Operations Risk Resume Samples

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AW
A Weissnat
Aimee
Weissnat
51701 David Shores
Detroit
MI
51701 David Shores
Detroit
MI
Experience Experience
04/2015 – present
Philadelphia, PA
Operations Risk & Administration Associate
Philadelphia, PA
Operations Risk & Administration Associate
04/2015 – present
Philadelphia, PA
Operations Risk & Administration Associate
04/2015 – present
  • Work is completed according to well-defined, established procedures involving limited independent judgment
  • Supervisor provides direction for unfamiliar situations
  • Decisions and quality of work will have an impact on customers and / or functional area
  • Work involves routine or repetitive tasks under direct supervision
  • The following Operator Levels are for non-cash custodians
  • Cash In: 10,000
  • Clearing Limit: 250,000 (2) or 500,000 (3)
05/2009 – 10/2014
Chicago, IL
Operations Risk Manager
Chicago, IL
Operations Risk Manager
05/2009 – 10/2014
Chicago, IL
Operations Risk Manager
05/2009 – 10/2014
  • Manages substantial data from an operational risk perspective for the bank. Works closely with various levels within every business line, senior management, and various risk management groups throughout the organization. Performs and facilitates the critical interface between the collection and application of operational risk information. Analysis will have a direct impact on the banks risk management strategies
  • Develop an operational risk program identifying key risk indicators, reporting, risk self-assessments, and an action plan with tracking of follow-up items. Works with unit Operations Managers to put preventative measures in place and ensure policy and procedure documentation is kept updated
  • Assist risk organizations and business units with efforts to adhere to risk management best practices utilizing risk management framework and tools
  • Develop and present operational policies, contractual monitoring and end-to-end risk assessment information (i.e. work plan and rational, scope, findings, recommendations, corrective actions and remediation plans) to business and operations leadership as well as Optum Legal and Compliance
  • Knowledge of software utilized in the department About M&T At M&T, we strive to be the best place our employees ever work, the best bank our customers ever do business with and the best investment our shareholders ever make. So when looking to advance your career, look to M&T. As a top 20 US bank holding company and one of the best performing regional banks in the country, we offer a wide range of performance based career development opportunities for talented professionals. And through our longstanding tradition of careful, conservative and consistent management and a strong commitment to the communities we serve, we continue to grow with a focus on the future. Apply today at www.mtb.com/careers!
  • You will also work with the regional and in country business and project teams to capture existing in country or branch risk control processes and manage branch compliance and operational risk process projects
  • Assists in analyzing loss data gathered from internal sources and create measures to protect the bank by means of designing or revising workflow processes, updating policies and procedures, adding system enhancements, etc
08/2002 – 03/2009
Houston, TX
Operations Risk Analyst
Houston, TX
Operations Risk Analyst
08/2002 – 03/2009
Houston, TX
Operations Risk Analyst
08/2002 – 03/2009
  • Leaders the work of other ans provides training in risk management and internal control techniques
  • Department Analysis: Support the department through gathering and analyzing metrics and reporting. Provide analysis on indicators that measure service quality, operating costs and overall effectiveness of the department. Research and become familiar with various internal and external data sources to deliver accurate results. Ensure procedures and policies are followed by the team
  • Respond to questions and inquiries via phone and email questions from member firms, clients, traders and other CME divisions and members in an efficient and professional manner
  • Partner with colleagues across the firm to help drive a culture of risk awareness and proactive risk identification and assessment of horizontal risks within the business
  • Assists with the development and execution of key operational risk management activities, including, loss event analysis andreporting, operational control analysis, segregation of duties review, logical access roles development, data privacy analysis, business continuity activities, and/or business process engineering
  • Manage tasks related to Action Plans including analyzing solutions, proposing plan description, oversee plan tasks, validate work, and manage approvals and closure
  • Assist in recording/monitoring the Operational Risk Database. This entails capturing pre-defined financial, operational, inefficiency and increased reputation losses across multiple locations and lines of business, and, under certain circumstances, developing and deploying action plans to mitigate/eliminate a reoccurrence of the loss
Education Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
Liberty University
Bachelor’s Degree in Business
Skills Skills
  • 10% travel availability
  • Demonstrate proficiency in accessing systems, platforms, applications and data repositories in multiple lines of business
  • Possess ability to creatively and productively consult/confer with management, business and data owners to solicit information and data
  • Demonstrate a strong sense of urgency in responding to escalated issues, rapidly changing priorities and adverse performance
  • Define, validate and track key operational performance metrics
  • Analyze data and reports to derive performance improvement opportunities, isolate root causes, and collaborate on viable solutions to drive enhanced operational processes
  • Develop and publish reports
  • Designed support data intake process
  • Execute on additional projects as assigned by management
  • Effectively partner with lines of business to solicit information and data
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1

Operations Risk Analyst Resume Examples & Samples

  • Performs data collection and analysis in supportof risk management project activities
  • Develops spreadsheets and reports which summarize risk exposure
  • Identifies, reviews, assesses and documents riskmanagement and control issues in assigned business processes
  • Assists with the preparation of risk mitigationplans for strengthening the effectiveness of controls in assigned businessprocesses
  • Assists with the development and execution of key operational risk management activities, including, loss event analysis andreporting, operational control analysis, segregation of duties review, logical access roles development, data privacy analysis, business continuity activities, and/or business process engineering
  • Responsible for gathering data, forms or any other requested information for internal and/or external auditors
  • Maintains strong relationships with other areas of the firm e.g. Internal Audit,Compliance
  • Fundamental concepts, practices and procedures risk management (including Operational Risk Management, Enterprise Risk Management, Business Continuity, and Technology Risk Management)
  • Conducting and documenting risk assessments
  • Identifying, documenting, and evaluating risks and controls relating to operations, financial reporting, and compliance processes and objectives
  • Attend to detail while maintaining a big picture orientation
  • Bachelor's Degree (B.A.) in related field
2

Operations Risk Analyst Resume Examples & Samples

  • Leads the work of others and provides training in more advanced risk management techniques
  • Coaches and mentors less experienced associates within a department
  • Prepares and delivers written and oral presentations to various levels of management
  • Prepares risk mitigation plans for strengthening the effectiveness of controls in assigned business processes
  • Supports the development and execution of key operational risk management activities, including, loss event analysis andreporting, operational control analysis, segregation of duties review, logical access roles development, data privacy analysis, business continuity activities, and/or business process engineering
  • Advanced concepts, practices and procedures of risk management (including Operational Risk Management, Enterprise Risk Management, Business Continuity, and Technology Risk Management)
  • Finance and/or accounting principles, practices and procedures
  • Maintaining documentation files
  • Lead the work of others
  • Provide coaching, mentoring and technical training to others
  • Bachelor's Degree (B.A.) in Finance, Accounting, Business or related field with a minimum of five (5) years of of risk management, internal control, audit, or information security experience
3

Operations Risk Analyst Resume Examples & Samples

  • Prepares and delivers written and oral presentations
  • Performs data collection and analysis in support of risk management project activities
  • Develops spreadsheets and conducts data analysis in support of risk management project activities
  • Assists with the preparation of risk mitigation plans for strengthening the effectiveness of controls in assigned business processes
  • Concepts, practices and procedures of riskmanagement (including Operational Risk Management, Enterprise Risk Management, and Business Continuity)
  • Finance and/or accounting principles, practicesand procedures
  • Develop relationships with various levels ofmanagement
  • Attend to detail while maintaining a big-picture orientation
  • Bachelor's Degree (B.A.) in Finance, Accounting, Business or related field with three (3) years of of risk management, internal control, audit, or information security experience
4

Operations Risk Analyst Resume Examples & Samples

  • Manage operational risk projects within aligned functions; assess business risks and work with the Operations teams to ensure adequate detective and preventative controls are in place to mitigate risk
  • Support Operational Risk Managers in significant efforts including but not limited to: audit management and information gathering, analyzing and validating lending documentation and processes, and oversight of risk projects
  • Manage or participate in various stages of the Risk Controlled Self Assessments (RCSAs) cycle, including performing control tests and validating test strategies
  • Manage and report status for internal compliance reviews and internal audits
  • Manage tasks related to Action Plans including analyzing solutions, proposing plan description, oversee plan tasks, validate work, and manage approvals and closure
  • Facilitate meetings, prepare documentation and minutes
  • Effectively communicate with all levels of management and work across business lines
  • 2 years experience in Operational Risk or Compliance related role
  • 5 years mortgage origination experience
  • Knowledge of Federal and State Regulations as they pertain to lending
  • In-depth understanding of origination processes and systems
  • Excellent written, verbal and presentation skills. Comfortable interacting with senior management
5

Securities Operations Risk Team Director Resume Examples & Samples

  • Hold monthly reviews with the Sec Ops product area management teams on their deliverables for the risk agenda
  • The ideal candidate may have circa 6 - 8 years in the finance industry
  • Previous experience in risk management function is preferable
  • Previous regulatory experience
6

Senior Operations Risk Manager Resume Examples & Samples

  • Automated futures trading, leading a firm-wide effort to analyse and reduce rogue trading risk; and
  • A loss that highlighted weakness in the counterparty confirmation processes
  • Analysing operational risk data (typically losses, metrics or assessment results) to identify areas of excessive risk and also to ensure past mitigation efforts are having the desired effect
  • Identifying trends and common themes across the country and/or cluster
  • Investigating what is causing metrics to deviate from trend and escalating situations that pose excessive risk
  • Indentifying root causes of major internal losses and ensuring similar businesses around the world are aware of risks and recommendations
7

Securities Operations Risk Manager Resume Examples & Samples

  • Improving risk indicators and metrics, performing incident analysis, addressing root causes, increasing awareness and instilling ownership and accountability, developing partnerships and developing best practices within Securities Operations
  • Assist with incident management by reviewing incidents when they occur in EMEA Sec Ops with Global Sec Ops management teams. This is achieved by partnering with the relevant line team(s) to clearly identify the root cause, control failures and mitigating action plans surrounding the incident in order that the Sec Ops Management teams can review the incident(s)
  • Assist with the creation and review of the Monthly Sec Ops Risk Pack. As part of the draft process, a conference call is held with the Sec Ops product management teams at the end of each calendar month to review the risk data from the previous month
  • Conduct annual Risk and Control Self Assessments (RCSAs) of specific product areas by partnering with the line teams to identify inherent risk, update the control framework and apply residual risk ratings. This includes reviewing the findings with the appropriate management teams before facilitating the briefing of senior Sec Ops management on the process and the subsequent approval process
  • Ad-hoc analysis of specific processes and controls as directed by the Global Risk Manager. This is achieved by partnering with the line teams to conduct specific reviews and then consolidating the output for senior Sec Ops management briefing and subsequent mitigating action, as required
  • Manage a Director within the EMEA Risk Team
  • Securities products knowledge/experience preferred
  • MBA, or equivalent
  • Ability to work well independently as well as part of a team
  • Experience in risk assessment, record management and gap analysis
8

Prime Brokerage Operations Risk Team Resume Examples & Samples

  • Capturing and reporting key risk and performance indicators (KRI?s/KPI?s)
  • Chairing risk and control meetings with Operations and the Business Units
  • Identification and implementation of control and process improvements
  • Ability to recognise risk/control issues and their implications. Knows when to ask questions before taking action and when to refer to problems or issues to the next level
  • Leads by example working with drive and determination
  • Ability to build effective working relationships with key stakeholders
  • Proven management experience. Skills in delegation, organisation and people management to ensure the team can work effectively
  • Front to back trade flow experience
9

Operations Risk Analyst Resume Examples & Samples

  • Leaders the work of other ans provides training in risk management and internal control techniques
  • Concepts, practices and procedures of risk management (including Operational Risk Management, Enterprise Risk Management, and Business Continuity)
  • Bachelor’s Degree (B.A.) in Finance, Accounting, Business or related field with three (3) years of risk management, internal control, audit, or information security experience
10

Operations Risk Department Manager Resume Examples & Samples

  • Lead a global team of risk managers responsible for a broad set of risk management and administration activities, including but not limited to: Incident Management, Risk and Control Self Assessment (RCSA) delivery, Risk Reporting, Internal audit liaison, SSAE16 coordination, Information Security, Entitlements Management, Segregation of Duties, Cross Operations Policy reviews, Business Continuity Management & Risk Education
  • Define, develop, and implement a front to back operational control framework that allows Investment Management Operations to efficiently, effectively, and consistently manage risk across the organization
  • Identify and risk rank critical functions across all areas of Investment Management Operations
  • Enhance metrics to effectively monitor and track risks across the organization and ensure adherence to established risk tolerances and policies/procedures
  • Identify patterns and drive targeted remediation efforts to address control deficiencies that surface through risk assessments, audits, incident reporting, and other mechanisms
  • Implement programs to proactively identify and remediate weaknesses in existing processes, policies, and procedures
11

Operations Risk Analyst Resume Examples & Samples

  • Risk Assessment: Implement and maintain the Margin, ESO & Pledge department’s risk analysis process. Risk Management function includes: Market Risk, Concentration Risk, Liquidity Risk and Leverage Monitoring. Assess risk output and provide key risk decisions and data to Senior Management. Provide risk analysis on the Margin, ESO & Pledge rules/regulations/scenarios
  • Strategic Alignment: Assess market and competitive developments to ensure continued competitiveness and aligment of business and risk strategies, policies and procedures. Stay current with external environment that regulates/influences the business. Responsible for proactively identifying areas where efficiencies and accuracy improvements can be made, recommend and implement a solution/action plan. Responsible for the delivering of all projects and inquiries in an accurate and timely manner. Participate in the implementation, review, validation and adjustment of the department procedures
  • Department Analysis: Support the department through gathering and analyzing metrics and reporting. Provide analysis on indicators that measure service quality, operating costs and overall effectiveness of the department. Research and become familiar with various internal and external data sources to deliver accurate results. Ensure procedures and policies are followed by the team
  • Act as back-up to the Senior Manager. Understand and adhere to policies and procedures applicable to position, completing any supporting requirements within defined timeframes. Acts within authorized limits and delegated authorities and role according to applicable policies and procedures. Maintain an in depth knowledge of BCP procedures, policies and plan
  • Client Servicing: Promote quality client service by motivating, coaching and developing team members. Identify and share development and training needs, provide input and review of training plan for the year. Responsible for input in the goal setting, mid-year, and year end department employee reviews; as well as department meetings and one on one discussions as appropriate
  • Partnership: Ensure key stakeholder relationships are maintained effectively
  • Bachelor's degree in Finance or related field
  • 5+ years of experience in Financial Risk Management, Assessments and Decisioning (Market Risk, Concentration Risk, Liquidity Risk and Operational Risk)
  • Superior financial industry knowledge in the understanding of operations, related products and services and financial instruments with the ability to understand each product and identify associated risks, regulatory framework and the best practices
  • Prior experience in data extraction, manipulation, analysis, documenting and reporting
  • Strong communication skills and proven ability to impact and influence
  • Proven leadership and problem solving capabilities
  • Proven knowledge and skills in using Microsoft Word, Excel, Powerpoint and proven ability to quickly learn and adapt to in-house systems
  • Series 99 or equivalent (or ability to obtain within 90 days of hire)
  • Customer Service skills
  • Collaborative, working in partnerships to create effective outcomes
  • Ability to prioritize and simplify work for self and others
  • Be a change adopter, embracing change
  • Ability to lead people
12

Senior Operations Risk Analyst Resume Examples & Samples

  • 4-6 years diverse banking experience
  • Internal Audit and/or Risk Management experience
  • Strong financial, analytical, and organizational skills
  • Strong communications skills with the ability to interact with all levels within the company
  • Proficient with Microsoft Office Suite (Word, Excel, and PowerPoint)
  • In-depth understanding of banking concepts, practices, and procedures
  • Experience with third-party vendor management and third-party administrators
  • Bachelor’s degree in Accounting, finance, or other business-related discipline
  • Certified Internal Auditor (CIA) or comparable designation applicable to either internal audit or risk
13

Operations Risk Analyst Resume Examples & Samples

  • Work with all levels of management across multiple locations and/or lines of business to execute the operational risk program in alignment with corporate standards and objectives
  • Assist in performing risk self-assessments. This entails determining process objectives, working with the process owner(s) and other specific subject matter experts to identify risks, identify the existing controls, rank the residual risk/exposure (based upon likelihood and impact), and review and monitor the execution of action plans that are deemed appropriate to reduce the risk/exposure to an acceptable level. May facilitate or assist in RSA workshops
  • Assist in implementation and monitoring of Key Risk Indicators (KRIs). This is accomplished through gathering an inventory of current metrics, determining the most significant risks that require monitoring, establishing KRIs for the most significant process, and gathering data (when required) so that reporting can be completed for KRIs
  • Assist in recording/monitoring the Operational Risk Database. This entails capturing pre-defined financial, operational, inefficiency and increased reputation losses across multiple locations and lines of business, and, under certain circumstances, developing and deploying action plans to mitigate/eliminate a reoccurrence of the loss
  • Assist in quarterly/periodic operational risk reporting
  • Representation on certain operational risk related activities and cross divisional meetings, committees, etc
14

Operations Risk Specialist Resume Examples & Samples

  • Accountable for execution against several key control programs in support of Mutual Funds other products as assigned, and Product Group Services (PGS)
  • Perform incident management functions inclusive of proper and timely incident reporting, root cause assessment, and design, execution, and on time resolution of remediation plans
  • Understand operating activities within the department, aiding in the ability to identify weaknesses to processes that may not be in line with PGS or MSWM Operations Risk standards
  • Provide guidance and review procedures and WSP for operations groups supported
  • Manage the design / implementation of new or enhanced controls to avert future regulatory or internal audit findings within the respective products supported
  • Candidate should have experience with operational risk. This includes, but is not limited to Business Continuity Plans (BCP), entitlement review, Standard Operating Procedures (SOP), Segregation of Duty (SOD), SOX, SSAE16, Financial Intermediary Controls and Compliance Assessment (FICCA), Risk Control Self-Assessment, operational incident management, managing internal and external audit examinations, and Written Supervisory Procedures
  • 5+ years of financial services experience in audit, compliance, product management, technology management, or Operational Risk Management
  • At least 5 years industry experience with a significant portion focused on mutual funds, reconciliation, and retirement plans
  • Ability to influence change across the organization
  • Fluent computer skills in Outlook, Excel, PowerPoint, Word
15

Operations Risk Management Risk Mitigation Team Associate Resume Examples & Samples

  • Conduct Risk Mitigation Spot Checks on various aspects of the Risk Framework in order to ensure that these have been adequately implemented and monitored
  • Provide assistance with regulatory exam preparation and coordination by managing and tracking information requested by regulators by engaging with the impacted business units to ensure responses are consistent across the division
  • Draft and produce weekly global report to senior management on the progress of examinations and inquiries that impact Operations
  • Work with Compliance and Regulatory Audits & inquiries team to analyze the information to determine the impact to Operations
16

Operations Risk Analyst Resume Examples & Samples

  • Reviewing of clearing output to ensure accuracy and driving forward new business initiatives on the operations side of the clearing
  • Conducting root cause analysis, recognizing issues and trends pertaining to the core clearing systems and processes
  • Partner with colleagues across the firm to help drive a culture of risk awareness and proactive risk identification and assessment of horizontal risks within the business
  • Maintain awareness of significant changes impacting the business, both internally and externally, and ensure appropriate actions to mitigate risk
17

Am, Gwm Operations Risk Analyst, Westmont Resume Examples & Samples

  • Manage operations risk projects within aligned functions; assess business risks and work with the Operations teams to ensure adequate detective and preventative controls are in place to mitigate risk
  • Work with Operations Risk Managers in significant efforts including but not limited to: audit management and information gathering, analyzing and validating lending documentation and processes, and oversight of risk projects
  • Represent Risk as subject matter expert on cross-functional operational risk initiatives/projects
  • Engage in root cause analysis and work with the appropriate groups to recommend controls and solutions when researching risk events, operational processes, and new regulatory initiatives. Manage risk events and risk action items to closure
  • Validate compliance of action plans, audit findings, and new regulatory initiatives
  • Create, support, and manage various regulatory and risk reports
  • 2+ years experience in Operations Risk or Compliance related role
  • 5+ years mortgage origination experience
  • In-depth knowledge of risk management techniques from both a detection as well as mitigation perspective
  • Strong organizational and time management skills, including prioritization
  • Proficient in Microsoft office suite products
18

Cib Operations Risk Resume Examples & Samples

  • Degree qualification or equivalent is a prerequisite
  • Experience in MO role, Relevant Funds related experience preferred
  • Self-motivated, initiative taker
  • Highly organised
  • Keen to question everything and understand the background behind the numbers and/or process
  • Strong PC Skills: in particular Excel, Access VBA a plus
  • Equity Exotics, Hybrids & Hedge Fund MO – based in London
19

Global Prime Brokerage Operations Risk Specialist Resume Examples & Samples

  • Implementing and driving the risk and control framework across PB operations globally
  • Partnering line management to co-ordinate reviews of framework components such as SOX, ISG Division Wide Policies, Segregation of Duty rules (SOD), Procedures, Audit and Entitlements
  • Representation at relevant risk forums
  • Close liaison with other management within Operations and the Business Unit to develop working relationships
  • Delivery and development of training to enhance risk awareness
  • Monitoring and escalation of risk issues
  • Analysis and reporting of global exceptions and risk issues
  • Shows initiative and creativity, taking a long-term approach to improvement and resolution of issues
  • Takes a hands-on approach to risk and promotes a dynamic risk management culture
  • Excellent communication and influencing skills (both verbal and written)
  • Focus on guardianship, ensuring that issues are identified, escalated and resolved in a timely basis
  • Ability to step back from the detail and provide strategic direction for team
20

Director of Visa Direct Operations & Risk Resume Examples & Samples

  • Ensure originator and issuer compliance with requirements for processing Account Funding Transactions (AFT) and Original Credit Transactions (OCT)
  • Maintaining and developing rules, guidelines, tools, and best practices for clients and partners during commercialization as well as to support usage going forward
  • Application of Visa's anti-money laundering (AML) controls for Visa Direct payments
  • Manage the review and approval process, including gaining approvals from Visa Risk and Legal teams, for new Visa Direct programs
  • Work with internal Visa teams to ensure the support structure is in place and sufficiently robust to support launch and expansion of Visa Direct payment services
  • Define, coordinate, and manage customer support strategy and execution
  • Evaluate and assess support structures for opportunities to improve speed to market for new Visa Direct programs
  • Collaborate with the Visa Direct Architecture team on the development and commercialization of new and enhanced Visa Direct payment use cases
  • Ensure client onboarding processes are scaled to meet increasing demand for new Visa Direct programs
  • Establish and maintain fraud risk management tools and best practices for Visa Direct
  • Monitory regulatory activity for impacts to Visa Direct and respond accordingly to proposed regulations
  • Minimum of 5+ years of experience in technology or payment services product management, solution development and/or development or process consulting environment
  • Background in risk management including understanding of fraud and money laundering risks and mitigation strategies
  • Self-motivated, results driven, with the ability to quickly establish clear, well thought out action plans and drive deliverables to completion under tight deadlines
  • Strong data analytic skills and the ability to take prompt, decisive action after analyzing relevant information gathered from multiple sources
  • Ability to identify and reconcile cross-system impacts and dependencies, to decompose high-level information into details and vice versa, and to derive general understanding from low-level details
  • Ability to work independently or as part of a cross functional team
  • Possess strong leadership and collaboration skills to build relationships and lead teams to deliver on critical product support and development
  • Confidence to drive decision making and act on the results
  • Experience developing process management and identifying ways to improve speed and performance
  • Excellent communication skills, including verbal, written and presentation for both business and technical audiences
  • Active listening skills required
  • Comfortable working with and understanding new technology
  • Excellent time management and organization skills, discipline to focus on details, and able to deal effectively with ambiguity and work with a vast array of information in a rapidly changing environment
  • Financial/payment industry knowledge in one or more of the following areas, digital, push payments, P2P, B2C and/or B2B offerings required
  • Passionate about what you do, and fired up about the opportunity to transform payments
  • Exceptional personal accountability and the highest of ethical standards
21

Operations, Risk & Administrative Associate Resume Examples & Samples

  • Work involves routine or repetitive tasks under direct supervision
  • Professional appearance and attitude
  • Team player and development minded
  • Understands / speaks Cantonese & Mandarin fluently are required
22

Operations Risk Manager Resume Examples & Samples

  • One of the key responsibilities will be ensure all "end to end " operational risk control changes are documented and implemented on a timely basis and ensure all branch compliance and operational risk control process and procedure artefacts are maintained in a master shared repository
  • And another important responsibility will be accountable for the end-to-end operational process performance on risk control
  • Furthermore, this role will assist in the deployment and training of the end users involved in change management
  • You will also work with the regional and in country business and project teams to capture existing in country or branch risk control processes and manage branch compliance and operational risk process projects
23

Private Banking Operations Risk Manager Resume Examples & Samples

  • Leading a team of risk professionals (4 VPs and 2 Directors) responsible for a broad set of risk management activities
  • Executing the front to back operational control framework that allows Private Banking Operations to efficiently, effectively, and consistently manage risk across the organization
  • Administering the Cross-PBO Risk & Control Self-Assessment (RCSA) Delivery
  • Managing the execution of the Quarterly Independent Testing Program across PBO
  • Overseeing Cross Divisional Risk Reporting to Senior Management and Senior Bank Stakeholders?
  • Managing the central Operations Risk Incident Reporting Program for PBO, partnering with the Private Banking Group (PBG) Ops Risk Team, and Product
  • Consulting with internal groups such as Firm Operational Risk, Compliance, Legal, and other Ops teams on matters related to risk controls, self-assessments, incidents and infrastructure projects
  • Handling maintenance and oversight of all MSSB, LLC Inter-Affiliate Task Orders and Service Level Agreements between the Broker Dealer and the Bank (s)
  • Coordination of risk trends happening across the entire Private Banking Operations organization
  • Execution of the Business Continuity Strategy for PBO
  • Managing Information Security and Entitlements Strategy and activities for PBO
  • Overseeing the Inter-Affiliate Task Order program for PBO (Ensure costing is in line with Bank(s) expectations, and Quarterly Due Diligence is prepared in line with Regulatory mandates)
24

Digital Operations Risk Lead Resume Examples & Samples

  • Manage the relationships with Line of Business partners and ensure effective communication of all events
  • Server as subject matter expert on end to end operational process work flows
  • Assign team members to ensure appropriate coverage on all Digital projects and enhancements with the focus of understanding and supporting impacts to LOB partners
  • Identify potential impacts and risks and ensure proper escalation and communication on impacting events
  • Identify and track fraud trends to minimize loss and/or achieve efficiencies
  • Provide gap closure to newly identify control gaps that require execution and maintenance from Digital Operations staff members
  • Identify and drive the implementation of process improvements to benefit LOB and Digital Services operational teams
  • Proven leadership and matrix management
  • Excels in communication both verbal and written
25

Operations Risk Analyst Resume Examples & Samples

  • Utilize experience with UNIX and SAS/SQL to create exception reporting and targeting sampling based upon regulatory, global policy, local policy, and procedural policies to ensure compliance
  • Code, test, execute, and schedule reporting requests and support ongoing business processes using various data sources to preform queries
  • Conduct ad hoc requests that may include profiling, sampling, reconciliation, and quality testing of known issues/errors
  • The position requires interaction with policy, operations, and other functional business partners to ensure controls are covered
  • Lead business analysis projects autonomously and provide timely, error-free delivery of business requests
  • Participate in meetings with manager and business partners to share overall status of work, progress, and issues
  • Must be able to effectively provide updates and communicate key initiatives to senior risk management
  • Report creation and modification
  • Working with our BORM QC partners to understand the business requirements that will help us to write our code
  • Bachelor’s degree in Statistics, Economics, Finance, Mathematics, or a related quantitative field
  • 2-5 years of experience in banking, SAS coding, and report creation
  • Experience working with Citi Brands or Retail Services data
  • Base SAS, SAS Macros, SQL, Teradata & UNIX
  • Technical expertise in data extraction, manipulation, and reporting
  • Advanced Microsoft Office experience (Excel and PowerPoint)
  • Fluency in English is essential
26

Operations Risk Analyst Resume Examples & Samples

  • Modify and create new monthly reports from our internal application (The Reporter) to present to business partners and senior leadership on the QC team results
  • These reports will include analytics of risk, performance, emerging trends, and opportunities
  • Assist our internal partners with Automation of Power Point presentations and come up with ways to make our current process more efficient
  • Gathering & documentation for application/database development
  • Defining/designing performance metrics and reports
  • Deliver projects in a fast-paced environment
  • Utilize experience with UNIX and SAS/SQL to help create exception reporting and targeting sampling based upon regulatory, global policy, local policy, and procedural policies to ensure compliance
  • Help the Customer Service team build efficiencies in their process through the use of VBA and SQL
  • Assist our internal business partners with automation of reports and presentations that are forwarded to Senior Management
  • Learn the functional and technical aspects of The Reporter and act as a backup for our application owner
  • Assist internal business partners (QC Team) with any troubleshooting while using the Reporter Application
  • Provide support for technical or functional issues faced by users while performing their daily operational activities
  • Help to create exception reporting and account reviews for the QC team on a monthly basis
  • This skill will involve Base SAS and SQL coding knowledge
  • B.Tech in Information Technology / Information Systems / Computer Applications
  • 1-3 years of experience in applications development using VBA and SQL
  • Experience in the credit card industry is helpful
  • Advanced VBA Knowledge - - Ability to write macros and export material to and from Excel and PowerPoint; VB6, VB.NET, SQL Server, using COM objects in VBA, and MS Office
  • (In Addition) Base SAS, SAS Macros, SQL, Teradata & UNIX
27

Director BU Operations Risk Management Resume Examples & Samples

  • Periodic travel is required - 20% or less on an annual basis
  • Role interfaces with operational risk management and with assigned business unit management
  • Fraud Risk Assessment and Fraud Risk Review
  • Provides enterprise fraud risk management guidance and oversight for HSBC North America operations
  • Provides pro-active and reactive fraud risk assessment and review services, to identify key business risk issues, in order to assist with remediation plans and actions
  • The position will pro-actively review and report on the threat landscape within a business, and reactively review investigations case outcomes for evidence of risk and exposure to the business
  • Role interfaces with Operational Risk management personnel within the various business lines
  • Periodic travel required - 15% or less on an annual basis
  • Minimum of eight (8) years proven and progressive financial services operations, internal audit, compliance and/or legal management experience, or equivalent
  • Minimum of a Bachelor’s degree in business, related field or equivalent experience
  • The expert ability to identify risks, analyze risks and recommend mitigating controls
  • Well-developed managerial, communications, negotiation, analytical, organizational, project management and strategic and/or operational planning skills
  • The ability to function effectively with limited supervision
  • The ability to lead multiple projects at one time
  • Broad scope of knowledge of financial services business including products, operations, systems and organization
  • Series 7 and 63, life, accident and health licenses
28

Operations Risk Analyst Resume Examples & Samples

  • Conduct ad-hoc requests that may include profiling, sampling, reconciliation, and quality testing of known issues/errors
  • QUALIFICATIONS
  • Advanced Microsoft Office experience (Excel and Power Point)
29

Prime Brokerage Operations Risk & Projects Resume Examples & Samples

  • Partnering with line management to co-ordinate reviews of framework components such as SOX, Division Wide Policies, Segregation of Duty rules (SOD), Procedures, Audit and Entitlements
  • Capturing and reporting key risk and performance indicators (KRI's/KPI's)
  • Acquiring an intricate knowledge of Prime Brokerage processes and systems
  • Involvement in local and global projects
  • Ability to prioritize functions and deal easily with multiple issues and tasks
  • Approaches all situations with positive outlook, energy and enthusiasm. Is a self-starter who takes individual ownership for work quality and improvement
  • Strong understanding of risk management and escalation
  • Strong background in Financial Services within Operations
  • Proven track record of successful project implementation
30

Loan & Deposit Operations Risk Manager Resume Examples & Samples

  • Lead and manage employees
  • Ensures that department activities are compliant with audit and risk management policies and regulations. Manages and prepare responses to audit findings, FDIC reviews, or other regulatory information requests in a timely and comprehensive manner
  • Coordinates training and communicates regularly to ensure that staff is updated on latest bank products, services and industry developments
  • Provides strategic guidance on implementation and execution of department initiatives
  • Partners with loan servicing team to ensure that funding transactions are accurate and completed in a timely manner such as: wires transfers, ledgers and all other transactions
31

Senior Operations Risk Analyst, New Jersey Resume Examples & Samples

  • Bachelors degree in Accounting, Finance, or Mathematics
  • Five years of related experience, including risk, control, public accounting and/or Internal Audit experience
  • Must have a strong working knowledge of the principles, practices and concepts of internal control, including the COSO Integrated Framework of Control
  • Must have the ability to facilitate control self-assessments and identify/articulate opportunities to improve control design efficiency and effectiveness
  • Must be able to evaluate the operating effectiveness of controls, assess severity of control deficiencies and collaborate with management to develop action plans
  • Must possess working knowledge of a majority of the insurance operational functions, including: underwriting, premium processing, claims processing, complaint handling, vendor selection and management, and information technology
  • Must be able to partner with management at various levels of the organization in businesses located around the world
  • Must have strong conceptual thinking skills and be able to effectively research and resolve business issues arising in various operating environments
  • Proficiency in Spanish, Italian, Portuguese or Polish language strongly preferred
  • Experience working with international counterparts and traveling internationally preferred
  • International travel will be required and could reach 10% of the year
32

Operations Risk Analyst Resume Examples & Samples

  • Minimum 2 years banking experience
  • Excellent problem solving skills using creativity and innovation
  • Ability to coordinate and work collaboratively with internal and external contacts on a daily basis
  • Strong organizational, problem solving, and analytical skills with a focus on attention to detail
  • General understanding of bank processes, lines of business, and systems
33

Principal Operations Risk Mgr Resume Examples & Samples

  • Improves and maintains the global framework for physical security and crisis management. Builds and maintains physical security and crisis and incident management strategies and executable plans
  • Develops and maintains crisis communications protocols and channels including Nasdaq’s improvement of a mass notification tool and Crisis Management intranet site, among others
  • Develops exercise scenarios, training materials and drives crisis preparedness and response awareness content for all employees
  • Supports regional security teams during responses to major crises, and coordinates necessary corporate response while informing or engaging the enterprise-level senior management team, as appropriate
  • Coordinates with Nasdaq’s business continuity, disaster recovery and intelligence teams in proactively assessing risk to prepare for and respond to crises
  • Regularly conducts risk assessment of potential crises, identifies significant security and business issues and recommends and executes refinements
  • Communicates regularly on the efficiency and effectiveness of crisis management to senior leadership and other stakeholders
  • Maintain global physical security policy and training materials relevant to physical security
  • Ownership of access control systems and maintenance program. Work with technology department and external vendor suppliers to maintain access control systems such that they are current and meet industry standards
  • Conducts Physical Security Assessments of relevant Nasdaq facilities to ensure compliance with Physical Security Standards and detection of areas of improvement
  • At least 10 years of relevant experience in developing and operationalizing a global physical security and crisis / incident management program in regulated industries
  • Strong record of leadership and achievement in global crisis management with proven track record articulating same
  • Comprehensive knowledge of crisis management processes and technology, including integration of operations / command centers and related technology and applications into crisis management preparedness and response
  • Proven excellent project management and supervisory skills
  • Ability to work in a matrix environment and effectively manage through influence
  • Bachelor’s degree required. Advanced degree preferred
  • Multilingual capabilities a plus
  • Intelligence background, thus able to receive, access, prioritize and disseminate intelligence of importance to Nasdaq on a constant and at time immediate basis
  • Intimately familiar with all aspects of conducting a physical security assessment
  • Superior writing and presentation skills to effectively convey issues to superiors
  • Current proficiency in firearms with requisite state authorization to carry and semi-annual documented qualifications
  • Extensive knowledge of all aspects of EP from handling of a principal, threat assessment, driving, and addressing a threat in the proper manner
  • Ability to work effectively as part of a team and be flexible with respect to changing daily priorities
  • Project management experience to be able to effectively seek solutions to large ranging security issues, seek options, develop a business case for them, and effectively lead a team towards integration
  • Will leverage existing relationships and develop additional sources of information within the relevant community to enhance above efforts
  • Will develop tactical, strategic, and collection/reporting to fulfill mission by identification, evaluation, mitigation of threats and vulnerabilities
  • Understand emerging threats to enhance domain knowledge and exploit collection opportunities
  • Tactical, will support day to day operations with third party vendor, various data base reviews, and liaisons review re EP, travel, threats, Threat assessments( the specific information related to an event/ NASDAQ locations), Risk Assessment (more overall threat/risk/vulnerabilities
34

Brokerage Operations Risk & Controls Manager Resume Examples & Samples

  • This position is responsible for leading multiple key and high impact projects in functional areas
  • Manages the day-to-day oversight of the planning and performance of control and process audits and compliance with standards and regulations
  • Recommend and lead the implementation changes to methods of performing work. Provides input to policy to manage risk and exposure to the organization
  • Involved in the complex analyses of the consequences and implications of multiple alternate scenarios where the results have significant impact on the organization
  • Leverage enterprise risk standards for the identification, measurement, monitoring and management of business unit operational or product risk
  • Lead efforts in defining risk information and tools needed for the management of business unit process or products and ensure the capture of appropriate risk-related data to support the measurement and management of risk
  • Support the development and implementation of policies and procedures that are in line with corporate guidelines
  • Support the implementation and ongoing use of Governance, Risk and Compliance (GRC) tools within the business unit
  • Delivers operational execution with a focus on action and accomplishing results; establishes appropriate plans/goals, demonstrate commitments to organizational success
  • Is able to identify and access resources across the company to accomplish projects, and handles multiple projects simultaneously
  • Drive the identification of emerging risks and trends (both internal and external) that could have a negative impact on the ability to achieve business goals and objectives
  • May be asked to prepare presentations and reports to product risk committees and bus unit leadership for risk related topics
  • Lead staff relative to the implementation, monitoring, evaluation and reporting on compliance, audits, policies, programs and issues
  • Makes decisions on moderately complex technical issues dealing with regulatory compliance issues having limited impact to the organization
  • Organizes, orchestrates, and monitors moderately complex sets of activities, people and resources over extended periods of time
  • Participates in defining audit service standards for Brokerage Services and Support
  • Contributes to decisions and projects that have a moderate to high impact to the business unit
  • Manages the coordination of the activities within Risk and Controls with responsibility for results
  • Responsible for coaching, career planning, and mentoring a team of 7-10 Risk and Control Analyst; manage in a performance-based culture with emphasis on continuous improvement and risk management
  • 5-10 years of financial services industry experience (preferably in brokerage operations) with a strong discipline in assessing risk and implementing adequate controls
  • 5+ years of information security/audits or business process re-engineering in a process and control environment in a financial services company
  • FINRA Series 7 is required at time of application
  • FINRA Series 24 is required at time of application
  • Proven track record managing projects
  • Experience managing direct reports in alignment with organizational culture, values and brand Solid understanding of regulatory agencies (e.g., FINRA, SEC)
  • Demonstrated ability to gather, analyze and interpret risk and control related data; grasps complexities and perceives relationship among problems and issues; ability to communicate effectively to management and business partners
  • Experience using all Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel
  • Good communication skills and strong relationship management skills
  • Prior project and/or people leadership experience
  • Ability to make timely and sound judgments; including under ambiguous circumstances
  • Build sound business relationships across the enterprise to enable a strong understanding and close alignment with business needs, direction, and risk appetite \Experience with Brokerage Services applications preferred
  • Ability to develop short and long-range risk management plans that are comprehensive, realistic and effective in meeting goals; integrates plans across brokerage operations business units
35

Operations Risk Manager Resume Examples & Samples

  • Minimum 5 years of Commercial Banking Operations experience required
  • Minimum 7 years of Banking experience required
  • Minimum 3 years of management experience required
  • LI-TT1
36

Principal Operations Risk Manager Resume Examples & Samples

  • Sarbanes Oxley (“SOX”) program is a part of the Nasdaq Group Risk Management Team. The SOX Design Lead – US will have the following responsibilities
  • Work with business owners to document new business processes or changes to existing processes including process narratives and identification and documentation of key controls
  • Work with control owners and internal audit to ensure testability of edits to existing controls or documentation of new key controls
  • Assist in development of process flows for SOX processes
  • Review of quarterly control assessment evidence for completeness and accuracy
  • Update control documentation in controls database based on comments received from control owners, Internal and External Auditors
  • Work with control owners to address deficiencies or exceptions identified by internal or external auditors
  • Update GRC tool, BWise, as necessary for edits to control elements and issues
  • Act as liaison with external auditors for SOX concerns including facilitation of meetings; including annual walkthroughs, with control owners as well as the discussion of possible remediation activities for identified deficiencies
  • Help to maintain internal program metrics related to the US processes including the status of design, operational testing progress and status of issue/remediation action plans
  • Prepare and run the weekly status meetings with internal SOX stakeholders and with external auditors. Prepare and run the quarterly steering committee meeting
  • Provide guidance and training on use of internal sox control database application (BWise).Desired qualifications / Experience
  • Requires conceptual knowledge of theories, practices and procedures within a discipline
  • Is working in a smaller defined area of the role, this continues to expand as the employee gains more confidence and capability
  • Uses existing procedures to solve standard problems; analyses information and standard practices to make judgments
  • Develops rapport with customers
  • Supports customer relationships
  • Supports internal relationships to identify and align NASDAQ resources to meet customer needs
  • Participates in dialogue with assigned customers
  • Participates in the communication with the internal team
  • Gains insight to external trends (i.e. business trends, regulatory issues, global implications) to contribute to the anticipation of customers’ needs
  • Collaborates with colleagues and customers to assess customers’ immediate needs
  • Developing presentation skills
  • Developing communication skills
  • Gains insight to best practice methods
  • Developing knowledge of customers the inner workings, objectives, and challenges of assigned customers
  • Analyzes sales calls to prioritize next steps and makes recommendations
  • Displays attentiveness by taking notes during discussions and asking questions
  • Effectively addresses customer concerns and works to further their long-term interests
  • Builds basic customer knowledge and an understanding of common customer needs
  • Begins to learn the details of each account and plans accordingly
37

Operations Risk Manager Resume Examples & Samples

  • Prepare and present output of employee fraud risk tools to various levels of management, including business risk departments
  • Assist risk organizations and business units with efforts to best mitigate employee fraud
  • Participate and co-manage cross-functional teams with the collection and quantification of employee fraud risk data
  • Validate and report on employee fraud loss data, including trend reporting
  • Advise management regarding potential employee fraud risk management issues
  • Develop, implement, and maintain appropriate tools, policies and procedures to best mitigate employee fraud risk
  • Participate in projects that address deficiencies uncovered by audits and Federal/State exams related to employee fraud risk
  • Provide client education within the bank by assisting with the formation and execution of training materials
  • Perform other assignments/projects as requested by management
  • Manages substantial data from an employee fraud risk perspective for the bank
  • Performs quantitative analysis of employee fraud risk data
  • Analysis will have a direct impact on the banks risk management strategies
  • Ability to work well with all levels of management
  • Bachelor's Degree or equivalent work experience
  • Minimum 5 years banking/finance and risk management/compliance administration/audit/analysis, strategic consulting experience
  • Minimum 4 years project management experience, including supervisory responsibilities
  • Experience leading cross-functional project teams
  • Demonstrated expertise in advanced analytic and risk management
  • Understanding of profitability and loss
  • Proficient in personal computers and of software utilized in department
  • Developed industry and/or functional expertise
  • Excellent verbal and written communication and cross-functional collaboration
  • Proven ability to develop and integrate risk management controls into business processes
  • Ability to articulate ideas and develop alternative recommendations
  • Establish and maintain solid working relationships with senior management and business partners/vendors
  • Must possess self-motivation and organizational skills
38

Operations Risk Manager Resume Examples & Samples

  • Prepare and present updates and communication to various levels of management
  • Assist risk organizations and business units with efforts to adhere to risk management best practices utilizing risk management framework and tools
  • Participate and co-manage cross-functional teams with the collection and quantification of capital modeling data
  • Validate and report on loss data, including trend reporting and internal /external data
  • Advise management regarding potential risk management issues
  • Develop and implement appropriate policies and procedures to ensure compliance with regulatory guidance
  • Correct and track process deficiencies uncovered by audits and Federal/State exams
  • Manage and participate on projects that impact the enterprise wide risk management of the organization
  • Manages substantial data from an operational risk perspective for the bank. Works closely with various levels within every business line, senior management, and various risk management groups throughout the organization. Performs and facilitates the critical interface between the collection and application of operational risk information. Analysis will have a direct impact on the banks risk management strategies
  • Ability to work well with all levels of management. Must possess self-motivation and organizational skills
  • May have supervisory responsibility. Good ability to direct and motivate staff. Must be able to develop successors and talent pools
39

Operations Risk, Manager Group Resume Examples & Samples

  • Provides a leadership role in the planning, development, and implementation of operational risk frameworks / measurement methodologies, policies, standards and procedures specific to the needs of the business which are aligned with the Bank’s Operational Risk Department
  • Analyzes and documents various processes and products, existing or new, by working with the business units to identify key processes as prescribed by the Operational Risk Department’s framework (process documentation, risk assessment, controls documentation, and testing implementation.)
  • Works with management and staff in areas of the organization affected by alterations in business practices to ensure understanding and implementation of new operational risk policies and procedures
  • Collaborates with other Bank units to study and investigate operational risk issues and identify and implement solutions
  • Supervises and / or performs periodic testing to determine effectiveness of unit’s adherence to the Bank’s operational risk framework requirements, internal policies, and best practices
  • Bachelor’s Degree in Business Administration or related field required
  • Master’s/Advanced Degree in Finance or related quantitative field preferred
  • 10+ years combined Risk Management experience
  • 5+ years experienced successfully leading and managing teams
  • Alternative: Combination of education and experience (years /description) Bachelor’s degree or equivalent combination of training and experience
  • Strong Quantitative Analysis Skills especially with unstructured data
  • Expertise in Data Analytics
  • Expertise in process management and control environments
  • Experience and expertise in working with analytical tools
  • Strong understanding of mathematical and modeling concepts
40

Operations Risk Manager Resume Examples & Samples

  • Develop an operational risk program identifying key risk indicators, reporting, risk self-assessments, and an action plan with tracking of follow-up items. Works with unit Operations Managers to put preventative measures in place and ensure policy and procedure documentation is kept updated
  • Working with Compliance, Legal, and RBC Capital Markets will review and determine if new legislation or regulations are applicable to department operations. Will work with unit Operations Managers to ensure business units implement necessary processes and/procedures to comply
  • Serves as operations risk management advisor in development of new products and new operating processes
  • Provides guidance on assorted matters (such as: monitoring operational developments and providing updates to appropriate managers; performing document reviews, and conducting risk training); and researches and prepares for resolution
  • Puts together project plans, periodic update reports and maintain detailed task lists for each project or deliverable related to assigned projects; follows up with project members as necessary
  • Assists in analyzing loss data gathered from internal sources and create measures to protect the bank by means of designing or revising workflow processes, updating policies and procedures, adding system enhancements, etc
  • Works in conjunction with the Compliance and Legal Departments to research technical analysis of existing and pending legislative activities, including governmental regulations
41

Operations Risk Manager Resume Examples & Samples

  • Focus and implement an effective Operational Risk Framework (ORF) within the business unit to ensure operational risks and controls are being managed appropriately at the business unit level in a proactive, risk based and disciplined manner to meet external, internal and regulatory requirements
  • Review and monitor Product / business operational risk management from an end-to-end basis
  • Ensure proper functioning of day-to-day controls, periodic monitoring activities, and timely identification and resolution of risk issues
  • Promote a strong operational risk management and compliance culture in which align with Group and local regulatory requirement
42

Operations Risk Manager Resume Examples & Samples

  • Develop and drive execution of an end-to-end operational controls assessment program
  • Manage operational risk assessment and management process
  • Lead delivery and facilitation of an operational Quality monitoring program
  • Direct operational monitoring and controls activities to ensure deadlines are met in accordance with operational compliance monitoring work plans
  • Analyze and understand regulatory and contractual requirements to Integrated Quality business operations in developing and managing internal risk and control plans
  • Collaborate with business operations personnel and senior leadership throughout the operational compliance monitoring process
  • Develop and present operational policies, contractual monitoring and end-to-end risk assessment information (i.e. work plan and rational, scope, findings, recommendations, corrective actions and remediation plans) to business and operations leadership as well as Optum Legal and Compliance
  • Develop, track and report on operational controls and monitoring corrective action plan commitments and progress
  • Anticipate customer needs and proactively develop solutions to address
  • Perform additional duties as requested or required by management
  • Travel as necessary, usually up to 10 percent, to manage and coordinate the internal assessments and quality monitoring activities
  • Bachelor’s Degree in Finance, Accounting or related field
  • 4+ years of experience related to operational risk management, operational controls and monitoring, data controls, compliance, and / or financial, operational or external audit
  • 4+ years of internal controls experience surrounding large, complex, high volume data sets and accounting systems
  • Experience with defining and implementing operational controls monitoring programs in a heavy transaction based environment
  • Demonstrated analytical skills and ability to translate detailed plans and findings for executive audiences
  • Demonstrated ability to work collaboratively across a large, highly regulated environment
  • Background and knowledge of government regulatory requirements
  • Risk Management or Audit certification
  • Healthcare or financial services background
43

Head of Asia Operations Risk & Controls Resume Examples & Samples

  • Consumer Operations Function Control Governance and Line-of-Sight
  • End-to-end Outsourcing Management (including Third Party and Inter-affiliate)
  • Standards and Procedures Coordination, ensure common controls in countries
  • Issue Escalation and Socialization
  • New Product and Business Practice Reviews
  • Manager’s Control Assessment (MCA) and Quality Assurance Framework (QAF) Coordination (and centralized execution by the Country CBORC function if confirmed by Phase II of the Gold Copy MCA Program)
  • Audits, Franchise Reviews and Regulatory Examination Management
  • Risk and Control Project Management
  • ‘Deep Dive’ Reviews
  • Training and Awareness
  • Keep up-to-date with market trends and share information on risk and controls with countries related to controls in consumer operations
  • Senior leader with significant experience in Risk and Controls management position
  • Candidate would be expected to have 15+ years of work experience
  • Strong operations background in consumer banking products
  • Ability to work effectively in complex and dynamic situations requiring analytical, interpretive and problem solving skills
  • Ability to work with internal and external clients in a positive manner and help deliver solutions that benefit the business
  • Extensive knowledge of consumer and corporate banking products, as well as a strong understanding of our technology program
  • Knowledge of local legal and regulatory requirements strongly preferred (APAC-EMEA markets)
44

Operations Risk Management Specialist Resume Examples & Samples

  • Provide enrollment support to Key Users /PMOs as requested ensuring role requested is appropriate and can support requested actions within the application as well as managing process get LDAP updated
  • Monitor company disenrollment notices for individuals that either own elements in BWise or are part of an open life cycle (issue, assessment or action plan). Work with business and PMOs to determine appropriate replacements, make changes in BWise, provide training material to new owners as necessary and ensure departing personnel are removed from BWise application
  • Support the business and PMOs in the creation or maintenance of existing Open Assessments
  • Act as owner for incidents relating to BWise usage and functionality
  • Experience owning or providing application support to a multi-departmental application
  • Ability to support application where documentation and support services are provided in English
  • Any experience in areas of internal control or risk management would be considered beneficial
  • Good working knowledge of Excel and Word
  • Any experience in SAP or BI would be considered a plus
  • Plans and prioritizes work using resources in the best possible way to complete tasks on time and with high quality
  • Provides creative insights and / or solutions to address client / organizational challenges
  • Works quickly and is able to assist other team members where appropriate
  • Is able to explain difficult information; works to build consensus
  • Fosters a positive work environment that promotes high quality service delivery; ensures that service level expectations and agreements are consistently met
45

Risk Manager, Credit Card Operations Risk Resume Examples & Samples

  • Intermediate knowledge of internal controls and risk self assessment
  • Basic knowledge of Consumer Lending processes, products and operations; regulatory requirements; and key controls and exposure areas
  • Analytical thinking skills
  • Project management skills to support multiple assignments on behalf of various stakeholders
  • Coaching and developing staff on project basis
  • 5+ years experience experience gained from working in financial services industry
  • Experience with risk and control self assessment program elements
46

Operations Risk Executive Resume Examples & Samples

  • Minimum education qualification of degree
  • At least 3 years’ experience in investigation or banking related job
  • Good communications and inter-personal skills
  • Independent, strong analytical skill and a good eye for detail
  • Ability to cope under pressure
47

Operations Risk Analyst Resume Examples & Samples

  • Study and review business processes in assigned business unit; examine documentation and flow of work through systems
  • Confer with business unit staff on business problems or the execution of unusual transactions. Coordinate across business and corporate units, and with customers in ensuring that these less common transactions or exchanges are executed appropriately
  • Where required by internal policies or external agencies, develop documentation of business processes and safeguards. May prepare reports for inclusion in larger mandated report(s)
  • Plan and facilitate presentations and workshop sessions on process analysis, risk identification, assessment, control and mitigation. May use formal process improvement methodologies to assess and improve operating procedures in work unit(s)
  • Confer with business unit management and staff by scoping business problems, analyzing processes, losses and risk exposure and sharing lessons learned. Identify key problem drivers, and reinforce operational procedures with appropriate internal controls
  • As needed, participate in or play technical lead in disaster recovery effort
  • Measure and analyze performance improvement results in a business or corporate unit. Support overall IT control practices, and remediation action plan execution, and integration and systems development life cycle testing and systems certification
  • 4-6 years of related business
  • Single Family Business
  • Six Sigma (White Belt)
48

Operations, Risk & Administration Specialist Resume Examples & Samples

  • Work involves routine and non-routine duties or tasks and is completed under general supervision
  • Supervisor or manager provides direction for items exceeding assigned authority or unfamiliar situations
  • Role involves exposure to customers as well as external vendors and service providers
  • May work in call center or branch environment where systems are available in meeting services quality objectives
  • Authority Levels
  • Clearing Limit: 50,000,000
  • Officer Approval for Overlimit Account: 1,000,000
  • Cash Out: 5,000,000
  • Clearing Limit: 250,000,000
  • Career minded team player and development minded
  • Chargeback experience with MasterCard could be an asset
  • Ability to meet volume, quality and regulatory performance targets
  • Excellent communication (verbal and written), customer service and interpersonal skills
  • Strong analytical and critical thinking ability
  • High attention to detail with advanced time management and organizational skills
  • Knowledge of HSBC’s products and services
  • Knowledge of HSBC’s policies, practices, and procedures
  • May require industry-specific courses to serve as back up to the HIFC Branch Manager. To serve as backup HBM the incumbent requires
  • Registerable as the BM under the applicable securities legislation
  • Willingness to be mobile in local area
  • Experience with conflict resolution
49

Operations Risk Metrics, VP Resume Examples & Samples

  • 5+ years in operational risk management, operations or technology audit or related role, including experience designing and implementing operational and technology risk metrics
  • Experience in the financial services sector
  • Strong data skills, including experience with data quality controls
  • Enjoy analyzing and discussing risks and controls
  • Demonstrated ability to overcome obstacles and deliver assignments on-time and with high quality
  • High energy self-starter
  • Knowledge of several banking business products
  • Education - Bachelor’s Degree or higher
  • Preferred experience with metrics reporting tools
50

Operations Risk Manager Resume Examples & Samples

  • Develop and drive execution of an end - to - end operational controls assessment program
  • Develop and present operational policies, contractual monitoring and end - to - end risk assessment information (i.e. work plan and rational, scope, findings, recommendations, corrective actions and remediation plans) to business and operations leadership as well as Optum Legal and Compliance
  • Travel as necessary, usually up to 10%, to manage and coordinate the internal assessments and quality monitoring activities
  • 4+ years of internal controls experience working directly with large, complex, high volume data sets and accounting systems
51

Manager, Operations Risk Management Resume Examples & Samples

  • Bachelor's Degree from an accredited University, majoring in agriculture, business, finance, and/or economics
  • Cumulative ten (10)+ plus years of agricultural-related experience, with at least five (5) being in the safety/compliance function
  • A solid understanding of and genuine interest in agricultural operations
  • Understanding of real estate and property rights
  • General knowledge of federal, state and local land use regulations affecting agricultural property management and farm operations
  • Ability to read, understand and interpret regulations and policies affecting agricultural land use management
  • Ability to interact and build relationships with individuals at all levels of the organization and with external parties, including industry associations, regulators, stakeholders
  • Ability to conduct and facilitate group meetings to train staff on risk management and compliance requirements of their functions
  • Excellent organizational skills, strong communication skills and professional appearance
  • Ability to write policies and procedures as well as reports, including to senior management
  • Mature and willing to approach problem solving from high level to operational details
  • High degree of self-motivation
  • Organizational and project management skills commensurate with prioritizing, managing and completing multiple projects and deadlines concurrently
  • Other language, especially Spanish speaking, is preferred
  • Travel required; extensive travel within California, with visits to other states as well
52

Operations Risk Analyst Resume Examples & Samples

  • Ensures strategic objectives of the Banking and Payments Operational Risk Management program are met including the management and execution of Line of Business-driven risk and security initiatives, risk assessment activities, coordination of ongoing program reporting
  • Interprets requirements of emerging risk areas, develops corresponding action plans and documents progress. Key steps to include
  • Working with cross-functional groups to determine scope of emerging risk and identify potential overlapping initiatives
  • Development of cross-divisional action plans designed to address the emerging risk with common methodologies that can be applied within each autonomous division
  • Management and development of status tracking for key initiatives to allow for enterprise aggregation of initiative implementation
  • Tracks, coordinates, and resolves issues identified in any and all related control, compliance, or risk work
  • Develops, implements, and maintains business processes, procedures, and sustainable reporting
  • Performs root cause analysis of cross-divisional assignments to identify process improvements that would allow for a greater level of planning and coordination
  • 25% travel is required
  • Strong analytical, organizational, and communications skills required
  • Advanced proficiency in MS Excel preferred, but not required
  • Project-oriented and may require a significant amount of overtime at critical times
  • Possesses outstanding interpersonal, communications (both written and verbal), and human relations skills
  • Ability to provide information to a variety of audiences and deal effectively with issues that are confidential and sensitive in nature
  • Ability to establish and maintain effective working relationships with employees, vendors, clients and public
  • Ability to demonstrate effective verbal communications in meetings, one-on-one situations, and group situations
53

Operations Risk Analyst Resume Examples & Samples

  • Support and collaborate with staff who study and review business processes in assigned business unit; examine documentation and flow of work through systems
  • Contribute to assessment of adequacy of internal controls, documentation, backup/redundancy, and disaster recovery procedures intended to ensure continuing and secure operations
  • Participate in process improvement in an operating unit by performing root cause analysis to identify discrepancies, implementing remedies, and documenting outcomes
  • Develop and communicate control activities in support of the published operational risk guidelines or policies by promoting awareness to specific business unit employees
  • 2+ years of demonstrated experience with all aspects of operational risk assessment
  • Risk Management experience desired
  • Single Family Business experience
54

Operations Risk Analyst Resume Examples & Samples

  • Perform trade corrections via our brokerage platform. Products include but not limited to: mutual funds, general securities, alternative investments and managed programs
  • Monitor and address when necessary account cash debits, 90 day trade restriction issues, and margin interest situations
  • Conduct account analysis to identify potential client harm, work with clearing firm to resolve
  • Identify risks, analyze procedures, and work with managers to resolve procedural gaps
  • Present error and correction trends as well as any proposed suggestions to Transfer Agency leadership on a regular basis
  • Communicate with internal and external vendors and product providers in a friendly and professional manner to analyze and resolve problems. (COMP)
  • Participate and assist with projects and audits, as needed
  • Review trades in AMS wrap accounts; determine needed action, then following up to ensure adjustments were done correctly
  • Use professional, clear and precise communication with advisors, advisor office staff, and home office staff. (COMP)
  • Demonstrate the desire to assist other teams across multiple tier levels and work groups. (COMP)
  • Bachelor’s degree in finance, economics, business administration, or related area or equivalent combination of education and experience preferred
  • Minimum five years of work experience in a business setting. (Required)
  • Minimum three years relevant experience in financial services such as Client Service, Trading, Brokerage Operations, Investment Operations, and/or Insurance Operations. (Required),
  • Service experience strongly preferred
  • Experience processing securities transactions, ACAT, non-NSCC, and mutual fund transfers utilizing a brokerage clearing platform preferred
55

Operations Risk Manager Resume Examples & Samples

  • Excellent technical knowledge on the perimeter covered (products, processes, controls, information systems, risks, functions)
  • Excellent knowledge of the operational risk environment (regulations, processes). Risk management skills
  • Familiarity with audit methodology (ability to structure an approach, formalization of work done, substantiation and justification of conclusions, ability to perform substantive tests when necessary)
  • Good knowledge of usual IT tools (Excel, Word, PowerPoint)
  • Communication skills both written and verbal
  • Result oriented
  • Excellent interpersonal relations & influence
  • Ability to work well in small team settings
  • Ability to effectively manage small groups from varied departments in the collection & analysis of information relating to Operational Incidents
56

Operations Risk Analyst Resume Examples & Samples

  • Ensures strategic objectives of the Banking & Payments Operational Risk program are met including the management and execution of Line of Business-driven risk and security iniaitives, risk assessment activities, coordination of ongoing program reporting and communications
  • Manage and drive all communication routines and channels for the Operational Risk program (e.g. managing internal and external meeting routines, presentation materials and speakers / coordination of semi-annual Risk Liaison conference / management of Risk wiki-site content, usage and enhancement)
  • Excellent verbal and written communication skills to technical and non-technical audiences of various levels in the organization (e.g. executive, management, individual contributors)
  • Excellent problem solving and time management skills managing multiple deadlines, may require a significant amount of overtime at critical times
  • Knowledge and proficiency in wiki platforms (namely Confluence) favorable, but not required
  • Advanced proficiency in MS Suite preferred
57

Manager, Operations Risk Resume Examples & Samples

  • Develop and deliver advisory services across the spectrum of the retail and commercial banking industry, including assistance with initiatives in domains such as Teller, ATM, Sales and Service, Payments, Consumer and Commercial Lending, Treasury Management, Mobile, Social Media, and other related domains
  • Advise clients on how to achieve an integrated single view of the customer to support inter-business cross-sell and up-sell and the business and IT implications of such a transformation
  • Work closely with bank IT Architects, Chief Technology Officers, Chief Intelligence Officers, and Line of Business Executives in the development and design of IT solutions to meet business needs
  • Manage engagements according to KPMG’s financial/cost management policies
  • Assist in the development and management of ongoing client relationships
  • Seven years of experience as a Technical Lead/Architect responsible for large scale application design, data integration, architecture, and infrastructure
  • Experience with a broad spectrum of vendor systems and applications across the domains listed above, including knowledge of the underlying technologies and the ability to assess proper fit of vendor solutions into a specific bank architecture
  • Knowledge of data management infrastructure that includes data warehouse, Master Data Management reference data operational stores, and near real-time movement of data through continuous flows
  • Experience in assessing alternatives in support of a major core banking system transition, including evaluation of current state process and product aspirations of the business, IT fit, and alternative prioritized recommendations
  • Knowledge of IT operations including application development, support, strategy, and security/risk
  • Understanding of channel options and implications of business decisions on IT components for online portals, branch, ATM, and call center initiatives
58

Senior Associate, Operations Risk Resume Examples & Samples

  • Deliver advisory services across the spectrum of the retail and commercial banking industry, including assistance with initiatives in domains such as Teller, ATM, Sales and Service, Payments, Consumer and Commercial Lending, Treasury Management, Mobile, Social Media, and other related domains
  • Work with management to advise clients on how to achieve an integrated single view of the customer to support inter-business cross-sell and up-sell and the business and IT implications of such a transformation
  • Contribute to design, preparation, and analysis of reports and findings in a clear, logical, and concise manner
  • Assist Directors and Partners in the creation of proposals, business development, and practice administration
  • Serve as a liaison between clients and upper management as well as identify and communicate technical matters to both clients and upper management
  • Serve as mentor to associates and new hires
  • Five years experience working with an Architect responsible for large scale application design, data integration, architecture, and infrastructure
  • Bachelor's degree from an accredited college/university
  • Knowledge of IT operations including application development, support, strategy, and security/risk with prior supervisory experience
  • Understanding of channel options and implications of business decisions on IT components for online portals, branch, ATM, and call center initiatives; established understanding of business dynamics and operations
59

Senior Associate, Operations Risk Resume Examples & Samples

  • Advise financial services institutions on matters relating to the enablement of risk management capabilities across the spectrum of market, credit and operational risk
  • Define capabilities to address risk and performance information management such as Reference Data management, Data Quality, Data Governance
  • Provide assistance with risk exposure and performance measurement, aggregation and attribution, regulatory and economic capital allocation, limits and limit monitoring and management, reporting and ad hoc analysis, specifically an integrated risk and performance management framework, and workflow around consistent application of policy globally
  • Responsible for working with subject matter professionals in key areas of risk management to define critical gaps in capability, design a recommended future state, and outline an implementation strategy including process, data, information management, analytics, reporting and technology
  • Five years of financial services experience with three years of consulting experience working in the Capital Markets space and demonstrated understanding of various asset classes especially structured products
  • Bachelor’s degree from an accredited university; Master’s degree from an accredited college/university preferred
  • Experience working in and around the buy-side and sell-sides, brokerage and banking solving data issues for the risk management functions including market, credit and/or operational risk
  • Critical experience and background in data management as a core competency
  • Strong background in managing data including designing and building reports, data-modeling, designing business intelligence and dash boards
  • Knowledge of risk technology vendors and the, travel may be up to 80-100%
60

Senior Associate, Operations Risk Resume Examples & Samples

  • Participate in large scale banking initiatives focused on delivering operational, technical, and/or product development changes associated with system and operational conversions, integrations, enhancements, and process re-engineering
  • Develop and build knowledge across the project including scope definition, business case development, requirements gathering, functional and technical design, vendor assessment, testing, training, and implementation phases
  • Participate in delivering commercial and consumer business models and credit process re-design engagements that concentrate on assessing the current state of the business model and identifying key pain points, developing recommendations aligned to industry leading benchmarks, and developing high level conceptual and detailed design
  • Provide implementation management and support
  • Contribute to the design, preparation, and analysis of presentations, reports, and findings in a clear, logical, and concise manner
  • Identify and communicate technical matters to both clients and upper management
  • One year of consulting experience at a recognized firm and/or commercial and/or retail lending and loan administration experience
  • Knowledge of retail or commercial and corporate lending and/or banking
  • Excellent written and verbal communications and presentation skills
  • Proficiency in Microsoft Word, Excel, PowerPoint and Project
  • Three years of relevant experience
  • Knowledge of banking products and services, sales, operations, policies and procedures
  • Knowledge of the commercial and retail loan origination and servicing systems and strong process, credit, and financial analysis skills, including knowledge of lending and credit regulations
  • Exposure to risk management and control concepts and ability to identify risk, evaluate impact, and provide mitigation suggestions
  • Exposure to software development process, IT project lifecycle, and IT architecture design is a plus, including programming experience with specific software languages or frameworks such as SQL, MS Visual Studio.NET, Visual Basic, Java, and C++
61

Operations Risk Manager Resume Examples & Samples

  • Create or increase the level of operational risk and compliance awareness amongst the various business units in Consumer Financial Services (CFS)
  • Work with these business units to ensure that processes are robust to meet operational risk and compliance requirements in all areas cross consumer banking
  • Participate actively in projects for launches of new products or services as well as process improvements
  • Keep abreast of all developments in the operational risk and regulatory environment and collaborate with the business units to adopt best industry practices
  • Conduct regular training/briefing for GCFS SG staff to be conversant with the relevant regulations and internal control requirements
  • Conduct off-site surveillance to obtain assurance of business units’ adherence to laid procedures and regulatory requirements in relation to requirements
  • Work with Group Legal & Compliance and Group Operational Risk Management to ensure alignment of CFS’s framework with that of the Group
  • LI-JK
62

Operations Risk Manager, VP-tempe Resume Examples & Samples

  • Bachelor’s degree or greater
  • 8+ years of experience in (i) operations management; (ii) operational and/or compliance risk management; and/or (iii) audit experience in financial services or within a HR organization
  • Ability to analyze risk trends, identifying signs of changing risk levels and/or symptoms of process control breakdowns and areas of emerging risk for the business unit
  • In-depth knowledge of and experience with internal audit and regulatory examination processes
  • Strong communication skills, both verbal and written, and an ability to interact with all levels of management, including executive management and external regulatory agencies
  • Strong personal workflow coordination and organizational skills and attention to detail
  • Proven ability to multi-task and meet aggressive targets in a fast-paced environment
  • Strong Microsoft Excel skills; familiarity with SharePoint; Experience with Open Pages or other governance, risk management, and compliance (GRC) management system
  • An approachable and professional demeanor, with ability to listen and understand the needs of the regulators and the business
63

Operations Risk Analyst Resume Examples & Samples

  • Primary support for a Trust Administrator
  • Various non-routine administrative support functions teamed with account administrator(s) to provide client service
  • Limited discretion in making decisions involving individual trust accounts
  • Signing authority up to $10,000 for disbursements and can make. recommendations to the account officer and other less seasoned assistants over this limit
  • Proactive & reactive contacts with assigned clientele base for routine requests as well as crisis resolutions and problem solving
  • Inputting trade orders accurately; buying/selling within the specific time frames; providing available funds in account to meet trust agreement objectives
  • Verifying correct posting in accounts
  • Monitors client's daily cash positions for overdraft and exceptions to cash policy requirements
  • Execute procedures to open/close/transfer accounts; collect assets from brokers or outside institutions
  • Assembles & reviews all required materials for, and may attend, formal trust reviews with the AO
  • Interacts with appropriate departments to obtain needed information or requests that action be taken. Follow up to ensure processes are completed in a timely manner - i.e. Discretionary action requests, FORAY runs, etc
  • Participate in the preparation of client presentation materials. Read and interpret basic trust agreement/documents
  • Ability to communicate with senior management when situations require or issues arise
  • Limited cross sell & referral responsibility involving PB & Retail products and services
  • Appointment to Notary Public as needed within the team to provide individual Private Banking team needs
  • Proficient with all Administrative Assistant II responsibilities. Attend departmental training (such as PBU, Cannon) and applicable Corporate HR curriculum when offered
64

Manager, Brokerage Operations Risk & Controls Resume Examples & Samples

  • Lead a team of 8+ individuals responsible for risk assessment and risk management of Brokerage Operations unit
  • Responsible to ensure effective remediation of non-compliant situations within the operations unit through the re-design of process/controls and testing of their effectiveness
  • Serves as SME regarding regulatory and compliance issues, effectively communicating complicated financial concepts to all levels of management, peers, auditors, regulators and others
  • Provides input to policy to manage risk and exposure to the organization
  • This position will facilitate and lead risk mitigation strategies, develop appropriate controls to proactively mitigate risks and detect unaddressed risks within the process, and regularly monitor and report progress
  • Support the implementation of risk and control self-assessment and related processes and the optimization of the control environment
  • Lead staff relative to the implementation, monitoring, evaluation and reporting on compliance, audits, policies, quality control programs and issues
  • Organizes, orchestrates, and monitors moderately complex and multiple responsibilities/activities within the team
  • Manages the coordination of the activities and resources within Risk and Controls with responsibility for results
  • Responsible for coaching, career planning, and mentoring a team of 8+ Risk and Control Analyst and Sr. Analyst; manage in a performance-based culture with emphasis on continuous improvement and risk management
  • Manages recommendations regarding hiring, promotion, salary, and termination etc., for direct reports
  • Series 7 and Series 24 Required
  • 5 or more years of financial services industry experience (preferably in brokerage operations) with a strong discipline in assessing risk and implementing adequate controls
  • 3 or more years of experience leading/managing a team that is responsible for multiple functions focused on outcomes and results
  • 3 or more years of experience in team development and performance measurements of individuals
  • 3 or more years of information security/audits or business process re-engineering in a process and control environment in a financial services company
  • 3 or more years managing complex operations unit with multiple responsibilities
  • 3 or more years managing highly successful team focused on results
  • 3 or more years of experience with operational audit/exam support responsibilities (e.g., Compliance testing, Internal Audits, Regulatory exams, etc.)
  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel
  • Experience with Brokerage Services applications preferred (i.e. NetX360)
  • Effective communication skills; speaks clearly and expresses self well in groups and in one-to-one conversations; conveys information clearly and effectively through formal and informal written documents
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Able to work independently to execute with excellence
  • Results driven; conveys a sense of urgency and drives issues to closure, while addressing obstacles and opposition
  • Experience in supporting vendor relationships
  • Build sound business relationships across the enterprise to enable a strong understanding and close alignment with business needs, direction, and risk appetite
65

Human Capital Management Operations & Risk Management Associate Resume Examples & Samples

  • Minimum 5 years’ work experience in HR Process, HR Consulting, Information Systems environment, and/or HR Project Management
  • Proficient in Word, Excel, PowerPoint and SharePoint
  • Strategic thinker with strong business analysis and planning skills. Ability to formulate implications of a specific solution across processes, e.g. costs, risk, and/or service
  • Knowledge of HR business processes, populations, and data structures supported by technology platform; HR service delivery and operating model transformation, outsourcing services
  • Ability to become a Subject Matter Expert on GS HCM current state and future state HR processes, applications, associated data and system integrations
66

AVP Operations Risk Management Resume Examples & Samples

  • Set a team climate that aligns to the Brighthouse culture
  • Employ inspiring leadership qualities that result in motivated teams
  • Communicate vision and strategy to the staff and across the organization
  • Develop an effective operational risk reporting package designed to enable deliberate risk decisions
  • Engage and coordinate with partner organizations within the company on assessment of key risks and the development and monitoring of internal controls to mitigate operational risk
  • Provide guidance to associates within the company on best-practices related to operational risk
  • Identifies and provides necessary training
  • Effectively communicate and accurately represent the operational risk profile with all stakeholders, including regulators
  • Strong understanding of operational risk practices
  • 10+ years of experience with risk assessment, evaluation of control effectiveness, and reporting of operational risk issues
  • Accomplished change management leader, able to operate effectively in a highly matrix environment
  • Demonstrated ability to design and manage implementation of sustainable and repeatable processes
  • Communicates and accurately represents the risk profile of the business or strategies to business and function leaders
  • In-depth knowledge of financial services operations
  • Proven track record as a subject matter expert, adept at leveraging skills to address business issues and fulfill financial objectives
  • Graduate degree preferred, but not required
67

Operations Risk Resume Examples & Samples

  • Provide oversight for and drive compliance with Collections Litigation, Sworn Document and Bankruptcy Depository policy, procedures and contractual obligations, as applicable
  • Inventory and assess available data sources
  • Design and support data intake processes
  • Develop a common data taxonomy for risk analytics
  • Develop and publish reports
  • Define, develop, track and report key financial, operational, and risk performance indicators and bench marks
  • Establish data benchmarks aligned with strategies and risk tolerance
  • Demonstrate proficiency in accessing multiple platforms, systems, applications and data repositories across the firm
  • Demonstrate a strong sense of urgency in responding to escalated issues, rapidly changing priorities and adverse performance indicators
  • 20% travel availability
  • 10 years experience in a financial services preferred
  • 5 years experience in risk management preferred
  • 5 years experience in senior level risk management reporting preferred
  • Advanced degree or commensurate experience
  • Ability to deliver results in a highly stressful environment where priorities shift rapidly
  • Demonstrated ability to translate methodologies into practical solutions
  • Strong priority management and multi-tasking skills required
  • Excellent quantitative analytic skills
  • Ability to write/execute Teradata SQL, Business Objects and Cognos queries from multiple metadata sources and schemas required
  • Proficiency in Chase data environments, schemas and tools preferred
  • SharePoint experience preferred
68

Operations Risk Resume Examples & Samples

  • Effectively partner with lines of business to solicit information and data
  • Demonstrate proficiency in accessing systems, platforms, applications and data repositories in multiple lines of business
  • Possess ability to creatively and productively consult/confer with management, business and data owners to solicit information and data
  • Designed support data intake process
  • Analyze data and reports to derive performance improvement opportunities, isolate root causes, and collaborate on viable solutions to drive enhanced operational processes
  • Define, validate and track key operational performance metrics
  • Demonstrate a strong sense of urgency in responding to escalated issues, rapidly changing priorities and adverse performance
  • Execute on additional projects as assigned by management
  • 10% travel availability
  • Minimum three (5) years of experience in a senior level data analysis role processing large data sets to produce reliable management information
  • Ability to follow complex methods and diverse procedures
  • Ability to work on multiple priorities at the same time with tight deadlines
  • Ability to deal with highly confidential information in a professional manner
  • Advanced understanding of program management and the project life-cycle
  • Oracle, Teradata SQL, and/or SQL Server experience required
  • SAS/Unix experience preferred
  • Ability to write/execute Oracle SQL, Business Objects and Cognos queries from multiple metadata sources and schemas required
  • Advanced MS Excel and Access proficiency (advanced vba with database design & development required)
  • Must have excellent troubleshooting skills and be well rounded in infrastructure technologies
  • Advanced knowledge of SharePoint site administration preferred
  • BA/BS Required; Advance degree preferred
69

Operations Risk / QC Specialist Resume Examples & Samples

  • Responds to customer inquiries
  • Gathers and exchanges information
  • Handles routine issues
  • Appropriately seeks assistance with more complex or difficult issues
  • 2+ years of Bankruptcy and/or Foreclosure experience. Associate's degree or Bachelor's degree in business or related may be used as a proxy for the experience
  • Problem solving and time management skills
  • Oral and written communication skills sufficient to provide routine information, answer inquiries, and refer calls
  • Knowledge of Ally systems (CARS, Debt Manager, etc) preferred
  • Attention to detail and professional phone etiquite
  • In limited subject areas judgment is required to determine the applicability of guidelines or policies to specific situations. Some ingenuity and initiative required to collect information, coordinate activities with others, and resolve routine and/or factual problems
70

Operations Risk Specialist, Director Resume Examples & Samples

  • Accountable for execution against several key control programs
  • Coordinate, organize and facilitate the feedback on risk trends occurring across the supported business unit
  • Conduct ongoing Risk and Control Self Assessments inclusive of design & execution of risk mitigation plans
  • Understand operating activities within the department, aiding in the ability to identify weaknesses to processes that may not be in line with Wealth Management Operations Risk standards
  • Work with business partners to improve risk controls
  • Prepare for and coordinate internal and external operational audits
  • Manage audit activities including risk assessments, audit planning, audit testing, control evaluation, any issue follow up
  • Manage Information Security activities for products supported
  • Facilitate out of role and in role entitlement review, SOD review, and periodic entitlement reviews
  • Provide oversight and consultation of Business Continuity Planning
  • Candidate should have experience with operational risk. This includes, but is not limited to Business Continuity Plans (BCP), entitlement review, Standard Operating Procedures (SOP), Segregation of Duty (SOD), SOX, SSAE16, Risk Control Self-Assessment, operational incident management, managing internal and external audit examinations, and Written Supervisory Procedures
  • 5+ years of financial services experience in audit, compliance, operations risk management
  • Solid presentation skills
  • Ability to communicate complex issues and proposals to senior management
71

Deposit Operations Risk Manager Resume Examples & Samples

  • Risk Manager will be responsible for assessing the control environment for Deposit Operations, Funds Management Operations, Client Operations and Trade Finance, understanding the key controls, implementing new controls and evaluate the existing control framework
  • Maintain the Risk Registers, Control Test Scripts and Department Operational Risk Plan documents as new procedures are introduced or existing procedures are changed
  • Support the development, implementation and monitoring of key performance indicators and metrics for the department. This may include developing SLAs with other departments and reporting key issues to management
  • Perform periodic testing of the controls identified on the d Risk Registers, document each test and subsequent findings, communicate findings with respective management personnel and provide the Operational Risk Department with a formal report of testing and findings
  • Identifies training requirements through analysis of repetitive errors and provides information to management for resolution. Assists management with identification and development of procedures to mitigate risk and increase the effectiveness of the controls
  • Assist with special projects as an SME on the control environment for Deposit Operations, Funds Management Operations, Client Operations and Trade Finance
  • Minimum of 7 years banking experience, which includes 3 years risk or audit experience strongly preferred
  • College degree preferred but commensurate work experience will be considered
  • Superior analytical and problem solving skills, with the ability to make independent and sound judgment calls on resolutions
  • Ability to independently identify document and present recommendations for process and control changes
  • Demonstrates superior oral and written communication skills with the ability to communicate with all levels of management and employees using proven customer service skills
  • Must be able to interact with all levels of management
  • Ability to multi-task, detail oriented, and independently prioritizes competing tasks
  • Ability to work with minimal supervision in a proactive style
  • High proficiency in the use MS Excel, MS Word, MS PowerPoint, MS Outlook, and MS Access
  • Works as a member of a cohesive team with the ability to tactfully communicate with other employees regarding identified errors, offering assistance to others during peak periods
72

Client Operations Risk Management VP-institutional Securities Group Resume Examples & Samples

  • 7 - 10 years of experience in financial industry
  • Ability to be flexible. The scope of the role is limited only by the capacity of the incumbent to add value across the wide scope of Global Over The Counter & Listed Derivatives Clearing Operations
  • Good interpersonal skills to build cross-divisional relationships; gain support and respect from key stakeholders (Business Unit, Operations, FCG , Legal & Compliance)
  • Ability to multi-task in a high intensity environment
73

Collections Operations Risk Analyst Resume Examples & Samples

  • Providing project and analytical support to the Retail Payment Solutions Collections division
  • Performing research, analysis, review, development, implementations, and monitoring of new and/or revised products/services
  • Acting as a project liaison with other departments
  • Leading initiatives and infrastructure development such as the implementation and performance tracking of Collection strategies and ongoing support and analysis of performance trends
  • Creating and delivering account level defect reporting to ensure regulatory compliance on key operational processes
  • Researching operational processes to identify Collections efficiency and effectiveness opportunities and general Collections MIS reporting
  • 10 or more years of experience in project management activities
  • Considerable knowledge of Collections operations and risk management
  • Excellent verbal, written, and interpersonal communication, organizational and
  • Thorough knowledge of project management and strategic planning
  • Exceptional technical skills using a variety of software packages in a Windows
74

Associate / Senior Associate, Operations Risk Resume Examples & Samples

  • Participate on large-scale banking initiatives or merger and integration efforts that focus on delivering operational, technical, and/or product development change, such as system and operational conversions, enhancements, process re-engineering, and new product development
  • Assist with scope definition, business case development, vendor assessment, requirements gathering, functional and technical design, testing, training, and implementation phases
  • Develop and sustain solid relationships with client personnel and identify opportunities to provide additional services
  • Assist partners and senior managers in the creation of proposals, business development, and practice administration
  • Supervise and mentor associates, new hires, and interns on engagements
  • Serve as a liaison between clients and upper management
  • A minimum of one year of diversified background in banking merger and integrations in one or more of the following: overall merger approach planning and execution, target operating model development, customer readiness, employee readiness, finance general ledger consolidation, technology consolidation/support experience, technology systems testing, legal day 1 planning and execution, synergy/benefit development and tracking, bank divestiture, branch closing/consolidation, integration risk management, and FDIC assisted deal support
  • Moderate project management or Project Management Office experience in support of a large-scale change initiative
  • Demonstrated ability to create and sustain meaningful client relationships
  • Proficient in Microsoft Word, Excel, PowerPoint and Project, travel may be up to 80-100%
  • A minimum of three years of relevant experience
  • Previous supervisory experience
  • Well-established understanding of business dynamics and operations
  • Prior consulting experience preferred
75

Manager, Operations Risk Resume Examples & Samples

  • Develop and deliver advisory services across the spectrum of the retail and commercial banking industry, including assistance with initiatives in domains such as teller, ATM, sales and service, payments, consumer and commercial lending, treasury management, mobile, social media, and other related domains
  • Work closely with bank IT architects, chief technology officers, chief intelligence officers, and line of business executives in the development and design of IT solutions to meet business needs
  • A minimum of five years of experience as a technical lead/architect responsible for large-scale application design, data integration, architecture, and infrastructure
  • Knowledge of data management infrastructure that includes data warehouse, master data management reference data operational stores, and near real-time movement of data through continuous flows
  • Travel may be up to 80-100%
76

AML Operations Risk Analyst Resume Examples & Samples

  • The successful candidate will be required to maintain production goals and quality standards while seeking to identify best practices
  • The selected candidate may also be required to assist the team manager in gathering information for reporting purposes and assist with special projects, along with completing specified tasks from end to end
  • The selected candidate must also maintain a strong level of independence and possess the ability to think on their feet. Strong written and verbal communication skills are key components to succeed in this role
  • The selected candidate may also assist in the on-boarding and training of new associates, as well as being a mentor to less experience teammates
  • The selected candidate must also maintain excellent organizational and time management skills with a high focus on attention to detail and accuracy
  • Minimum 3-5 years of Financial Crimes, AML Investigations, or Operational Risk experience
  • Collection and assessment of beneficial ownership
  • Demonstrated success articulating and delivering findings on AML high risk behaviors and KYC data
  • High level analytical research and investigative skill set including experience with background checks/intelligence/customer research/transactional analysis
  • Assist Senior Level Analysts and management with escalating potential compliance driven risks
  • Supports Senior Level Analysts and management with additional duties including special projects, time driven deliverables, and High Risk Customer escalations
  • Knowledge of Citibank branch processes and procedures
  • Strong knowledge of Citibank customer and transaction systems ( i.e., Concierge, Citismart, CRU, On Demand, etc.)
  • Bi-lingual (Spanish preferred)
  • CAMS/CFE certification
77

Digital Operations & Risk Specialist Resume Examples & Samples

  • Support the Digital Operations and Risk Manager with the implementation and continuous improvement of Downstream Procurement processes and the related enabling technology
  • Engage with Procurement stakeholders to understand business and process requirements and implement systems and data solutions
  • Engage with Retail, IT&S and GBS stakeholders (as applicable) to define and deploy systems and data assets
  • Coordinate programmes and deliver projects to deploy and improve applicable systems and data assets
  • Contribute to systems governance and change control processes for applicable systems and data assets
  • Provide systems and data subject matter expertise and support to process, metrics and operating model design and deployment activities
  • Coordinate and collate the Downstream Procurement functional risks across the region and ensure alignment with the segment risk management policies, approach and objectives
78

Operations Risk & Administration Specialist Resume Examples & Samples

  • Work is moderately complex and specialized in nature
  • Work is completed according to well-defined, established procedures involving sound independent judgment
  • Decisions and quality of work have an impact on the functional area and / or customers
  • Role requires ability to effectively handle diverse operational matters and unanticipated events
  • Manager Level 1 (recommend for Community and Tier B Branch)
  • Cash In: 1,000,000
  • Cash Out: 1,000,000
  • Transfer Limit: 50,000,000
  • Manager Level 2 (recommend for Tier A and Flagship branches, Community and Tier B on an as-needed basis e.g. high commercial volume)
  • Cash In: 5,000,000
  • Transfer Limit: 250,000,000
  • Officer Approval for Overlimit Account: 5,000,000
  • Secondary school graduation
  • At least 1 year of experience in related role
  • Proven ability to learn and operate new software and technology
  • Ability to multi-task, handle large volumes, tight turnarounds and multiple deadlines
  • 2 years experience selling mutual funds
  • Ability to lead and guide others
  • Canadian Securities Course
  • Canadian Investment Funds Course; or
  • Investment Funds in Canada AND the Branch Manager Course offered by CSI or IFIC; or
79

Operations, Risk & Administration Associate Resume Examples & Samples

  • Ability to learn and operate new software and technology
  • Detailed orientated with good time management and organizational skills
  • Previous customer service / banking industry experience an asset
80

Operations Risk Senior Manager Resume Examples & Samples

  • Lead the facilitation, coordination and resolution of efforts for various risk projects for the USCCB AML/KYC Program
  • Lead the identification and drive resolution of issues, including those outside established norms
  • Work with stakeholders to ensure project scope definition to meet business objectives
  • Drive adherence to project management processes, procedures, methods
  • Direct the identification of risks which impact program delivery and ensure mitigation strategies are developed and executed when necessary
  • Assist Project Leads/Business Partners in negotiating for resources owned by other departments in order ensure execution
  • Identification of risks which impact program and project deliverables
  • Other business jobs or responsibilities as defined by the manager
  • Excellent analytical, problem solving and critical thinking skills
  • Ability to work independently, multi-task, and take ownership of various parts of a project or initiative
  • Ability to work in a matrix environment and partner with virtual teams
  • Ability to lead strategic planning sessions challenging the status quo where appropriate and drive decision making process
  • Experienced in consulting with project stakeholders, including the skills to facilitate compromises and resolve conflicting requirements. Strong consulting and stakeholder management skills and the ability to build and foster internal relationships
  • Proven track record of operational process change and improvement
  • Bachelor’s Degree and AML/Risk experience
  • Strong Project Management skills/working knowledge of the techniques for planning, monitoring and controlling programs and resources (PMP Certification a plus)
  • Knowledge of Consumer /Commercial banking business
  • Knowledge of Anti Money Laundering, Know Your Customer, Customer/Enhanced Due Diligence (CAMS Certification a plus)
  • Ability to travel (~25-40% of the time – including internationally, as needed)
81

Operations Risk & Administration Associate Resume Examples & Samples

  • Work is completed according to well-defined, established procedures involving limited independent judgment
  • Supervisor provides direction for unfamiliar situations
  • Decisions and quality of work will have an impact on customers and / or functional area
  • Role involves some exposure to customers
  • May be required to work shifts outside of regular business hours
  • < 6 mth exp = Operator Level 1
  • Cash In: 10,000
  • Cash Out: 5000
  • Transfer Limit: 100,000
  • Clearing Limit: 100,000
  • Note: Cheq/withdrawls and Deposits limits subject to Letter of Authority and will not exceed those listed here
  • > 6 mth exp = Operator Level 2 or 3
  • Cash In: 25,000
  • Cash Out: 10,000
  • Transfer Limit: 250,000 (2) or 500,000 (3)
  • Clearing Limit: 250,000 (2) or 500,000 (3)
  • > 12 mth exp = Operator Level 4
  • Cash In: 50,000
  • Cash Out: 20,000
  • Transfer Limit: 1,000,000
  • Clearing Limit: 1,000,000
  • The following Operator Levels are for non-cash custodians
  • < 6 mth exp = Operator Level 5
  • Cash In: nil
  • Cash Out: nil
  • Letter of Authority not required, no front counter servicing
  • 6-12 mth exp = Operator Level 6
  • Transfer Limit: 250,000
  • Clearing Limit: 250,000
  • >12 mth exp = Operator Level 7 or 8
  • Transfer Limit: 500,000 (7) or 1,000,000 (8)
  • Clearing Limit: 500,000 (7) or 1,000,000 (8)
  • Understands / speaks second language is an asset
82

Banking Operations Risk Manager Resume Examples & Samples

  • Build and run operational risk programs to ensure the organization is meeting the expectations of our Board and Regulators with special focus on the TPS program, risk initiatives, and board reporting for ACH, RDC, and Wires
  • Manage the Third Party Sender (TPS) program and the associated responsibilities to include ensuring the proper due diligence, identification, and onboarding of TPS’s are occurring. Execute our ongoing monitoring and reporting responsibilities and take the appropriate steps to manage changes in risk profiles. Manage the vendor relationship as a critical piece to our TPS monitoring program
  • Develop and manage a control catalog for the payment operations team and provide the FLOD reviews to ensure we are meeting control requirements prior to compliance and audit exams
  • Provide front line support to the Operations teams during Compliance and Internal Audit requests to help ensure the requests are clear and delivered to these teams on a timely basis
  • Participate in meetings with our regulatory and audit examiners along with Senior Managers
  • Generate and distribute Management and Board reporting on ACH, RDC and Wire
  • Keep informed of applicable industry developments as it relates to managing operational risk and ensure that the related changes are folded into our risk framework on a timely basis. Interface with numerous internal departments and solicit direction and involvement with senior leaders throughout the organization
  • 7+ years of progressive experience working in Banking Operations to include experience with ACH, Check/RDC and Wires
  • A minimum of 3 years managing risk in a Banking Operations environment
  • Proven success in developing effective controls in a banking environment along with demonstrable effectiveness in working with Audit, Compliance and Regulators
  • Advanced knowledge of NACHA regulations, FFIEC guidance and related Banking Laws
  • Ability to manage multiple streams of work in a highly organized and detailed fashion
  • Ability to think critically and clearly articulate the goals of the risk programs across the organization
  • A passion in manage expectations, and manage through conflict
  • Accredited ACH Professional (AAP certification) preferred
83

Firmwide Operations Risk Data Management & Analytics Resume Examples & Samples

  • Partner with different teams/functions (e.g. technology, operations) to identify new or existing measures of key/critical risks as candidates for monitoring
  • Analyze historical data and perform other analyses in order to recommend “normal” levels for activities/risks being measured
  • Document and present project progress, analysis results, and proposals to management, partners, and other key stakeholders
  • Lead or participate in other operational risk initiatives across ORG, as appropriate
  • 3-6 years of experience in financial services industry, with experience in Operational Risk, Finance, Business Management, Audit, Compliance or other controls related area
  • Analytic and problem-solving skills; inquisitive nature and comfort challenging current practices
  • Ability to develop constructive relationships with functional partners
  • Strong MS Office Skills (Word, Excel, PowerPoint)
  • Bachelor’s Degree in business administration, finance or related field
  • Project management experience; firmwide or cross-organization a plus
  • Experience with technology stacks/flows and light reporting tools (Qlikview, Tableau etc)
  • Knowledge of transaction life-cycles for one or more products
  • Operational risk management or controls-related experience
  • Ability to anticipate and identify risks and effective mitigants
  • Proficiency in handling large data sets; technical skills (SQL, Access, VBA, etc.) a plus
84

Assistant Manager Operations Risk & Administration Resume Examples & Samples

  • Overall, work is moderately complex involving mostly routine and some non-routine situations / challenges
  • Position will provide guidance and oversight to more complex circumstances and will have designated authority within assigned limits
  • Requires considerable initiative and independent judgment in completing work, with unfamiliar situations or challenges addressed by the next level manager
  • Problem resolution involves judgment in applying or adapting procedures to address situations as well as searching for or setting precedents for continuous improvement
  • Outcomes are reviewed in terms of adherence to general policies, accuracy of methods, continuous improvement, and general efficiency
  • Decisions have a direct impact on the functional area, other potential business units, customers and direct reports
  • May work in call centre or branch environment where systems are available in meeting services quality objectives
  • May be required to travel within region to fill management responsibilities
  • Proficiency requirements*
  • 3 - 5 years of related work experience
  • Excellent problem solving skills to resolve issues within own functional area and /or across functional areas
  • Excellent interpersonal skills to support the building of strong relationships with diverse groups of people
  • Excellent knowledge of HSBC’s products / services
  • Excellent knowledge of HSBC’s policies, practices, procedures and systems within own area
  • Excellent understanding of legislation and regulations as they apply to own area
  • Experience managing multiple projects with multiple deadlines
  • Must be mobile in local area
  • Proficiency requirements could include any one of
  • World Selection Portfolio certification (training provided by Asset
  • Management Canada, AMCA)
  • Aware of and understands how own area of the business performs (e.g., is profitable, conserves costs, etc.)
  • Ability to speak / understand a second language is an asset
85

Operations Risk & Administration Specialist Resume Examples & Samples

  • Officer Approval for Overlimit Account: 5,000,00
  • May require industry-specific courses to serve as back up to the HIFC Branch Manager
  • To serve as backup HBM the incumbent requires
86

Assistant Manager Operations Risk & Administration Resume Examples & Samples

  • Overall work involves mostly straightforward challenges
  • Branch compliance (AML, TF and FACTA) work is straight forward to moderately complex and requires industry experience and excellent knowledge of HSBC Group and local regularoty policies, practices and legislation
  • Depending on Branch needs, the following may require cross branch access and oversite
  • HIFC compliance related work requires industry experience, knowledge of HSBC policies, practices and applicable securities legislation and MFDA by-laws and Rules
  • Work is reviewed for the attainment of standards, achievement of targets, adherence to policies, procedures, and timelines
  • May be required to travel within region to backfill service and support responsibilities
  • 2 - 3 years of related work experience
  • Ability to lead and guide othersAdvanced problem solving skills to resolve issues within own functional area
  • Advanced interpersonal skills to support the building of strong relationships with diverse groups of people
  • Advanced understanding of legislation and regulations as they apply to own area
87

Assistant Manager Operations Risk & Administration Resume Examples & Samples

  • Branch compliance (AML, TF and FCAC) work is complex and requires industry experience and excellent knowledge of HSBC Group and local regulatory policies, practices and legislation
  • HIFC compliance related work is complex and requires industry experience and excellent knowledge of HSBC policies and practices and applicable securities legislation and MFDA By-laws and Rules
  • Requires industry-specific courses to serve as primary or back-up HIFC Branch Manager. To serve as primary HBM the incumbent requires: Proficiency requirements*
  • World Selection Portfolio certification (training provided by Asset Management Canada, AMCA)
  • Understands / speaks French as well as English fluently
88

Operations Risk Manager Resume Examples & Samples

  • May have supervisory responsibility
  • Incumbent will be required to develop successors and talent pools. Basic Qualifications
  • Proficient in personal computers
  • Must have good ability to direct and motivate staff Ideal Qualifications
  • Knowledge of software utilized in the department About M&T At M&T, we strive to be the best place our employees ever work, the best bank our customers ever do business with and the best investment our shareholders ever make. So when looking to advance your career, look to M&T. As a top 20 US bank holding company and one of the best performing regional banks in the country, we offer a wide range of performance based career development opportunities for talented professionals. And through our longstanding tradition of careful, conservative and consistent management and a strong commitment to the communities we serve, we continue to grow with a focus on the future. Apply today at www.mtb.com/careers!
89

Clearing Operations & Risk Analyst Resume Examples & Samples

  • Demonstrate mastery of CME Clearing infrastructure and ability to solve problems across all asset classes/initiatives and most internal operational processes; effectively and efficiently solve client operational and risk related issues
  • Coordinate with various technical, development, and other internal teams to address system issues
  • Identify and analyze areas of operations and market risk for potential risk threating scenarios, risky position make up, abnormal trade activity or system abnormalities
  • Analyze financial obligations to ensure adequate risk coverage is in place
  • Serve as primary Clearing contact for customers, business partners, and internal customers to provide solutions and insight on industry related topics and events
  • Bachelor’s degree in Business administration (Finance, Economics, Accounting)
  • Ability to work in a time-sensitive, team setting
  • Knowledge of Futures & Options / OTC products a plus
  • Knowledge of CME Clearing applications a plus but not required
  • Proficient in Microsoft Office products (Excel, PowerPoint, Word)
90

Assistant Manager Operations Risk & Administration Resume Examples & Samples

  • Requires industry-specific courses to serve as primary or back-up HSBC Investment Funds (Canada) Branch Manager. To serve as primary HBM the incumbent requires
  • Proficiency requirements
  • Registerable as the Branch Manager under the applicable securities legislation
  • Advanced problem solving skills to resolve issues within own functional area
91

Senior Manager Business Continuity Operations Risk Resume Examples & Samples

  • Involves standard banking environment and some travel
  • Knowledge of business continuity issues and legislation as well as an understanding of specific local hazards
  • An ability to work across all levels of the organization, from executive management to individual employees
  • Organizational and analytical skills
  • The ability to work independently and without direct supervision
  • General knowledge of the scope HSBC’s banking and investment operations and the financial services industry in Canada
92

Operations & Risk Analyst Resume Examples & Samples

  • Knowledge: This position requires a college degree (preferably in computer science or business), or equivalent related business experience, minimum of 1 year of experience in an automotive finance environment
  • Advanced knowledge of MS Excel & Tableau including SQL proficiency with QMF (Query Management Facility) system, as well as mathematical skills is required
  • Ability to generate, analyze and formulate recommendations
  • The incumbent must be creative and innovative in the design of and need for reports
  • Interpersonal Skills: This position requires contact with a wide variety of internal and external individuals, groups, and organizations
  • This requires a high degree of interpersonal skills to be successful
  • Motivation, persuasion, and presentation skills are required when obtaining buy-in for changes and making proposals
  • Diplomacy and confidentiality is applied in communications arising out of reports created
  • Presentation skills are used in order to properly explain the findings of the reports, where the data was sourced