Management and Senior Bank Stakeholders
  • Managing the central Operations Risk Incident Reporting Program for Operations Risk and Control, ensuring all risk incidents are appropriately recorded and all remediations are tracked to successful resolution via Open Pages
  • Coordination of risk trends across the entire Operations Risk and Control organization
  • Participation in periodic internal control and assurance testing across the division
  • Remediation of risk issues, audit findings, processing inefficiencies, etc
  • Root cause analysis on risk incidents
  • Fostering risk management skills through training and development of colleagues, both in the broader risk and control organization and the core regulatory operations processing teams
  • Support the execution of the Business Continuity Strategy for Operations Risk and Control as necessary
  • Support Information Security and Entitlements Strategy and activities for Operations Risk and Control as necessary
  • Operational risk management experience
  • Hands-on experience with using quantitative (metrics) and qualitative tools (e.g., process narratives and flows, incident reports) to assess areas of risk and identify risk mitigation options
  • Hands-on experience applying risk management precepts such as segregation of duties, information security disciplines, and supervisory reviews
  • Strong communication skills, both oral and written, including experience with business process documentation and preparing management reports using PowerPoint
79

Risk Manager, Operations Risk & Control Resume Examples & Samples

  • Act as an independent advisor for Operations leaders and associates as it relates to determining the effectiveness of control design
  • Advise business process owners on identifying and mitigating risks through the development of operational and business unit controls
  • Ensure appropriate internal controls are in place to address identified risks including, but not limiting to, WSPs, SOX, 17a-5 controls and other controls related to privacy and regulatory risks
  • Advise business process owners on performing root cause analysis over identified issues as well as monitoring control deficiencies and resolution
  • Develop and perform process, system, and project testing plan to assess system integrity and control effectiveness
  • Prepare risk reporting, including analysis of risk profile and risk indicators
  • Coordinate and provide guidance to associates and Leaders during internal audits, external audits and regulatory exams
  • Working closely with Operations Risk Management leaders and cross-divisional risk representatives in aligning risk framework to identify and evaluate current and emerging risks as it impacts the division and firm
80

AML Operations Risk & Control Analyst Resume Examples & Samples

  • 5+ yrs of business experience required
  • Risk and Control knowledge as to determine and recommend appropriate controls for mitigating identified risks and control weaknesses
  • Strong analytical skills and administrative skills required. Attention to detail necessary
  • Excellent organizational skills, ability to multitask and demonstrate flexibility
  • Demonstrate initiative and creativity in problem-solving; Self motivated/self-starter, be proactive and take initiative, work independently without supervision and step in to support other team members initiatives; work well under pressure
  • Demonstrate a positive attitude at all times, be open to and quickly adapt to change
81

Operations Risk & Control Resume Examples & Samples

  • Good knowledge of financial services operations and the securities markets
  • Experience in Information Security Management
  • 10-15 years of experience in the financial industry or similar role
  • Good Microsoft tools skills Excel / Word / Power Point
  • Excellent interpersonal and team management skills
  • Good skills in negotiating & relationship building
82

Cib-operations Risk Control Analyst Resume Examples & Samples

  • Reporting- Contribute to weekly/monthly Senior Management and Risk Committee reporting
  • Develop and publish reports of key control metrics for various activities as they relate to Audits, Risk Events, Audits/Business identified Issues and Action Plans, User Developed Tools and Manual Exception Processing
  • Responsible for the accuracy and validity of all data reported and compliance with Corporate Policy
  • Conclude and escalate key issues and risk exposure derived from the data compiled
  • Governance- Oversee operations control environment working as the global team to monitor and communicate key risk
  • Key role in continuing to support and enhance the governance structure creating oversight models for trend analysis, identification of risk and future forecasting
  • Analyze data to conclude risk themes, lesson learned and root causes that could indicate a potential control issue
  • Create integrated analysis combining like data within the lifecycle of a control event
  • CIB Oversight and Control- Work with colleagues in CIB oversight and control to ensure corporate compliance of Banking Operations control activities acting as central point of contact for the global team
  • Control Initiatives - Participate in the support and execution of Key Strategic Control Programs to manage and monitor risk exposure
  • Understand key controls and how they impact the business from an operational, accounting and/or systems perspective
  • Strong Analytical skills: Accurately analyzes and recognizes patterns, relationships and trends from a variety of data points. Assesses risk and controls and their implications
  • Fosters partnerships all stakeholders, both internal and external
  • Seeks ways to increase efficiency and effectiveness of work performed and resources utilized
  • Identifies and analyzes those issues/concerns reaching beyond assigned activities to determine impact
  • Critically evaluates the relevant business, function, system or transaction to identify key risks and controls
  • Communicates clearly and persuasively with colleagues and stakeholders across a variety of levels
  • Effectively mediates and resolves conflict either within existing team or with stakeholders
  • 3-5 years Banking Experience and/or Treasury Services
  • Prior Internal Audit experiences a plus
  • Proficient in Microsoft Excel and PowerPoint
  • BA Preferred
83

Operations Risk & Control Resume Examples & Samples

  • Maintain ongoing relationships with the Operational support groups to understand current issues/challenges
  • Review daily dashboard of KRI indicators and follow up on exception/breaks with owners on large or ageing items
  • Work with our Vendor Supervisory Group (VSG) to monitor the smooth production and distribution of reconciliation break items by our third party vendor
  • Perform system access validation reviews across the Operations group when required
  • Perform �distressed counterparty credit alert� exercises upon issue of a credit alert for specific counterparties to quickly assess any potential operational exposure
  • Manage the �NEPAL� new product due diligence process to ensure operational readiness ahead of new business go-live
  • Implementation and ongoing control oversight of various US and non US legal entities (including ongoing KRI monitoring, global supervisory oversight and exception escalation handling)
  • Leverage weekly KRI metrics to understand where operational capacity and control issues occur
  • Track and review operational risk events, ensure remediating actions are implemented
  • Assist managing the Operations Policy/Standards pipeline for the US region and have input into their content
  • Review specific operational functions/processes to understand the associated controls and risks, suggest remediating actions and report conclusions to senior management
  • Take an active role in firm-wide control initiatives, such as the �Internal Trades Control� review
  • Provide concise senior management updates on specific control subjects when required
  • Promote best practices through control meetings and ad hoc forums for information sharing around control issues among the operational support teams
  • Management of the �RCSA� (Risk and Control Self-Assessment) framework by working with the Operation�s managers to ensure their RCSA�s profiles accurately reflect their risk profiles
  • Manage the relationship between various Audit groups (Internal Audit, External Auditors) and the relevant operation�s team under review. Ensure final audit reports and action points are achievable and deadlines met
  • Maintain an up-to-date inventory of EUC (End User Computing) tools used across the organization and work with managers to ensure appropriate controls are in place
84

Operations Risk & Control Resume Examples & Samples

  • Managing and continually enhancing the Division?s system entitlements and Segregation of Duties program
  • Responsible to be the Information Security Officer for Operations, coordinating with Tech & Data Information Security policy team to ensure compliance and manage/prevent incidents
  • Overseeing the Divisions Business Continuity Planning department and continually improving the resiliency of the teams to react to events, including real time incident management
  • Managing the Vendor Management team and managing the risks and relationships of our key business partners, including commercial oversight for expense reduction opportunities and strategy
  • Development, implementation, and maintenance of risk reports covering most asset classes and Operations Functions (e.g. Wealth Management, Investment Management, Institutional Services, Shared Services)
  • Maintaining and expanding the network of Technology and Operations contacts in order to gather risk related information across operations
  • Display leadership in managing a global team, including a diverse set of Business, Finance, Technology, Audit and Operations stakeholders
  • Promoting a risk aware culture across operations
  • 10+ years of experience in financial services industry, Operations roles and/or business/budget management functions. Investment Management knowledge a plus
  • Excellent oral, written, communication and presentation skills with ability to tailor message to audience or varying levels
  • Proven ability to collaborate across functional areas, developing relationships, setting strategy and driving agendas
  • Management experience leading global team/comfortable with matrix based reporting lines
  • Good analytical skills, able to extract key information and pre-empt management questions on the data presented
  • Ability to analyze data and craft a risk story that will aid in overall risk mitigation for firm operations
  • Excellent communication skills at all levels and strong organizational ability
  • Strong presentation skills and confidence to host meetings
  • Ability to understand issues and move projects forward
85

TK Ops, Operations Risk & Control Resume Examples & Samples

  • Learning and performing functions in order to be able to manage and perform checking of workings/disclosure processes performed by team members to ensure the highest standards of accuracy are reached
  • Building a detailed understanding of each process, ensuring accurate filings to made to the regulators
  • Acquiring an intricate knowledge of firm booking models, systems, data sources and processes, building the ability to understand the wider environment and question data integrity
  • Identification, mitigation, escalation and reporting of potential/current risks
  • Providing support to other members of the team and partner with the global DOI Ops , Compliance and Technology for various RTB/CTB deliveries
  • Close communication with stakeholders including our dedicated compliance team and the business unit
  • Contributing to ongoing change projects affecting the team
  • Ensure adhere to firmwide and operations policies and procedures
  • Excellent verbal and written communication abilities in Japanese and English
  • Proven management experience. Skills in delegation, organization and people management to ensure the team works effectively and efficiently
  • Strong time management and task prioritization skills. Willing to work additional hours to ensure all deliverables are performed within required timescales
  • A positive outlook, energy and enthusiasm. Is a self-starter who takes individual ownership for work quality and improvement. Leads by examples working with drive and determination
  • Innovation and creative skills challenges the existing processes and status quo
  • Diversified financial services product knowledge particularly in Equity and Equity derivatives products
  • Advanced level of regulatory understanding
86

Cib-operations Risk / Control Resume Examples & Samples

  • Define the risk management framework for the WSS Ops Teams and ensure that the highest level of quality work is maintained
  • Partner with Operations in managing day to day, as well as future growth of business, with the emphasis on risk management
  • Ensure that business has effective controls in place to comply with operating procedures, corporate policies and regulatory requirements across the global sites
  • Perform process reviews for new business or processes
  • Facilitate/chair risk and control meetings and forums to ensure that agreed practice is adopted across all teams in order to improve efficiency and quality without compromising controls
  • Manage compliance for adherence to product specific rules and regulations
  • Monitor and report Key Performance Indicators and Key Risk Indicators to Senior Management
  • Manage SOX/SAS 70 testing and all control related audits
  • Manage and conduct risk reviews for new products, process changes and system implementations to ensure that any changes do not negatively impact the control environment
  • Analyse errors and control breakdowns, determine root causes & trends & oversee the implementation of remedial action
  • Conduct internal audits/process and control review to ensure audit-readiness and prepare the business in achieving satisfactory audit results which should not be limited only to a certain line of business
  • Develop and execute a monthly risk review program (conduct internal control reviews of key business functions, identify gaps in processes, assist with remediation) to provide management assurance that controls are operating effectively. This program will include an evaluation of compliance to corporate policies, internal procedures and regulatory requirements. Reports on findings and action plans identified to be conveyed the Site Ops Risk and Control Manager and Business Unit Heads
  • Develop and manage a Risk and Audit Mitigation Program (RAMP) for the continuous and proactive monitoring of all key business controls in the environment
  • Manage and spearhead regular risk meeting forums (e.g. monthly) with key business partners in Risk, Compliance, Operations and Technology to oversee all risk activity (CSA, action plans, risk acceptances, business continuity, loss events, etc.) in the business
  • Drive the Control Self-Assessment (CSA) process, ensure action plans are in place, track/monitor and report closure of all open issues
  • Evaluate operational change and projects
  • Conduct a risk review of all process migrations
  • Control/Facilitate policy and standard setting
  • Rollout of education initiatives to heighten risk awareness
  • Recommend process improvements without compromising controls
  • Oversight of the performance of delegated or outsourced functions
  • Act as Audit Liaison for external and internal audit
  • Keep abreast of business trends and changes in the industry and proactively devise a plan to support new requirements
  • Ensure that crisis and significant event issues are appropriately addressed and reported
  • Act as the team's business information security and compliance officer
  • Support all risk and control and business resiliency initiatives
87

Operations Risk Control Manager Resume Examples & Samples

  • Significant contributor on the development and execution of the ongoing operational risk and internal controls assessment processes within the business (i.e., process mapping approach, regulatory lifecycle reviews, foundational controls, etc)
  • Communicate effectively with employees in various levels and departments, as well as in different forums (meetings, conference calls, etc.)
  • Participate on task forces and special projects as assigned (higher risk changes) to assist the business in developing appropriate internal control systems or to monitor significant changes in control systems
  • Liaison to external regulators, corporate audit, legal and compliance departments
  • Assist in development and training of other team members and ensure performance reviews are conducted for direct reports in a fair, timely, and honest manner. Ensure that development plans for direct reports are established and meet the overall needs of the team member and the department
  • Build knowledge of new products or functions within the businesses supported in order to implement necessary enhancements/improvements in audit coverage and to minimize the risk of noncompliance
  • Bachelor degree with major in accounting, finance or economics, business administration, or information systems, or a related field
  • 7+ years of experience in financial services, audit, or consulting
  • Strong understanding and experience with Operation Risk Management, and risk and control assessments
  • Action oriented with a focus on results, display strong analytical skills, is able to assess and clearly articulate complex ideas and possess creativity
  • Strong facilitation, negotiation skills and project management
  • Professional certifications such as CPA, CBA, Series 7, or CISA are a plus
  • Internal operational reviews may require travel to the various site locations
88

Cib-operations Risk / Control Manager Resume Examples & Samples

  • Effective partnering with business and functional colleagues to guide consistent and rigorous JPMorgan controls management framework and practices, including ensuring procedures align to risk policies, identifying new business initiatives which require approval, risk event analysis and risk management reporting
  • Identification, assessment and mitigation of risk issues and control gaps, including operational, market and fiduciary risks
  • Effective partnering with other regional OCM managers and functional partners (Product, Legal, Compliance, Controllers, Audit, Risk) to ensure consistent and efficient risk management framework and approach
  • Define and Report on key risk metrics for business activities based on standards and guidelines provided by Controls & Oversight team /Risk Management team
  • Act as liaison for internal/external audit, engage with auditors regarding SSAE16 testing, annual walk through and business audit certifications
  • Proactively develop and provide operational risk management training on Core Fund Services products and general activities
  • CA / MBA (Finance)
  • Flexible to work in EMEA Shift operations
  • Excellent interpersonal and communication skills, including ability to negotiate, compromise and demonstrate diplomacy in sensitive situations and to interact effectively with senior management
  • Ability to prioritize and execute on multiple, simultaneous, complex priorities
89

Cib-operations Risk-control Manager Resume Examples & Samples

  • Provide oversight of LOB RCSA activities to verify conformance to RCSA standards
  • Identify unmitigated or partially mitigated business risks which can result in material financial, operational regulatory or reputational risks for the firm
  • Perform quality assurance testing (Operations Control Testing)
  • Work with Operations to devise best practices and improve quality at all levels
  • Track and monitor key performance indicators and key risk indicators
  • Monitor the inherent risk profile of the business, the control environment, and the residual risk ratings; and provide guidance on risk mitigation and process improvement activities
  • Ensure a broad, data-driven monitoring program for key risk drivers, exposures, controls, or potential operational risk events across processes
  • Analyze testing themes, issues and control breakdowns, determine root causes & trends & oversee the implementation of remedial actions
  • Complete deep dive reviews across a defined area
  • Participate in Fund Services wide working groups as assigned
  • Facilitate/Chair ‘Quality’ meetings and forums to ensure that agreed practice is adopted across all groups in order to improve efficiency & quality
  • 7+ years Risk or Controls Management or other related experience required; in a banking or financial services environment preferred
  • 5+ years of Accounting or Finance experience required
  • Excellent risk assessment skills, including risk identification and measurement, mitigation strategy development, regulatory management, policy and procedure development
  • Proven ability to work in a matrix environment, provide oversight, negotiate and directly influence change
  • Ability to build relationships with the Business and other Risk and Control partners
90

Cb-operations Risk & Control Analyst Resume Examples & Samples

  • Lead the Regulatory Controls team towards the delivery of an extensive global and regional agenda aimed at improving the regulatory reporting control environment of the CIB
  • Design, build and deliver metrics and in some cases design management dashboards to support various Regulatory Controls Governance Forums
  • Execute large data driven initiatives and investigations (e.g. data issues, feeds issues etc.)
  • Source risk event and action plan data from the firm’s central operational risk system, FORCE, and support the creation of associated metrics and dashboards
  • Support jurisdictional oversight and governance (e.g. CFTC, EMIR, MiFID)
  • Partnership with key stakeholders including LOB contacts, Technology and Global Controls teams
  • Work with the technology teams to review, identify and agree data controls
  • Support regulatory report on boarding and maintenance of the reporting inventory system, RADAR
  • Support regulatory reporting risk assessment cycles across CIB Operations
  • Work in partnership with the GRR&C teams to implement consistent, effective Operating Model, Control Framework and Governance to aid lines of businesses across the globe in meeting key obligations
  • Support the strategic regulatory reporting architecture (XODS / GRACE) through strategic control management and oversight
  • Strong data management skills plus Excel and PowerPoint skills required
  • Background in corporate investment banking and/or markets operations and/or technology
  • Able to demonstrate product knowledge and understanding of trade lifecycles from risk management platforms through to reporting functions
  • Experience of working in a control environment , specific to regulatory reporting controls a plus
  • Able to operate globally across regions, businesses and functions with demonstrable strong partnership skills to drive delivery
  • Team player with ability to build & maintain productive working relationships with colleagues globally at all levels and across functions in order to achieve results
  • Previous management experience an advantage
  • Ability to prioritize and communicate to management and other key stakeholders regarding issues, resolution plans and expectations
  • Strong organizational & planning skills
  • Demonstrate a broad understanding of the changing regulatory environment and its impact on the industry in which the CIB operate
91

TK Ops, Operations Risk & Control Resume Examples & Samples

  • Excellent verbal and written communication abilities in English and Japanese
  • Good communication skills, able to interact and communicate effectively across cultural and hierarchical lines within the Firm
  • Ability to identify problems as they arise and understand when they need to be escalated
  • Keen to learn new skill sets and does so quickly
  • Knowledge of Japan regulatory reporting (FIEL) including Disclosure of Interest
  • Product knowledge and middle office experience
92

Operations Risk & Control Manager Resume Examples & Samples

  • Draft Third Party Oversight (TPO) Program requirements within Policy, Standards, Guidance and supporting work product templates (collectively, TPO Program documentation)
  • Liaise with key program stakeholders (e.g. Compliance, Legal, CTPO Leadership, Category Sourcing, Third Party Risk Management, Firmwide Third Party Management Office) to solution required changes to TPO Program documentation
  • Prepare and respond to Change Management requests as it relates to impacts to TPO Program documentation
  • Prepare presentations to help socialize TPO Program documentation changes with requisite governance bodies and forums
  • Provide administration support for the TPO Standards Group (e.g. prepare meeting materials in collaboration with key stakeholders, document & ensure actions and follow ups are completed)
  • Manage and maintain the list of Specialized Service Categories (SSC)
  • Ensure criteria and defined terms are current, accurate and in compliance with approved parameters
  • Collaborate with stakeholders and LOB clients to prepare SSC additions, changes and recertifications
  • Manage Policy and Standards exception requests
  • Provide support on various program and process improvement initiatives to ensure such efforts are appropriately configured to mitigate conflicts with TPO Program documentation
  • Previous role in either audit, compliance, oversight & controls, IT risk or operational risk areas preferred
  • Prior experience authoring and/or managing firm wide policies, standards and related guidance documentation also preferred
  • Knowledge/experience with the source to pay process, including third party oversight, sourcing, technology, risk, legal, compliance, procurement or other related control functions is highly desirable
  • Ability to work in a fast paced and dynamic environment where change is constant
  • Well organized, independent self-starter, capable of self-prioritization and appropriate escalation is a must
  • Team player who is collaborative, positive and has a drive for problem solving is essential
93

Operations Risk / Control Manager Resume Examples & Samples

  • Manage key stakeholders and act as primary liaison to the Global Payment Strategy stakeholder community within Banking Operations and partner operating areas across the payment landscape to drive best in class controls both within the application and operations
  • Drive progress on tasks and action items through regular status meetings with business partners and stakeholders
  • Ability to be a lead contributor (planning support, documenting, communicating)
  • Effectively create presentations for management and peer groups and ability to communicate both verbally and written
  • Ability to multi task and deliver against tight deadlines
  • Strong PC skills (Microsoft Suite including PowerPoint, Excel, Word and Visio)
  • Minimum experience required: Prior Internal Audit experience is preferred. 3-5 years of experience with control analysis or related experience
94

Operations Risk & Control Analyst Wholesale Lending Services Collateral & Documentation Resume Examples & Samples

  • Clearly defines process objectives and develops governance roadmap for each line of business
  • Defines implementation plan and oversees the execution of that plan
  • Has strong knowledge of end-to-end processes in order to ensure consistency across lines of business (as needed)
  • Owns process documentation including standard operating procedures, job aids and process maps
  • Drives consistency in how production is measured and reported, including service level agreements, backlogs, capacity plans and other Key Performance Indicators (KPIs)
  • Collaborates with the Risk & Controls group to design quality scorecards and ensure consistent review with the ability to accurately report results
  • Main point of contact for any proposed process changes resulting from Legal, Regulatory or Policy updates
  • Coordinates data scrubs and related activities to ensure audit preparedness
  • Evaluates whether operating model changes are needed to enhance control processes and data
  • Coordinates and approves changes in systems and/or operating model that will impact processes and procedures
  • Continuously looks for process improvements and best practices across functions
  • Integrates effective change management and training techniques to drive end user adoption
  • Attends partner meetings within WLS in order to provide status updates
  • Minimum 7 years of program or project management or related experience
  • Strong organization, attention to detail, time management, planning skills and the ability to handle multiple competing priorities
  • Demonstrated ability to partner and communicate effectively to multiple levels of management, both written and verbal
  • Ability to lead, challenge and adopt a changing business landscape
  • Experience in status reporting and strong analytical skills
  • Working knowledge of loan products and of loan operations environment
  • Strong PC skills in Microsoft Suite (e.g. Word, Excel, PowerPoint)
95

VP, Operations Risk / Control Manager Resume Examples & Samples

  • 7 to 9 years in the financial services industry; including background in operational risk management, audit, compliance, or operations
  • Good understanding of Operations functions and processes
  • Relevant risk management experience and awareness either gathered through a risk or audit role, although other relevant experience would be considered
  • Working knowledge of operational risk frameworks (e.g. RCSA practices, loss event databases, KRIs) in a regulated environment (i.e. Basel II standards, FFIEC guidance, etc.)
  • Collaborative team player able to develop meaningful and effective working relationships with fellow colleagues
  • Effective communicator with excellent written and verbal communication skills
96

MYS Ctsm Kl-regional Securities Services Operations Risk & Control Manager Resume Examples & Samples

  • Partnering with Operations Managers in collation and analysis of metrics and presentation of same to key stakeholders including senior operations management (locally and regional) and risk and control teams (locally, regionally and globally)
  • Assisting lead Controls managers in performing detailed reviews of operations processes in Global Fund Services and Custody Operations and related risks and controls including event reviews, thematic analysis and ‘deep dive’ causal analysis
  • Partner with Information Security Officers in raising awareness of internal policies and standards and tracking adherence to same
  • 3-5 years’ experience in Securities Services Operations will be preferred with prior experience in identifying and implementing Financial and Operational Controls within operations teams
  • Knowledge of Bahasa Malay (local Malaysian language) will be an advantage
  • Good presentation skills (written and verbal)
  • Results-oriented, committed to meeting team objectives
97

Operations Risk & Control Group Lead Resume Examples & Samples

  • Work with CCO leadership and peers to improve the oversight of the regulatory and policy control framework by creating an E2E lens for assessment and remediation
  • Oversee the effective and timely implementation of specific Group policies and development of related standards including identification/approval of applicable dispensation, waivers and/or breaches
  • Assist in the development and embedding of the ERMF and any related programs and projects
  • Conduct control reporting which evidences, monitors, and tracks key 1LOD regulatory compliance risks
  • Participate in monthly control business reviews with key stakeholders to ensure regulatory and policy risks, issues and required remedial actions are understood and agreed to by the business owners
  • Develop relationships with key stakeholders to ensure 1LOD regulatory compliance controls are embedded effectively across the BCUS businesses and synergies are leveraged where applicable
  • Oversee the remediation efforts relating to material control issues related to the E2E compliance assessment programs
  • Work with the 2LoD/3LOD functions (Compliance, Audit, Legal, Operational Risk, etc.) to understand applicable policy interpretation on how to operate in control
  • Ensure engagement in Barclays Internal Audits at the direction of CCO leadership
  • Bachelor's degree or equivalent
  • 5+ years working in the credit card or similar industry
  • 5+ years Control, Compliance, Audit or Operational Risk experience
  • Proven understanding of control, regulatory, and operational risks in banking environments
  • Demonstrated working knowledge of US Consumer Protection and/or AML Regulations
  • Experience performing operational/regulatory risk assessments, testing, etc
  • Ability to analyze control effectiveness data to determine actions/identify trends
  • Demonstrated ability to develop detailed plans and deliver results
  • Highly organized and manages to deadlines
  • Ability to manage multiple and competing priorities and to manage up where appropriate
  • Demonstrated ability to work effectively in global organization
  • Excellent communication and business writing skills (both written and verbal)
  • Working knowledge of Word, Excel, PowerPoint, etc
  • Relevant professional certifications: CRCM or CAMS
  • Understanding of applicable Barclays policies and standards
  • Experience communicating technical compliance information to non-technical audiences
98

Operations Risk / Control Manager Resume Examples & Samples

  • Conduct periodic robust risk assessments to identify risks and key internal controls that mitigate identified risks
  • Design and conduct control self-assessments accurately, timely and in accordance with established corporate guidelines
  • Determine effectiveness of controls through end to end process reviews
  • Acting control officer supporting the IB Loan Operations team- Support business operations by partnering with the business to create best practice solutions and drive process and control enhancements, providing expertise in risk/controls and the development of corrective action plans
  • Coordination and execution of SOX testing
99

Operations Risk / Control Analyst Resume Examples & Samples

  • Conduct robust risk assessments to identify risks and key internal controls that mitigate identified risks
  • Design and evaluation of control self-assessments in accordance with established corporate guidelines
  • Maintain test methodology and perform testing of identified key controls. Support business partners to conduct in-depth root cause analysis for issues and assist in the development of remediation plans
  • Identify, escalate and report risk events. Work with the appropriate groups to determine control weakness and root cause. Record risk events in the corporate internal tracking system
  • Prepare Executive level reporting of key metrics, loss events, issues and CSA testing results
  • Acting liaison for internal and external audits including compliance related exams
  • Retrieve and interpret loan documents and other pertinent source documents as necessary to support testing requirements and audit functions
  • Undergraduate degree in accounting or finance, plus 3- 5 years of external or internal auditing experience or equivalent is required
  • Previous control design and testing experience
  • Expertise with auditing techniques including appropriate sampling, performance of controls testing and documentation required to meet the performance standard
  • Proven aptitude for making recommendations for improving processes and strengthening controls
  • Must be able to juggle multiple major initiatives and produce a quality work product
  • Specific experience in Risk Management, a plus
  • Experience with Excel, Word and PowerPoint
100

Operations Risk & Control Analyst Resume Examples & Samples

  • Perform independent Quality Testing and Assurance reviews on 3rd party vendors in Investment Operations
  • Validate Service Level Agreements are being accurately tracked and reported
  • Record observations
  • Prepare trend analysis
  • Participate in business and service reviews
  • Support the LOB’s Third-Party Risk Management Process (TPRM)
  • Work in conjunction with Service Managers, Business Owners, Process Leads and Subject Matter Experts
  • Perform sampling and analysis of vendor performance against contractually agreed upon Service Levels