Risk Analyst, Risk Management Resume Samples
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Risk Analyst, Risk Management Resume Samples
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ME
M Erdman
Mayra
Erdman
357 Garrett Drive
Phoenix
AZ
+1 (555) 966 1657
357 Garrett Drive
Phoenix
AZ
Phone
p
+1 (555) 966 1657
Experience
Experience
Houston, TX
Exposure Management Risk Analyst
Houston, TX
Dare, Sanford and Runte
Houston, TX
Exposure Management Risk Analyst
- Reviewing portfolio based prime brokerage, wealth management advance ratios, and Clearing House (CCP) margining methodologies
- Taking part in detailed discussions, developing internal and external relationships and communicating with all corporate levels
- Coordinating and facilitating cross-divisional, as well as cross-regional efforts in order to leverage existing processes and frameworks
- Proactively highlighting and escalating delivery risks and issues to senior management, providing an independent view of project and programme health
- Interacting with Credit Officers and Front Office Sales, Structuring and Trading to discuss trade structures
- Leading and driving the execution of “Change-the-Bank” and “Run-the-Bank” initiatives
- Good overall knowledge of derivatives and/or structured financing products
Detroit, MI
Asset Management Risk-reputation Risk-analyst
Detroit, MI
Ledner, Leuschke and Lindgren
Detroit, MI
Asset Management Risk-reputation Risk-analyst
- Assist with oversight of the governance around reputation risk in Asset Management
- Work independently with minimal supervision
- Enjoy working in a fast-paced environment
- Assist in coordinating global reputation risk meetings with relevant control partners
- Actively participate in cross-LOB Reputation Risk working groups
- Maintain reputation risk systems and dashboards
- Responsible for AM wide reputation risk external reporting
present
New York, NY
IT Risk Management Senior Analyst
New York, NY
Boyer Inc
present
New York, NY
IT Risk Management Senior Analyst
present
- Perform internal compliance assessments, monitoring activities, audits, and control testing
- Project management
- Provide assurance that quality and risks are effectively addressed in relation to information systems and processes
- Audit management and internal audit standards
- Customer support and account management
- Assist in managing client audits and track corrective actions to completion specific to IT and Information Security
- Familiarity with Information Security frameworks HIPAA, ISO27000, PCI, HITRUST, FedRAMP, and GLBA
Education
Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
University of Central Florida
Bachelor’s Degree in Business
Skills
Skills
- Strong derivative product knowledge across all asset classes, and knowledge of financial markets, traded products and risk concepts
- Strong analytical skills, with excellent attention to details
- Strong analytical skills and attention to details
- Strong mathematical and statistical background, with the ability to simplify complex concepts for a non technical audience
- Good overall knowledge of derivatives and/or structured financing products
- Solid mathematical skills including probability and statistics
- Adaptable and capable to manage process changes and business cases
- Able to work well both as a part of a team as well as independently on the projects
- Strong mathematical and statistical background
- Proficient use of Microsoft Office Suite
15 Risk Analyst, Risk Management resume templates
Read our complete resume writing guides
1
Asset Management, Covenant Risk Analyst Resume Examples & Samples
- Identification of Facilities with Covenants – streamline/improve process to identify and on-boarding of covenant and tracking items into CLASS. New and modifications
- Covenant Set Ups – Establish covenant framework in CLASS for monitoring, including Debt Service Coverage and Liquidity, more complex elements
- Manage daily correspondence from front office
- Manage Exception Reporting and Resolution, working with the responsible Capital Advisors, engaging legal as needed
- Manage Discrepancy Reporting and Resolution, working with responsible CAs
- Manage Monthly Dialogue with each Market – Plan, Establish Agenda and Lead calls to cover issues related to set up, exceptions, process, and/or best practices
- Minimum of 3 years working in a legal, credit administration, operations, or support group within the Financial Services
- Strong Excel and data manipulation skills
- Service Oriented
- Good Communication skills / Team orientation
- BA/BS or equivalent
- Knowledge of legal documentation, bank systems and loan/credit operations a plus
2
Risk Analyst, Avp-risk Management Resume Examples & Samples
- Develop reporting and analytics in support Collections Strategies used across default organization
- Assist in the development and maintenance of models used to generate collection segmentation strategy
- Utilize these statistical behavior models to develop collections strategies
- Design, implement and track champion/challenger tests for collection strategies
- Assist with implementation and monitor collections strategies via data extraction and reporting in support of the various Real Estate portfolios
- BS degree in a quantitative oriented field: Computer Science, Economics, Finance, Mathematics, Statistics, or Operations Research, and a Minimum five years experience in the financial services industry / business analysis,
- OR Masters degree (MS/MBA) in a quantitative oriented field with 2+ years experience
- 2+ years experience in collections operations and/or Risk Management desired
- 2+ years experience in an analytical position with experience in executing Champion-Challenger tests required
- Advanced statistical analysis capabilities including CART/CHAID, regression, etc. required
- Team oriented with strong communication, writing and presentation skills and attention to detail desired
3
Analyst, Group Risk Management Credit Resume Examples & Samples
- Assist in the timely and consistent preparation of materials to support all risk rating activities, which include but are not limited to annual and interim reviews, credit comments and indicative Borrower Risk Ratings Includes compiling and initial analysis of financial statements, industry data analysis, and peer comparisons. Will include preparation of the first draft of assigned sections in any relevant document
- Highly developed organizational skills including ability to prioritize a large number of workflow items
- Proven ability to write clearly and concisely
- Demonstrate a maturity level and exhibit the skill and judgement qualities in order to deal effectively with Senior Management within GRM Credit and Business Partners
- Demonstrated financial modeling and analytical skills, including ability to think critically and “outside the box” and make sound recommendations
- Quality and timely completion of data entry, analysis and reporting
- Strong interpersonal skills and teamwork skills
- Computer literate with high comfort level in use of word processing (Word), spreadsheet (Excel) and database software (various) and in using electronic tools for on-line research
4
Risk Management Organization Analyst Resume Examples & Samples
- Participate in project-oriented work efforts in areas of Risk Management Organization (RMO) problem identification and resolution, performance and productivity improvement, and quality enhancements
- Provide managerial, RMO program maintenance, reporting, research and other coordination and support to respective RMO Manager. Serve as an RMO subject matter expert to assigned risk areas
- Utilize computer and/or mainframe-based systems and software. Compile and prepare reports, graphs and charts of data developed
- Provide input and support in planning and prioritization for business systems-related processes and policies by maintaining and communicating knowledge of industry trends and methodologies
- Assist with developing and maintaining a professional relationship with vendors supporting assigned RMO areas
- Gather, document, and maintain statistics, records and reports to help establish policies, procedures and quality control standards
- Bachelor's degree or equivalent education and related experience
- Three years of related experience
- Understanding of risk management problems and solutions in relation to existing business environment
5
Analyst, Operational Risk Management Resume Examples & Samples
- Energetic person who is a self-starter and proactive – willing to roll up sleeves to get the job done
- Familiarity with Operational Risk Management and related concepts, e.g. IT security, model risk, vendor management, internal and external fraud
- Project management discipline and ability to oversee multiple projects to completion
- Experience defining/documenting business processes and functions
- Well developed listening skills with a well-tuned ability to summarize, quickly identify key points and provide feedback effectively
- Strong organizational/analytical/problem-solving abilities
- Proficiency in Microsoft Office suite (specifically Excel and PowerPoint)
- Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law
6
Risk Management Organization Analyst Resume Examples & Samples
- Lead small work teams in development of strategic plans, leveraging both Risk Management Organization (RMO) solutions and business process improvements. Make recommendations based on findings to respective RMO Manager
- Provide managerial, RMO program maintenance, reporting, research, and other coordination and support to respective RMO Manager. Serve as an RMO subject matter expert to assigned risk areas
- Proactively participate in continuous review and updates of current policies and procedures to ensure they meet changing business unit conditions
- Document and maintain statistics, records, and reports to help establish policies, procedures and quality control standards
- Provide input, counsel, and leadership to support planning and prioritization of business systems-related activities (e.g. develop business unit (risk-related) plan using knowledge of industry trends and methodologies to integrate that plan with the corporate RMO plan)
- Bachelor's degree in business, management information system (MIS) or related field, or equivalent education and related training
- Five years of related experience
- Understand risk management problems and solutions in relation to existing business environment, and be proactive in identifying and applying emerging business methodologies and processes
- Excellent organizational and interpersonal skills
7
Liability Risk Management Risk Mitigation Analyst Resume Examples & Samples
- Perform data mining and aggregating; querying multiple data sources (Flat Files, Excel, Access, SQL Server, DB2, etc.). Data validation to ensure accuracy, quality, and integrity. Analyze data and provide results to other analysts or management
- Participate in development of strategic plans; leveraging both technical solutions and business process improvement. Make recommendations based on findings to the Group Manager
- Participate in system implementation, testing and any training that becomes necessary as a result of conclusions reached in project-related activities. Develop process change or project business requirements, design solution, develop test plans and execute SIT and UAT test plans & implement data solutions focusing on maximizing efficiency and productivity
- Identify and apply emerging business technologies and processes, understand technical problems and solutions in relation to existing business processes
- Utilize PC and/or internal systems/software (examples include: Excel, Access, SAS, Tableau, etc.); perform analysis, compile and prepare reports, graphs and charts of data developed for business need or analysis of risk mitigation. Document and maintain statistics, records and reports that support various processes, parameter and risk mitigation decisions or refine quality control standards. May include the creation of financial and/or loss reports
- Serve as primary technical resource of assigned system(s). Understand assigned system/applications and knowledge of other applications operating in the same or integrated environments. Identification and tracking of production impact issues (tickets) and facilitate resolution. Includes actively participating in the day to day support; and providing after-hours support to include assisting with resolution of production issues
- Assist with the planning, development and documentation for effective business recovery strategies and participate in testing and deployment if needed
- Assist with developing and maintaining a professional relationship with vendors supporting assigned systems, coordinating system upgrades, and communicate to team when system enhancements are made
- Bachelor’s degree or equivalent education and related experience (preferably in a science, engineering, mathematics or computer science field)
- Minimum of one year of data mining/analysis experience
- Ability to work independently in a detailed and deadline-oriented environment
- Basic understanding of data concepts such as neural networks, machine learning, statistical modeling and pattern recognition
- Demonstrated ability to facilitate and lead initiatives (including all life-cycles of the defined project)
- An understanding of basic accounting principles in a financial environment
- Excellent interpersonal skills and the ability to communicate (verbal and written) clearly to internal and external clients
- Ability and willingness to work flexible hours including evenings, weekends and overtime as required. Ability to travel, occasionally overnight
- Ability to perform complex and sophisticated investigations, statistical analysis, and to ensure data integrity when performing analysis
- Possess a strong sense of urgency, strong independent reasoning, analytical, organizational, and operational skills
- Ability to analyze, process, and communicate information timely and accurately
- Five or more years of financial services industry experience, including four years of fraud experience and/or experience which provides a working knowledge of financial services transaction processing
- Knowledge of, and ability to apply various regulatory guidelines applicable to that group (includes one or more of the following): (Reg E, Reg CC, BSA, AML, UCC, TCPA NACHA, Visa rules, ID Theft Red Flags, FCRA, etc.)
8
Risk-institutional Remedial Management Analyst Resume Examples & Samples
- Preparation of valuation and restructuring analysis for stressed and distressed assets and situations, including the determination of write-off, reserve and risk of loss amounts that directly impact the P&L of the firm
- Assess liquidity, debt capacity and other areas of financial and operating performance to evaluate areas of weakness and potential for turnaround, which is measured by setting and monitoring appropriate classification triggers
- Prepare quarterly classification documents with detailed financial and credit analyses in order to maintain appropriate classifications of ICG classified exposures
- Provide on-going guidance & mentoring to the India Analytics Team (5 FTE)
- This will require travel to Mumbai on a bi-monthly/quarterly basis
- Ability to analyze and evaluate financial statements and business plans across a range of industrial sectors
- High energy levels, ability to multi-task, sift through complexity and work under pressure
- Undergraduate degree with a strong GPA
9
Analyst, Operational Risk Management Resume Examples & Samples
- Partner with colleagues within the ORM department to enable capacity and capability of the Operational Risk Management program
- Partner with colleagues across the firm to help drive a culture of risk awareness and proactive risk reporting. Develop positive working relationships across all areas of the firm to enable collaboration and risk services to help meet the needs of business units
- Assist ORM management in the creation and maintenance of a centralized risk related data repositories for the centralized risk management platform. Development of consolidated reporting to meet the needs at various levels of management. Ensure data integrity of all risk information in support of platform users and associated risk metric reporting needs
- Enable, develop and administrate all data and technical needs of the integrated risk management reporting platform managed by the Operational Risk Management Dept
- Independently create and execute systematic approaches to solve problems using a variety of methods such as root cause and cost benefit analysis, and other business case and lean methodologies. Package and deliver results in various requested formats
- Degree Required: Bachelor’s or equivalent; degree in Business Administration or Finance preferred
- Minimum Experience Required: Minimum of 3 + years’ experience in risk and/or assurance management within the financial services industry and preferably with added experience in a compliance, legal or internal audit capacity, and direct or indirect experience working with a securities regulator such as the S.E.C. or FINRA
- Software/Systems Skills Required: Microsoft Word, Intermediate to Advanced Excel, Intermediate to Advanced Access, and PowerPoint
- Software/Systems Skills Preferred: Intermediate to Advanced SharePoint and Visio
- Licenses/Certifications Preferred: Series 7
- Working knowledge and competency in the area of risk and assurance management, preferably at a financial services firm
- Working knowledge of how technology works and interfaces with sources of information
- Working knowledge of data analytics, metrics and measurement (such as KPI’s and KRI’s)
- Familiarity with industry frameworks such as Basel, COSO, COSO ERM, COBIT preferred
- Working knowledge of SEC, FINRA, and MSRB rules preferred
- Working knowledge in project, process and change management preferred
- Familiarity with retail and institutional brokerage; and financial services industry preferred
- Candidate will be responsible for working with individuals at staff to Executive level across the various units within LPL Financial to complete the functions noted above
- Personable and reliable self-starter who requires minimal management oversight for day-to-day responsibilities; ability to forge strong working relationship at all levels of firm
- Strong analytical and attention to detail with a pro-active approach to solving and preventing problems
- Ability to work under pressure/deadlines and manage multiple priorities
- Ability to interface effectively with all levels of management
- Strong time management and organization skills; and
10
VP-portfolio Risk Management Ccar Analyst Resume Examples & Samples
- Ensuring complete and accurate risk capture and reporting for US legal entities
- Analysis of risk on daily/weekly/monthly basis and timely communication of key points to senior management
- Perform regular deep dives into portfolios
- Understand key methodologies behind 14Q and perform “what if” analysis and the connection with CCAR and other Market Risk Scenario submissions
- Run the developed models during 14Q runs, and document the results for the banks 14Q submission
11
Liability Risk Management Risk Mitigation Analyst Resume Examples & Samples
- Support project-oriented work efforts in the fraud areas of problem identification and resolution, performance and productivity improvement and quality enhancements
- Assist in Liability Risk Management (LRM) systems implementation testing and any training that becomes necessary as a result of conclusions reached in project-related activities of systems implementation or policy change
- Utilize PC and/or mainframe based systems and software, detection systems and claims management system to compile and prepare reports, and graphs and charts of data developed. May include the creation of financial and/or loss reports
- Gather documents, perform analysis, maintain statistics, create records and reports that highlight trends and help establish policies, procedures and quality control standards
- Provide input and support in the planning and prioritization for business systems related processes and policies
- Recommend strategies to improve rule parameters and/or processes for mitigating losses
- Assist with the planning, development and documentation to facilitate business recovery strategies and participate in testing and deployment, if needed
- Three years of experience in financial services industry, including two years of fraud experience or equivalent, which provides a working knowledge of financial services transaction processing
- Strong level of knowledge regarding systems, fraud processes and risk mitigation
- Strong level of knowledge of regulations (may include one or more of the following): Regulation E, Regulation CC, Uniform Commercial Code (UCC), National Automated Clearing House (NACHA), Telephone Consumer Protection Act (TCPA), Visa rules, Identity Theft Red Flags, Regulation J, Office of Foreign Assets Control (OFAC), Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Fair Credit Reporting Act (FCRA)
- Possess a strong sense of urgency, strong independent reasoning, analytical, organizational and operational skills
- Understanding of basic accounting principles in a financial environment
- Ability and willingness to work flexible hours including evenings and weekends, as required
12
Analyst, FX Risk Management Resume Examples & Samples
- Work closely and consult with Disney’s global business units in order to identify, quantify and aggregate the Company’s foreign exchange risk and to assess the related impacts to the company
- Contribute to the ongoing effort to accurately quantify the foreign currency risks throughout the Company, and in the development and implementation of tactics to manage those risks
- Responsible for maintaining internal FX hedge contracts in the risk management system for each of the global business units in order to enable accounting entries designed to mitigate currency risk for all business units
- Monitor the group’s exposure to financial counterparties and assist in developing models and strategies to mitigate the Company’s risk to those counterparties
- Perform analysis to enhance current risk management practices, and help develop risk mitigation strategies for hedging new foreign currency exposures
- Bachelor’s degree required with a strong record of academic achievement
- Challenging coursework in areas requiring both quantitative and qualitative skills and an aptitude to excel in complex problem solving
- Strong Interest in finance and global financial markets
- Extracurricular activities to demonstrate interpersonal skills and leadership potential
- Excellent Analytical Skills
- Excel Proficiency
13
Risk Analyst, Limit Management Resume Examples & Samples
- Planning and performing User Acceptance Testing and Impact Analysis; ensure test plans and cases are comprehensive and document and communicate test results as required by the nature and scope of the enhancement
- Assist in planning for any ongoing support processes that may be required upon implementation to production; assist with training and preparation of tools (e.g. database queries) that will facilitate post-implementation maintenance and/or support
- Identifying the specific deals causing the limit excess or violation and following up accordingly with Middle Office, Credit Quality Assurance, Technology Teams and/or the Trader/Marketer
14
Analyst, Liquidity Risk Management Resume Examples & Samples
- Identifying, assessing and monitoring liquidity risks related to the Firm’s business activities
- Preparing and presenting briefings to senior management on key risk issues
- Executing projects to investigate and improve the risk representation of the Firm’s liquidity risk, contingency funding plans, asset-liability management, and stress testing framework
- Communicate results of analyses with relevant stakeholders
- Creating high quality reports for Boards, Regulators and internal use on a regular basis
- Innovate ways to identify key risks/concentrations and implement processes to actively monitor these risks
- Assist, as needed, with the review and challenge of existing stress models
- Liaise with Treasury, business personnel and risk managers to ensure the appropriateness of the representation of liquidity risks
- Quantitatively oriented with strong intuition and ability to make judgments based on incomplete data
- Excellent communication skills for written, graphical and verbal presentation, with high competency in Excel and Powerpoint
- 1-2 years relevant experience working in a Treasury or a Liquidity Risk department at a large financial institution
- Strong understanding of liquidity and financial products
15
Operational Risk Management Regional Analyst Resume Examples & Samples
- Work in coordination/unison with the ORM LATAM community to deliver the consolidated plan of initiatives & projects for the region
- Create tools to strengthen ORM reporting and to support project management office
- Prepare ORM presentations to Senior Management in a clear manner and focused on key risks, including but not limited to presentations BRCCs, Quarterly Audit Committee, Monthly Risk Reviews, other Regional Governance Forums, etc
- Support in the identification and anticipation of the most significant operational risks to business activities. Support Operational Risk Regional Manager in working with the business to determine appropriate mitigants to those risks
- Support deep dives of significant operational losses (“events”) to determine root causes, control weaknesses, recommend corrective actions and identify lessons learned that can be applied to other areas, businesses, regions, etc
- Monitoring regulatory reviews and issues in the region
- Generate operational risk data (typically losses, metrics, issues or assessment results) to report in Risk Senior Forums
- Investigate what is causing metrics to deviate from trend and analyze situations that pose excessive risk
- Serve as active participant of Subject Matter Expert (SME) of ORM topics in the Region, as designated by the ORM Head for LATAM (ex-Mex)
- Good knowledge of the ICG and Consumer businesses, including how O&T supports these Businesses would be highly desirable as well as previous experience in Risk Management Skills
- Fluent in Spanish and English - candidate must be able to write reports, make presentations and articulate them in a clear, concise manner in both languages
- Undergraduate degree (majors in in Economics, Finance, Statistics or related areas are seen as advantage, but different majors are also of interest if other experience demonstrates quantitative and analytical skills)
- Ability to “connect the dots” to take seemingly disparate or unconnected information and put it all together to form a complete picture of operational risk
- Willingness and ability to challenge the status quo and BAU to promote
- Ability to collaborate with and lead others to achieve objectives: knows how to lead through influence (rather than command/control), build project teams that optimally leverage other people's skills and expertise, communicate effectively with senior management, build effective business relationships
16
Risk Analyst, Operational Risk Management Resume Examples & Samples
- Oversees and executes deliverables required by Operational Risk Management program (risk monitoring, risk reviews, risk analysis, risk reports)
- Administers the global operational event management program
- Supports implementation of the SSAE 16 attestation and other controls certifications
- Ad-hoc participation in sensitive risk issues, special projects, risk process, tools
- Supports building a risk aware culture by developing and delivering training
- Ability to stand one’s ground when risk is too great to compromise
- Strong collaboration skills, ability to work in a global organization
- Creative problem solving; ability to imagine multiple solutions
- Bachelor’s Degree (accounting, finance, economics or business administration) or equivalent relevant work experience
- Master’s Degree in Finance, MBA desirable
- Certifications CIA, CISA, CPA advantageous
- Solid understanding of the operational risks and controls of an asset manager or bank, and ability to assess the operational risks posed by a new product or service
- Experience performing business analysis of complex processes and issues (current or emerging) that have impacts across the firm
- Experience managing an operational event program
- Audit experience
- Experience with IBM’s OpenPages
- Strong knowledge of MS PowerPoint and Excel with ability to mine data and craft board-level presentations
- Strong organizational skills and project management experience
- Excellent communication, presentation, and influence skills
- Leads with risk analyst / risk management mindset
- Adept at dealing with ambiguity and changing priorities
17
Analyst, MLR, Risk Management Group Resume Examples & Samples
- Critically assesses Derivative Valuation and Greeks model validation and review
- Developing and implementing Market, Counterparty and Liquidity Risk models
- Responsible of Asset/Liability Behaviour model development and Counterparty Risk model development
- Providing valuation model review and risk discovery
18
Risk Management Portfolio Analyst Resume Examples & Samples
- Member of a key strategic team that is responsible for a very wide range of quantitative initiatives that include valuation, risk ratings, loss forecasting, risk mitigation, but also has direct involvement in capital planning, economic capital calculation and asset allocation
- Apply SAS/programming development skills along with statistical/optimization methods in a framework that will manage and institutionalize commercial scorecard design, development, validation, back testing and modeling efforts
- Knowledge of financial mathematics, commercial credit analysis and accounting/finance
- Writing and communication skills for documentation
- Proficiency with SAS and SQL, subsidized with some Visual Basic Script knowledge within MS Excel
- Data management skills and ability to source data and convert it into a usable form without the benefit of a fully-developed credit risk data mart
- Ability to work on quantitative team work in a collegial environment, interacting with each other as well as portfolio managers, business lines, Treasury, Finance, and external vendors
- Solid grounding in statistics, SAS/Base, SAS/Stat, SQL, VBA Script, Excel, Good writing skills, Good verbal skills, and Powerpoint
- Highlight key changes in portfolios and potential causes
19
ISO Senior Analyst Issue & Risk Exception Management Resume Examples & Samples
- Work closely with the ICG RE Quality Assurance team to ensure that the QA checklist is up to date to identify missing or incorrect data on the Risk Exceptions
- Represent Information Security on the cross discipline iCAPs work group
- Work with the BISOs and GISOs to ensure Risk Issues/Exceptions are compliant with established thresholds for deliverables on the monthly Global Information Security Monthly Report (GISMR)
- Manage ICG participation in iCAPs UATs
- Become a Subject Matter Expert on Risk Exceptions within iCAPs/ITPSE
- 2-3 years work experience in a Control role (Information Security, Compliance, etc)
- Familiarity with iCAPs
20
Regional Credit Risk & Portfolio Management Analyst Resume Examples & Samples
- Support credit policies architecture implementation and maintenance
- Stewardship of group and locations policies/standards/guides relating to CB and WM credit
- Establish, implement, review and maintain relevant regional credit Policies and Standards for both CB and WM
- Perform monthly and regular portfolio risk quality reviews for all countries, including credit loss and stress testing at consolidated regional level
- Track and monitor key business strategy implementations and monitor update of credit product programs and test programs in locations
- To participate in the implementation of key initiatives and technology to improve the quality & efficiency of risk management
- To participate in the reviews of respective country/s credit programs/RAAC changes & initiatives
21
Analyst, STO Risk Management Resume Examples & Samples
- Analyze financial data associated with all Operational Functions within LPL tied to our regulatory reporting, including but not limited to FOCUS and Reserve
- Analysis and review of regulatory control environment
- Financial Services Industry experience preferred in the following disciplines: accounting, operations, risk management, etc
- Ability to work with and communicate effectively to various levels throughout the organization
22
Senior Analyst, STO Risk Management Resume Examples & Samples
- Assist with preparation of files and data for regulatory reporting, including but not limited to FOCUS and Reserve
- Analyze financial data associated with all Operational Functions within LPL tied to our regulatory reporting including but not limited to FOCUS and Reserve
- Assist various departments with system recertification’s
- Partner with STO Risk Management on high level risk related projects and initiatives
- Track and close identified gaps and or potential risk items within each department
- 6+ years Financial Services Industry experience preferred in the following disciplines: accounting, operations, risk management, compliance, etc
- Proven leadership and progression within past roles
- Ability to lead a project or initiative as an individual contributor
- Licenses Preferred: Series 7, 24, 63, 65/66
- Software/Systems Skills Required/Preferred: Microsoft Office, Adobe, BETA, SQL
23
Exposure Management Risk Analyst Resume Examples & Samples
- Ensuring that regulatory requirements are met
- Building methodology, statistical tests and estimation calculations for CCAR submissions
- Leading and driving the execution of “Change-the-Bank” and “Run-the-Bank” initiatives
- Coordinating and facilitating cross-divisional, as well as cross-regional efforts in order to leverage existing processes and frameworks
- Supporting and maintaining project management methodologies, to ensure a consistent approach to project delivery is taken across the portfolio, through the use of project management tools, processes and practices
- Completing quality assurance review checks, to monitor the quality of project reporting and deliverables to drive improvements across the portfolio
- Proactively highlighting and escalating delivery risks and issues to senior management, providing an independent view of project and programme health
- Taking part in detailed discussions, developing internal and external relationships and communicating with all corporate levels
- Maintaining an understanding of the overall departmental strategy and the corresponding ongoing adaptation of processes/services
- Strong mathematical and statistical background
- Good overall knowledge of derivatives and/or structured financing products
- A good understanding of counterparty credit risk both on trade and portfolio level
- A good understanding of Value at Risk (VaR) concepts, valuation and margining approaches and methodologies
- Experienced in meeting deadlines and familiar with regulatory and audit requirements
- Strong analytical skills, with excellent attention to details
- Adaptable and capable to manage process changes and business cases
- The ability to multi-task and prioritise resources among various projects
- Proficient use of Microsoft Office Suite
- A good understanding of regulations pertaining to the Americas especially Basel 3/CCAR and/or Knowledge of International Swaps and Derivatives Association (ISDA) Standard Initial Margin Model (SIMM) (beneficial
- Enthusiastic and driven to achieve high quality results
- Able to work under pressure and to a tight deadlines
- Able to work well both as a part of a team as well as independently on the projects
- Able to demonstrate high integrity and invite challenging views
- Able to demonstrate intellectual curiosity and innovation
24
Exposure Management Risk Analyst Resume Examples & Samples
- Performing analysis on the credit risk of individual derivative trades, typically structured, across all products in the firm
- Calculating the pre-deal trade level initial margin for derivatives and the collateral haircut for complex financings
- Reviewing portfolio based prime brokerage, wealth management advance ratios, and Clearing House (CCP) margining methodologies
- Interacting with Credit Officers and Front Office Sales, Structuring and Trading to discuss trade structures
- Providing EMG sign-off in relation to pre-deal methodology on New Product Approvals (NPA)
- Performing ad-hoc scenario analyses and stress tests, across portfolios of counterparties and business lines
- Participating in discussions of risk mitigation for large complex transactions
- Taking an active role with EMG colleagues globally on transactions, methodology/tool development and other strategic initiatives
- Significant experience within a similar role
- Solid mathematical skills including probability and statistics
- Strong derivative product knowledge across all asset classes, and knowledge of financial markets, traded products and risk concepts
- A good understanding of counterparty credit risk both on the trade and portfolio level
- Excellent interpersonal and analytical skills
- Experienced in methodology development for financial products, with the ability to communicate technical documents to non-technical audiences
- An understanding of various pricing models
- Strong mathematical and statistical background, with the ability to simplify complex concepts for a non technical audience
25
Risk-exposure Management Analyst Resume Examples & Samples
- Be a member of a team of EMG analysts,
- Be involved in the analysis and quantification of credit risk on derivatives exposure for both flow trades and structured transactions on a pre-deal check basis
- Work with various other functions in the bank as appropriate to facilitate new trade and existing portfolio reviews, and work on reflecting the risks appropriately in the banks systems
- Quantitative credit risk analysis of existing derivative transactions on counterparty, portfolio and individual trade levels. This may involve working with existing spreadsheet tools or setting up customized tools which use the bank’s internal pricing models
- Checking stress tests results and preparing reports and presentations based upon the results
- Working with other Exposure Management teams globally to ensure a consistent approach
- Working with other related groups in the bank as appropriate- For example, interaction with the methodology team to ensure appropriate credit risk methodologies are being used consistently within the bank
- Good knowledge of rates, FX, commodities, equities and credit business areas and products
- Understanding of risks both on trade and portfolio level
- Good team-working skills
- Excellent communication, both written and oral
- Strong mathematical and statistical background but able to simplify complex transactions for a non technical audience, eg credit officers
- Ability to multi-task and prioritize resources among various projects
- Good working knowledge of Excel and VBA
- Good working knowledge of MS Access and programming knowledge
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Asset Management Risk-reputation Risk-analyst Resume Examples & Samples
- Act as the Secretary of the JPMS and USPB Reputation Risk Committees and back up Secretary for the GIM Reputation Risk Committee – Prepare minutes, advise on issue escalation to RRCs, track condition fulfillment status
- Participate in RRC vetting meetings
- Metrics and Risk Reporting – responsible for creating accurate, complete, timely and comprehensive data in reputation risk systems for Firmwide and AM wide Reputation risk internal reporting. Responsible for creating metrics for presentation to various risk governance forums including but not limited to the AM, GIM, WMIS, Regional Risk and Control Committees, and DRPC/EMR
- Enhance and automate global reputation risk metrics
- Maintain reputation risk systems and dashboards
- Actively participate in cross-LOB Reputation Risk working groups
- Assist with oversight of the governance around reputation risk in Asset Management
- Responsible for AM wide reputation risk external reporting
- Assist in coordinating global reputation risk meetings with relevant control partners
- Participate in new product development initiatives and other risk initiatives, as needed
- Responsible for maintenance of AM Reputation Risk Guidelines and Procedures
- Perform additional ad hoc projects, as needed
- 3-5 years Financial Industry Experience required; Experience in investments and products within an Asset Management /Wealth Management environment – preferred
- Strong analytical skills, ability to assess and clearly articulate complex ideas and possess creativity
- Very Strong PC skills including MS Excel, PowerPoint, Word
- Action oriented, with an innovative mindset and a focus on results
- Legal background a plus
- Ability to interact with all levels of management and business/control partners
- Effectively handle competing priorities and have the ability to work as a part of multiple teams
- Outstanding attention to detail and ability to learn complex processes that affect various functions,
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Risk Management Framework Analyst Resume Examples & Samples
- Bachelor’s degree in a technical field like Computer Science, Engineering, or IT preferred
- 2-5 years of experience
- Security + certification
- Experience with Navy Cybersecurity
- Development of DIACAP C&A packages and RMF A&A packages in the Navy
- Functional knowledge of NIST SP 800-53R4 and CNSSI 1253
- Applying security controls and settings to systems
- Implementing and evaluating DISA STIGS
- Performing ACAS scans
- CISSP, CISM, or equivalent certifications
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IT Risk Management Senior Analyst, Itro Resume Examples & Samples
- Develop and train less experienced risk management analysts
- Communicate mitigation plans to relevant teams
- Determine compliance with policies and procedures
- Support audit reviews as needed
- 4-5 years risk and audit experience in financial services, through public accounting/auditing and/or industry experience
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Risk Analyst Enterprise Risk Management Resume Examples & Samples
- 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
- The candidate will have an opportunity to play a key role in helping enhance the Operational Risk capital and helping FNM to manage significant emerging risks related economic capital and its risk appetite
- As part of the operational Risk Analytics team, the candidate will help develop and implement Operational Risk measurement components of the framework and the development, production, and maintenance of Operational Risk reporting
- The candidate will help design, build and implement methodologies, metrics, models, reporting dashboards for the analysis, measurement and ongoing monitoring of Operational Risk capital and appetite
- The candidate will also strongly contribute to the methodology, system and process design and implementation enhancement of various elements of Operational Risk measurement, benchmark, future capital allocation, and reporting framework, including data sets, Key Risk Scenarios, metrics, and internal risk incidents reporting
- The candidate will also take significant responsibility for managing the relationships with key stakeholders, engaging with and educating stakeholders within the Business and liaising with the regulator
- Knowledge of probability modelling such Expected Value, Conditional Probability and Maximum Likelihood
- Background in Statistics, Mathematics, Finance, Physics, Econometrics or Engineering
- Programming skills preferably using either R, Matlab, SAS, VBA, Tableau
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Enterprise Risk Management Senior Analyst Resume Examples & Samples
- Implements, manages and oversees the ERM framework, including the activities of the Management Risk Committee (MRC) and Board of Directors (BOD). Prepares the MRC meeting agenda, minutes, presentation materials and ERM analysis for the ERM SVP, the MRC and the Board of Directors
- Leads risk program implementations, management and oversight including ERM risk analysis, ERM risk assessments, risk education, monitoring, and remediation and reporting
- Produces reports and presentations (including deep dives) that outline findings, explain risk positions, and recommend changes
- Analyzes ERM data to identify trends and material enterprise-wide risk issues. Identifies key risks and mitigating factors and conducts statistical analyses to quantify and support risk
- Serves as a team lead within the Enterprise Risk Management team; provides guidance for lower level analysts/staff and/or outsourced resources
- Identifies, evaluates and documents ERM process needs and objectives, ERM processes and procedures, problems and requirements. Communicates key risks to management
- Works with multiple business units/risk partners to gather risk-related data from internal or external resources
- Maintains a repository of ERM performance metrics, documentation and generates reports illustrating data, text and graphics
- Assist with the enterprise-wide vendor management program to ensure due diligence and the security of required documentation
- Assist with employee awareness and understanding of enterprise risk management as well as how their actions and efforts contribute to enterprise risk management
- Use data analysis to help IT develop a more proactive and anticipatory approach to risk management
- Knowledge of enterprise risk management and internal control standards required (i.e., COSO framework)
- Ability to manage and execute multiple complex projects within required timelines and expectations
- Excellent communication/influence, facilitation and presentation skills; networking internally and externally
- Ability to analyze and develop business and management risk reports to include risk aggregation, trending, outlier involving both qualitative and quantitative data
- Ability to develop detailed project plans and execute on those plans
- Proficient in Microsoft Office (Word, PowerPoint, Excel, Visio and Access)
- Demonstrated conceptual and analytical skills
- Knowledge of applicable laws including PCI, SOX, Privacy, GLBA
- Ability to travel 35% of the time
- Working knowledge of information technology, particularly how systems and applications integrate with business processes and operations (e.g., information technology risks, major systems conversions)
- CRISC/CISA/CGEIT Knowledge ITIL and COBIT methods and concepts, NIST, FFEIC
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Senior Analyst of Risk Management Resume Examples & Samples
- Minimum of 4 years risk management or insurance-related work experience
- ARM or CRM not required, but preferred
- Ability to work under pressure; must possess good written and oral communication skills
- Knowledge of insurance claim process
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Analyst, Operational Risk Management Resume Examples & Samples
- Performs data collection and analysis in support of risk management project activities
- Develops spreadsheets and reports which summarize risk exposure
- Identifies, reviews, assesses and documents risk management and control issues in assigned business processes
- Benchmarks industry best practices and maintains currency in risk management processes and procedures
- Identifying, documenting, and evaluating risks and controls relating to operations, financial reporting, and compliance processes and objectives
- Interpret and apply policies
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KYC Risk Evaluation Management Analyst Resume Examples & Samples
- Provide advice, including an indication of the potential for significant risk, from AML Compliance for all clients
- Provide advice from an AML Compliance perspective on issues escalated by Business teams
- Confirm all reputational risk information, including information relating to Financial Crime has been appropriately assessed
- Help evaluate reputational risk searches conducted
- Consult with relevant stakeholders such as AML Advisory, Anti Bribery and Corruption (ABandC), Sanctions team, Legal etc. for their expertise in related topics
- Escalate AML concerns or any significant suspicious activities to senior management
- Assist in the preparation of weekly and monthly metrics for Compliance Reviews, or any adhoc reports related to KYC to senior management on a timely basis
- Numerate, with experience in the usage of basic financial analysis techniques
- Strong written and personal communication skills demonstrated through previous work experience
- Previous experience in a similar role within a banking environment may be an advantage
- Previous involvement in financial crime investigations or similar investigative experience
- Experience in information gathering and application of KYC/CDD/EDD requirements would be an advantage
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Analyst Fatigue Risk Management Resume Examples & Samples
- Bachelor of Science degree in an aviation field or equivalent experience required
- Crew scheduling/crew planning experience required
- Working knowledge of the FAR's required
- In-depth knowledge of AA/SABRE computer systems strongly desired
- Experience in human fatigue studies, human factors studies, or safety studies preferred
- Experience working collaboratively with employee union groups desired
- Strong organization, analytical and interpersonal skills preferred
- Individual must demonstrate initiative, assertiveness, and possess the ability to interact with all levels of management
- Advanced writing and computer skills, including Microsoft office products required
- Ability to analyze and trend safety data desired
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Risk Analyst, Enterprise Risk Management Resume Examples & Samples
- Perform daily regulatory capital and inventory reporting
- Perform risk reporting on outstanding credit exposure, warrant exercise, corporate finance positions, and treasury asset allocation, etc
- Perform counterparty assessment to satisfy IIROC Electronic Trading Rule (ETR) requirements
- Help maintain and improve Trading and Credit Risk Management policies, procedures and reporting
- Assist in the development of the quarterly risk reporting package
- Develop and implement quality control and efficiency measures in data sources and processes
- Establish solid cross-functional partnerships and networks to execute business initiatives
- Assist with other risk management projects and initiatives as required
- A Bachelor’s degree in Commerce, Economics, Math or Engineering
- Minimum 1-2 years of relevant experience, preferably in a medium or large financial services organization
- Experience with Visual Basic for Application (VBA) and SQL required
- Previous experience with equity and/or fixed income trading would be an asset
- Experience with VaR, advanced financial modelling and statistical models would be an asset
- Experience with counterparty risk measurement and management would be an asset
- Experience with the Investment Industry Regulatory Organization of Canada (IIROC) regulatory capital requirements and/or Basel II/III regulatory capital requirements would be an asset
- Pursuit of the CFA and/or FRM designation would be an asset
- Excellent relationship building and interpersonal skills, complemented by superb communication skills, written and oral, are required
- Demonstrated capacity to manage multiple projects independently and meet strict deadlines
- Excellent analytical and strategic thinking skills as well as great attention to detail
- Ability to function in a fast paced, dynamic work environment
- Professional team player that can also work independently
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Risk Management Systems Analyst Resume Examples & Samples
- Assist with developing and maintaining the overall risk management process and procedures and associated project support office functions; interact with multiple projects simultaneously to provide risk management expertise for process guidance and technical support
- Apply and implement steps of risk-informed decision making (RIDM) and continuous risk management, per NASA Procedural Requirement (NPR) 8000.4 Agency Risk Management Procedural Requirements and NASA SP-2011-3422 NASA Risk Management Handbook
- Support the development of the risk management guidelines for the application of the standard risk management system (tools and processes)
- State risk models appropriate for Technical, Cost, and Schedule performance measures
- Evaluate performance measures for selected mitigations given stakeholder risk tolerances
- Identify the advantages/disadvantages of mitigations from a RIDM perspective
- Design the RIDM process into the requirements management baseline development
- Provide technical expertise for overall risk management process and the selected system tools; build training materials, train personnel, assist risk process users in resolving technical issues; continuously improve system
- Work with project technical experts to assess risks and identify actions to increase opportunities and reduce probability of threats to project goals
- Assist project teams with the initial set-up of project risk documentation
- Monitor, develop and coordinate risk activities to meet customer objectives
- Identify quality, schedule, technical, cost, regulatory as well as unknown risks and develop mitigation plans to reduce the severity of likelihood and impact and build contingency plans in the event a risk is realized
- Collect and analyze risk status at individual project and all up system level performance; develop metrics, build and present briefings to communicate status, formulate options to improve project and system level performance
- Ensure the project’s risk management policies and strategies are in compliance with NASA’s NPR 8000.4 Risk Management Procedural Requirements
- Follow the safe practices and rules contained in the company Safety and Health Plan and other such rules and practices communicated on the job. Report status to Senior Technical Lead and/or Task Focal Point as required
- Perform work in accordance with NASA ISO AS9100 procedures and applicable regulatory requirements. May be required to obtain security clearance
- This list is not intended to be all-inclusive and may be expanded to include other duties and responsibilities
- Bachelor's degree required and 2 years specific work experience required
- Good written and oral communication, organizational and interpersonal skills
- Must be able to develop/instruct on training materials and develop/present information to wide range of audiences/career field disciplines effectively
- Be familiar with or willing to gain knowledge of NASA Armstrong procedures/instructions, and organizational structural as related to analyst requirements
- Knowledge of aeronautics and project management
- Must be multi-task oriented and capable of prioritizing
- Must be familiar with or willing to gain knowledge of the Federal Acquisition Regulations (FAR)
- Must be able to determine process objectives, metrics and targets
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IT Risk Management Senior Analyst Resume Examples & Samples
- Assist in managing client audits and track corrective actions to completion specific to IT and Information Security
- Provide assurance that quality and risks are effectively addressed in relation to information systems and processes
- Help with information security compliance standards, including daily, weekly, quarterly and/or annual security risk assessments
- Support responses to regulatory security assessments and questionnaires
- Demonstrates knowledge of IT regulatory requirements and applies a risk-based approach to interpret and comply with these requirements
- Review and maintain security & controls policies and procedures in accordance with federal regulations
- Perform internal compliance assessments, monitoring activities, audits, and control testing
- Research new security compliance requirements and assist in the evaluation of compliance control requirements
- Report security control related metrics and effectiveness
- Evaluating, recommending and testing new or improved controls to keep current with industry standards and compliance requirements
- Managing corrective action logs and ensuring issues are assigned priority and closed out in a timely manner
- Analyzes business impact and exposure based on emerging security threats, vulnerabilities and risks
- Any other duties that may be required as assigned
- Experience assisting in regulatory security audits; Sarbanes Oxley/HIPAA preferred
- Experience participating in needs assessments and identifying/implementing appropriate solutions
- 1 to 3 years information security and compliance experience across a wide base of disciplines including
- Metric reporting
- Customer support and account management
- Audit management and internal audit standards
- Process control design and testing methods
- Risk assessment tools
- Business Continuity and Disaster Recovery methodologies
- Familiarity with Information Security frameworks HIPAA, ISO27000, PCI, HITRUST, FedRAMP, and GLBA
- Basic understanding of IT security controls
- Ability to make security and compliance real and practical within the business, including investment of necessary time and energy in training and policy/procedures
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Risk Analyst, STO Risk Management Resume Examples & Samples
- Preparation and review of files and data for regulatory reporting, including but not limited to FOCUS and Reserve
- Perform daily reporting activities
- Assist in benchmarking STO effectiveness against industry standards and peer firms
- Ability to aggregate, analyze and interpret financial data
- Ability to leverage others’ expertise and experience in identifying, evaluating and mitigating risks within Service, Trading and Operations
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Senior Operational Due Diligence Risk Analyst Enterprise Risk Management Resume Examples & Samples
- Obtain and review legal documentation, marketing material, audited financial statements, regulatory filings as well as operations, compliance, and trading policies and procedures of the external managers prior to investment or as part of ongoing monitoring
- Evaluate investment managers’ ownership structure, investment philosophy, valuation procedures, trading and internal controls, disaster recovery procedures, infrastructure, service providers, and compliance environment
- Conduct both on-site due diligence meetings and conference calls with external investment managers’ COOs, CFOs, CCOs and other personnel of operational relevance
- Discuss and report operational due diligence findings and recommendations to the relevant asset class investment teams and to the firm’s operations & risk governance committee
- Write comprehensive operational due diligence reports and present detailed results and findings of the due diligence process, including concerns and recommendations
- Maintain operational due diligence policies and procedures consistent with industry best practices and develop future enhancements to the firm’s Operational Due Diligence Program
- Design, implement and lead internal controls reviews across the firm’s business units and liaise and support corporate internal audit processes and reviews
- Keep abreast of market developments, industry trends and regulatory matters that could impact alternatives and long-only investment managers or due diligence procedures
- Work effectively in a team environment; participate or lead assignment and initiatives within the firm’s operations, enterprise risk, or investment business units
- Undergraduate degree, preferably in finance, business or accounting; CFA Charter, CPA and/or advanced degrees a plus
- 3-5 years of relevant experience in due diligence, operational risk assessment, audit, compliance, and/or consulting; with a strong understanding of traditional and alternative financial instruments and asset classes
- Highly developed quantitative skills; intermediate-to-advanced experience with Microsoft Office products; proficient in Excel; programing skills (Excel VBA) a plus
- Highly developed communication skills; presence and confidence to communicate with all levels of senior management; ability to exercise professional skepticism and be able to challenge external investment manager’s “C-suite” professionals
- Highly developed writing skills; ability to extract essential information and analysis and synthesize the information into concise, well organized and detail-oriented actionable reports
- Work effectively in a team environment. Participate in team projects, assignments and team responsibilities such as continual process improvement, strengthening of controls, peer analysis and team education sessions
- Knowledge of key processes which occur at prime brokers, fund administrators, auditing firms and other service providers
- Knowledge of SEC and/or foreign regulatory and compliance rules and regulations
- Flexibility to travel from time to time
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Risk Management Test Analyst Resume Examples & Samples
- Documentation of new process and the identification of Risk and Controls to ensure the process is compliant 10%
- A biannual review of processes with process owners; 5%
- Tests will be designed to ensure compliance with applicable regulations and laws; 20%
- A standard method to collect evidence of control execution will be developed and employed for all testing previous to any commencement of testing. 5%
- Design and implement a method of testing controls consistently. 5%
- Testing will be conducted to ensure that VCI is in compliance with Fair Lending Policies and procedures.20%
- Testing will be conducted to ensure that VCI is in compliance with its policy and procedures.20%
- All results of testing will be recorded in a pre-defined format and presented to the GRC Manager for review and possible escalation in the event of control failures. 15%
