Risk & Control Manager Resume Samples
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Risk & Control Manager Resume Samples
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T Pollich
Tavares
Pollich
682 Gerhard Isle
Boston
MA
+1 (555) 993 7122
682 Gerhard Isle
Boston
MA
Phone
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+1 (555) 993 7122
Experience
Experience
Chicago, IL
Risk Control Manager
Chicago, IL
Berge Inc
Chicago, IL
Risk Control Manager
- Manages the employee return-to-work programs, modified duty programs, and medical case management programs
- Manages the employee return-to-work program and medical case management programs
- Work with Card Risk Management business colleagues to develop, document, and validate business owned risk control self assessments, and issue and action plans
- Assist S. Manager in conducting UAT for any new projects & also assist to do cleanup projects
- Facilitate the timely submission of the Global Consumer Risk Management Managers Control Assessment for the North America consumer businesses
- Management of RPS Risk and Collections change control processes, ensuring compliance of established procedures
- Workflow management
Houston, TX
Risk & Control Manager
Houston, TX
Grady LLC
Houston, TX
Risk & Control Manager
- Partner with line and control managers to manage and govern North American risk and control framework
- Report on the performance in achieving effective management of Technology risks and controls to the regulator and Barclays Senior Management
- Assist with the development and execution of the risk and control strategy for North American Operations teams
- Provide recommendations and findings to business lines and risk and control managers
- Document processes, risks, and controls, assess level of risk, and assist with developing testing and monitoring
- Conduct kickoff of the Regulatory Remediation Workflow with stakeholders following federal regulatory examination fieldwork conclusion
- Provide timely assistance/guidance to businesses on regulatory issue resolution and related reporting
present
Boston, MA
Business Risk & Control Manager
Boston, MA
Hoppe-Baumbach
present
Boston, MA
Business Risk & Control Manager
present
- Working closely with Bankers, Business Managers and Senior Managers to embed a robust culture of internal control
- Management and co-ordination of the broader control function risk management agenda, working closely with partners in Legal, Risk and Compliance
- The Vendor Risk and Compliance Manager will promote an environment that supports diversity and reflects the HSBC as Best Place to Bank and Best Place to Work
- Supporting the execution and delivery of the Sanctions Risk Management agenda, including liaison with Group function, co-ordination of relevant work programmes
- Work with Compliance officers to identify regulatory risks and integrate regulatory controls and monitoring into the overall risk monitoring plan (RCR project)
- Working knowledge of FATCA, Volcker regulations and impact on US Banking activities
- Identify and escalate Management Self-Identified Issues in a timely manner
Education
Education
Bachelor’s Degree in Insight Into
Bachelor’s Degree in Insight Into
The University of Kansas
Bachelor’s Degree in Insight Into
Skills
Skills
- Solid interpersonal skills and ability to work in a fast paced team environment
- Strong attention to detail and organizational skills
- Ability to introduce and foster best practices and quality centric delivery across the wider BU
- Able to build strong partnerships with Business managers
- Able to work in with little guidance in an ambiguous environment
- Able to contribute/share new and creative ideas and innovative practices and effectively stand behind them
- Possess the ability to review complex processes and identify control gaps and help proactively develop solutions
- Can clearly articulate the processes supporting a business unit and their associated risks and key controls, as well as provide the Business with guidance for solutions to enhance their controls
- Ability to manage multiple priorities and deliver to established timeframes
- Able to clearly define strategic issues in a fast-changing environment and effectively manage areas of ambiguity
15 Risk & Control Manager resume templates
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1
Risk Control Manager Resume Examples & Samples
- Ensure Card Risk Management remains compliant with CCB Operational Risk Policy. Communicate and implement procedures to ensure Card Risk Management control processes are aligned with Policy
- Work with Card Risk Management business colleagues to develop, document, and validate business owned risk control self assessments, and issue and action plans
- Partner with business colleagues to drive a culture of risk awareness and deliver proactive identification of key risks
- Identify issues with cross Risk business impacts and partner with Control team members to coordinate action plan life cycle
- Participate in project planning as requiredto assist business in developing appropriate internal control systems or to monitor significant changes in control systems
- Participate in special projectswith multiple team members, including ensuring risk is appropriately assessed, overall scope and testing is appropriate, issues have been escalated and cleared with management, and issues are focused directly to the overall risks of the review area or project
- Maintain awareness of significant changes impacting the business, both internally and externally. Continue buildingknowledge of Card Risk Management policies and procedures, banking and consumer regulations/laws, and Quality Assurance practices, in order to implement necessary enhancements/improvements to modify/expand control activities and to minimize the risk of noncompliance
- Ensure Card Risk Management remains compliant with Corporate Business Resiliency Policy. Partner with the Business Resiliency Office to ensure Card Risk Management owned Business Resiliency tasks are aligned with Policy requirements
- Identify control process enhancements
- Participate in other projects in support of Risk Control & Governance, as assigned
- Strong analytic skills and problem analysis experience
- Ability to collaborate with business and functional experts to provide risk issue management guidance
- Demonstrated experience in interacting with senior management
- Proven ability to build partnerships with and to influence key stakeholders
2
Operational Risk & Control Manager Resume Examples & Samples
- Works closely with business and operations management, legal, compliance, audit, SOX, etc
- Works with Firm-wide and Line of Business operations risk management teams
- Build and maintain relationships with internal partners
- Provide training and guidance to operations on Operational Risk and ensure risk events are identified, reported and managed
- Collaborate with the functional executives to identify key risk indicators and create reporting metrics
- Manages the RCSA process; prepares action plans and opens issues
- Manages the progress of action plans to ensure they are completed timely and accurately
- Through ongoing collaboration and facilitated discussions, create scenarios that should be considered as part of ongoing risk management and identify emerging risks that should be reviewed
- Reviews processes, procedures as they are developed or updated, to ensure proper controls and procedures are in place to mitigate risks
- Works with the functional executives to record/report risk events, including financial and non financial losses
- Collaborate with and assist the functional team to comply with third party oversight
- Bachelor's degree in relevant discipline
- Audit experience – it is essential the candidate have current or very recent experience in an audit capacity, having prepared scope documents, completed field work, and assembled audit report to communicate findings
- In depth knowledge and understanding of wealth management/private banking products, services, operations
- Practical experience in operational risk management, control oversight or other relevant areas
- Ability to collaborate with business/functional experts to map processes, identify key controls and recognize control gaps and risk issues
- Financial industry regulatory exposure and experience, including banking, credit and investments
3
Risk Control Manager Resume Examples & Samples
- All aspects of Information Security oversight for Global Consumer Risk Management including performing certain reviews and approvals on behalf of the Global Consumer Bank Chief Risk Officer
- Effective administration of the Federal Reserve Bank's quarterly Senior Loan Officer Opinion Survey for the Global Consumer Bank
- Facilitate the timely submission of the Global Consumer Risk Management Managers Control Assessment for the North America consumer businesses
- Manage the Global Consumer Risk Management Statement of Accountability process used in support of Citi's quarterly financial disclosures and ensure any qualifying items are comprehensive and appropriate
- Support the research and response to credit policy and control issues within GCRM; and,
- Prepare critical control and compliance MIS for senior risk leaders identifying trends and offering appropriate recommendations
- 10+ years of broad consumer lending experience across the life-cycle
- Work experience in the areas of Risk Policy, Control & Compliance and Project Management
- Strong knowledge of Global Consumer Credit & Fraud Risk Policies and relevant Citi level policies
- Excellent PC skills (Microsoft Office) including ability to enhance existing processes to assist in reporting / data analysis and presentation
- BA / BS or equivalent with a graduate degree preferred
4
Risk & Control Manager Resume Examples & Samples
- Ensure Risk and Control Assessments (RCAs) are completed in line with plan
- Promote a greater understanding of risk management and assurance in order to embed a risk aware culture
- Provide expert guidance, support, oversight and independent challenge through effective working relationships and stakeholder management to ensure that business management are in control of its Risk & Control activities
- Manage and drive the progress of all RCA Actions to ensure due dates are met with the appropriate level of assurance to ensure the Design and Operational Effectiveness of the controls and challenge back to the Business where necessary
5
Hrss Risk & Control Manager Resume Examples & Samples
- Responsible for all aspects of risk and control: Information Security; CoB, RCSA; Records Management; etc
- Proactively evaluates risk and associated controls , reports and interprets results. Analyze control issues to determine the underlying causes of problems and provides solutions
- Develops compliance guidelines, oversees control programs, and provides support to the business managers
- Analyze control issues to determine the underlying causes of problems and provides solutions
- Interfaces with the HRSS R&C network globally to provide guidance and subject matter expertise as needed
- Interfaces with Internal Audit (IA) and external audit to ensure questions / requests are answered and managed quickly and clearly
- Supports diversity by actively building and cultivating strong connections and partnerships across the business/region. Development Value
- Opportunity to support the design and execution of risk and control globally to evolve the risk model to a standard and best in class model
- Opportunity to support the execution of HRSS business initiatives
- 5+ years of relevant experience in R&C, compliance, audit or regulatory functions
- 5+ years’ experience in working with the various risk and control systems and reporting requirements. Business Information Security Certification strongly preferred. Qualifications
- Undergraduate Degree / Graduate Degree Preferred
- Risk & Control, Operations, or related experience Skills
- Deep understanding of risk and control processes, systems, and reporting requirements
- Pragmatic problem solver with the ability to translate plans in actions
- Analyzes processes & controls, and manages R&C data quality
- Evaluates risk and control measures / reports and interprets results
- Manages situations that create risk and legal liabilities for Citi
- Anticipates and responds to customer / business needs
- Makes decisions in a timely manner, balancing a need for action with a need for analysis. Competencies
- Builds relationships proactively with key stakeholders from multiple work areas
- Works through influence to build consensus among various stakeholders with differing perspectives
6
RTB Risk & Control Manager Resume Examples & Samples
- Engage with all application teams to ensure that data accuracy remains accurate in feed data for Segregation of Duty reporting and remediation
- Engage with senior technology managers to ensure feed data issues are remediated on a timely basis
- Provide training and guidance to application teams on how to comply with feed data management standards
- Manage a team of technical data experts to ensure that unmatched accounts are remediated on a daily basis
- Manage a team of technical data experts to ensure that unprofiled accounts across all applications are remediated on a daily basis
- Provide management reporting on all feed data issues
- Drive remediation of all feed data issues and drive forward strategic improvements via a published roadmap
- Work with level 3 development team in Access & Identity Management to drive improvements to tools and interfaces to improve manageability of data mapping utilities
- Provide daily, weekly, and monthly reporting on trends and remediation to management and stakeholders on issues and their subsequent remediation
- Work with the Violations Management Team to ensure that there is data completeness in the Segregation of Duty dashboards and reporting
- Ensure that the Feed Data Management Support incident, problem and change queues are managed according to Service Level Targets. Negotiate Service Level Agreements, scope of ongoing support and operational remit, to Director level internal GIS and external business and technology stakeholders. This will ensure that the functional is able to adapt with the changing environment in India, wit the current focus on increasing functions within the region
- Present demonstrations to technology and business stakeholders on the use of the technology toolsets within your remit, providing training to global audiences to ensure they are aware of the usage of these customer-facing toolsets. Be able to provide detailed walkthroughs to senior technology partners on the dependencies their systems have with the GIS Access & Identity Management system, specifically the highly-important Segregation of Duty functionality and how it interlinks with other systems
- Forwarding thinking – The role requires ongoing participation in strategy sessions with various internal and external stakeholders. The IAM Development team needs regular feedback on operational issues and the proposed solutions that need to be adopted to remove these issues. The IAM Onboarding and Business Analysis teams need feedback from customers (which you will own) on their usability challenges and you will drive improvement to the system to enhance the business experience
- Manage the agreed budget for your entire area, including all expenses, ensuring that you do not exceed the budget allocated by your COO
- Deliver all compensation for your team on an annual basis, and work with local HR teams to determine an appropriate compensation profile for new or replacement hires
- Perform ongoing analysis of failures, review where there id redundant manual effort that can be automated, and work proactively with internal and external customers to generate requirements that will result in changes to the structure of our systems, at a strategic level, that will reduce risk and increase usability
- 60 % Operational Management
- Responsible for effective communication with staff through team scrums/meetings/one on one meetings
- Staff management for a team of 8 people, responsible for managing their performance and career progression & training
- Leave management for aligned analysts
- 1st level validation of shift allowances submitted by staff members
- Assist Management with recruitment and training calendar for new joiners in team
- 20% Technical Management
- Ensuring issues are managed within agreed SLT
- Manage email, Hotline queries and ticketing systems
- Support and management of system outages via the published major incident management process
- Perform post-release start-of-day checks as appropriate
- Liaison across business and users to resolve application data issues
- Efficient implementation of identity management privileged access provisioning
- Perform trending & root cause analysis of issues (management information)
- Compliance to audit, regulatory and GIS Standards requirements – risk aware and focused
- Tertiary or Degree in Information Technology or Information Security related discipline
- ITILv3 certified (preferred)
7
Senior Risk & Control Manager Resume Examples & Samples
- Coordinate MCA activities across the Entity, including scheduling activities if appropriate
- Drive annual risk review (ARA) - Conduct MCA “assessment” procedures as defined in ARA
- Drive definition and implementation of new controls or tests or enhancements to existing controls or tests
- Manage to the performance and daily responsibilities of 2 testing analysts
- Report monthly and quarterly assessments to entity management
- Enter events (breeches) into EDCS and manage the assessment of controls leading to the event
- Ensure the Entity’s MCA programs remains compliant with Citi policy
- Manage the entity’s operational risk data in accordance with the Citi Operational Risk Management Data Quality Standards
- Assess emerging and systemic risks impacting the entity
- Develop CAPs to address root cause of issues
- Assess control design and evaluate control effectiveness
- Review MCA results and issues from other relevant MCA entities
- Review control gaps to identify root cause
- Assess/revise MCA Procedures as needed
- Aggregate/determine the most significant control issues and emerging risks for review with entity management
- Recommend MCA rating to entity management
- Recommend changes to MCA processes to improve detection of emerging risks and control issues
- Review the effectiveness of MCA processes in detecting control issues and emerging risks and recommend changes to MCA processes as needed
- Monitoring business activities and assessing for potential risk, identifying control gaps, and working with the business on enhancing controls through formal corrective action plans, tracking them to successful and timely completion
- Continuously update the MCA process to monitor or test key controls of high risk activities
- Proven success in leading and delivering cross-functional initiatives while demonstrating good judgment and problem solving skills
- Strong communications skills, along with the ability to build relationships and consensus across functions and levels of Citi businesses
- A passion for process excellence and quality of product
- Experience with creating and championing change management
- Bachelor’s degree in quantitative discipline: Mathematics, MIS, Statistics, Computer Sciences, Engineering, Economics, or an MBA with a minimum 2 years of experience in credit card risk management or equivalent training and experience
- 5 years in risk control, process management, audit or consumer banking desired
- Good working knowledge of Microsoft Office suite (Excel, PowerPoint, etc
8
IT Platform Risk & Control Manager Resume Examples & Samples
- Be accountable for the adoption of the IT platform and control standards across the retail risk and analytics business domain
- Be responsible for defining the current controls agenda and evolving it over time
- Drive the business adoption of these standards in line with firm mandated dates
- Manage the migration of the user community and their assets from the current state to the desired controlled target state
- Develop a business engagement model and track the various levels of control adoption as well as data profiles and business processes to evolve this best practice agenda
- Understand the use of the IT environment and help to define the control standards that need to be put in place and enforced to ensure its proper platform controls
- Support the implementation of the cyber control agenda requirements including PII encryption
- Assist in defining the target state data discovery environment representing the control agenda items and support the delivery of these objectives over time
- 7+ years of IT experience, preferably in an financial domain
- 5+ years of IT management experience
- Background in Information Risk Management / Technology Controls standards
- Controls implementations in a financial domain
- Risk modeling analytics experience is a plus
- A strong background in program management, leading programs with large user bases and multiple line of business stakeholders
- Strong teamwork skills
- Experience in SAS environments
- Experience in Finance and Risk systems or Banking LOBs
- Solid technology and infrastructure experience is highly desired
- College degree in Computer Science or equivalent professional qualifications
9
Operational Risk & Control Manager Resume Examples & Samples
- 4+ years of working within the Funds Management industry
- Bachelor's Degree in Accounting, Business Administration, Finance, or a related field
- Operational Risk, Internal or External Audit experience gained within a dynamic international financial institution or financial services firm
- Able to multitask efficiently and effectively
- Postgraduate Degrees or professional qualifications (CA, CFA, CPA)
10
Fair Value Risk & Control Manager Resume Examples & Samples
- 4+ years of Public Accounting and/or Private Industry experience
- Previous Internal Audit experience with a strong Risk and Controls background
- Capital market product knowledge
- Previous experience with basic fair value leveling concepts (minimum) - ASC 815, 820 and 825
- Treasury background
11
Risk & Control Manager Resume Examples & Samples
- Bachelor’s degree in accounting or finance preferable
- At least 5 years of experience in finance and accounting (CPA preferred)
- Understanding of U.S. GAAP and the GAAP and regulatory requirements for bank holding companies,
- Managing the preparation and review of fair value footnotes, reviewing and compiling MD&A disclosures, and reviewing related regulatory filings
- Providing ongoing subject matter expertise on accounting and reporting for the fair value of financial instruments globally in accordance with ASC 815, 820, and 825 as well as leading the implementation of relevant ASUs
- Participating in various ad hoc projects, creating, updating, and monitoring of compliance with accounting, SOX, finance and policies
12
Business Risk & Control Manager Resume Examples & Samples
- The Procurement function within HSBC provides a professional Purchasing service to all Businesses/user departments
- Bachelor's in Business - required
- MBA - preferred
- Professional Procurement Certification - preferred
13
Risk Control Manager Resume Examples & Samples
- Three to five years of credit risk management experience
- Proven experience in a risk management, operations, or quality assurance
- PC proficiency using Mircrosoft Office products in a Windows-based
- Must be self-motivated with the ability to work well independently and across
14
Merchant Risk Control Manager Resume Examples & Samples
- University degree with at least 7 years relevant experience
- Outgoing character, strong communication and presentation skills
- Good knowledge of credit card operation knowledge and related systems and tools
- Good understanding of the merchant business
- Strong in project management and execution
- Excellent writing skills to report findings, assessment, conclusions and recommendations
- Resourceful and ability to gather information from all perspectives
- Mature, ability to work under pressure, independent and a good team player
15
Esc Risk & Control Manager Resume Examples & Samples
- Provide subject matter expertise on all areas of Procurement Risk and Control including Process, Policy, Anti Bribery and Corruption, risk testing and own the Regional Procurement Process and Operating Procedures
- Ensure a clear understanding of all Citi policies and procedures that directly impact procurement (CEMP and CSSMP). The role is responsible for ensuring that regional policies and procedures mitigate risk in the procurement process and provide suitable control and guidance to all procurement staff
- Required to advise Senior Procurement Management on general risk and control matters and advise on the controls to be put in place to address these. Additionally, advise Senior Procurement Management where processes and policies are not being followed and advise on corrective actions to be taken
- Implement clear and concise policies and procedures to all Regional and Country Procurement staff. This includes running training and awareness sessions to Regional Sourcing Managers, Country Sourcing Managers and members of the Procurement Service Centre. The role is responsible for driving the adoption and adherence to these processes and procedures to minimise risk
- Responsible for managing and running the quarterly Managers Controlled Assessment. This involves conducting a number of tests across the region and countries to identify potential risks and measure compliance to set processes and procedures
- Own the delegation of authority, purchase order and contract signing limit process for the region
- Manage and run the expired contracts process for the region
- Closely liaise with the Enterprise Supplier Risk Management (ESRM) team to ensure that the Procurement process compliments the Supplier Risk process and procedures. Work with the ESRM team to realise potential country issues and raise correction action plans
- Provide regional input to the Global Risk and Control programme and strategy. Work closely with Global Risk peers to ensure a clear understanding of regional and country requirements. Work to create a Globally consistent risk and control framework that minimises wherever possible regional and country variations
- Understand individual country risk variations and communicate these to the Global team for inclusion in the Global programme
- Single point of contacts for all EO&T risk and control matters
- Owner of relationship with Internal Audit and Legal. Assisting in all audits and risk testing
- Knowledge of Procurement Operations (Analytics, Process, Policy, Risk & Control, Contract Management, Supplier Management, Procurement Technology & Tools)
- Knowledge of Anti Bribery and Corruption and Fraud risk pertaining to Procurement
- Knowledge of eSourcing and P2P systems
- International work experience and ability to work remotely with stakeholders across a number of different countries
- Excellent relationship management of senior internal and external stakeholders
- Good analytical skills and attention to detail
- MS Office & Excel, Visio, eSourcing, Powerpoint
- Ability to collect, extract and analyze data from a variety of sources and create pivot tables
- Flexibility and ability to adapt to changing environments
- Minimum Bachelor’s degree
- CIPS member or working to MCIPS
16
Risk Control Manager Resume Examples & Samples
- Ensures the existence, exhaustive nature and pertinence of the risk control organization within the Internal Control scope, for both internal and outsourced activities
- Develops risk Control culture within the Business Unit and assists operating staff in defining Permanent Control, organizational principles and methods and to verify the accuracy of the systems in place
- Organizes the operational risk measurement and surveillance
17
Risk & Control Manager Resume Examples & Samples
- Bachelor's Degree or equivalent
- 7-10 years of financial services experience in control function such as operational risk, compliance, or audit
- Robust understanding of Advisory Services, Alternative Product Operations or Tax Operations
- Exceptional analytical skills
18
Business Risk & Control Manager Resume Examples & Samples
- Work with business managers to complete a comprehensive Risk Control Assessment (RCA). This will include (a) analysis of existing processes to determine the effectiveness of controls and (b) an evaluation of internal/external operational events to quantify the financial, reputational & regulatory impact of failed controls
- Develop or enhance monitoring tools to evaluate the design and operating effectiveness of the key controls in the Business. Monitoring will include reviewing key indicators, sample testing and conducting thematic reviews
- Demonstrate a sound holistic and technical understanding of pertinent business areas and Group Standards Manuals (GSM) and Functional Instruction Manuals (FIM) and local standards
- Provide on-going coaching and guidance to less experienced BRCM staff (both locally as well as within the region on occasion) to ensure there is a consistent understanding of the overall risk program, KRIs, Monitoring Plan and governance structure across the Americas
- Lead internal control reviews of high risk processes including procedure testing, establishing test plans and test scripts, providing recommendations, providing feedback and reporting to the Americas Head of BRCM
- Prepare and suggest enhancements to monthly reports on business defined key risk indicators (KRI‘s) and other reports that need to be sent to the HSS Risk Management team and the North America Global Banking and Markets Risk Management team
- Assist in coordination of exams conducted by HSBC Group Internal Audit, external regulators, external auditors and other internal compliance and risk teams
- Work with local and regional business management/BRCMs to compile reporting on the risk environment to be presented at the local/regional Risk Management Committees
- Understand Group Risk requirements, ensure they are communicated to the region and ensure compliance by the region
- Based on the activities in the area under review, be able to identify, articulate, and challenge management on the strength of their control program
- Review documented policies and procedures and challenge whether they remain current and are aligned to FIM and the processes taking place
- Work with Compliance officers to identify regulatory risks and integrate regulatory controls and monitoring into the overall risk monitoring plan (RCR project)
- Identify and escalate Management Self-Identified Issues in a timely manner
- Document and monitor progress of remedial actions for issues identified through BRCM testing and by others, including Internal Audit, Compliance, regulators, and Management Self-Identified Issues
- Minimum of bachelor’s degree in finance, accounting, business or related fields, MBA and /or CFA/CPA a plus
- Trustee and paying agency experience as well as working knowledge of custody operations
- 7 to 10+ years banking/financial services experience and exposure to Operational Risk frameworks
- Direct experience with internal control program development and testing (design as well as operating effectiveness) to ensure appropriate focus on key risks inherent in the significant business processes
- Proven leadership and organizational skills, highly detail-oriented, with an ability to speak with conviction across all levels of the organization on BRCM issues that are raised
- Initiative, self-motivation and the ability to prioritize tasks and work independently under pressure
- Working knowledge of US Banking Regulatory requirements (Regs. W, R, 9, Transfer Agent, Trust Indenture Act are significant focus areas)
- Working knowledge of FATCA, Volcker regulations and impact on US Banking activities
- Working knowledge of SOX 404 front-to-back design and operating effectiveness testing
- Experience in documenting front-to-back process flows including various interdepartmental handoffs (i.e. “swim-lanes format”) highlighting handoffs and key control points
- Ideally candidate will be bi-lingual (English and Spanish) to enable effective communication with our colleagues in Latin America
19
Risk & Control Manager Resume Examples & Samples
- Ensure Global Identity and Access Administration and practices are in compliance with relevant standards, policies and regulations to maintain an effective control environment
- Interface with various internal groups including Group Audit, Group Technology and Operations, Legal and Compliance as necessary
- Partner with global/regional lead to develop, implement and execute various processes to review policy and regulatory related controls to ensure they are being effectively executed
- Develop associated checking, monitoring and escalation processes, engaging management on appropriate actions
- Validate and review controls in light of key Global Identity and Access Administration projects, changes and operational events to ensure ongoing compliance with key policy and regulatory requirements
- Continuous improvement of Identity and Access Administration transition & transformation and security operations processes
- Perform independent quality reviews
- Internal and external audit support / coordination
- Support the audit and self identified issues remediation of applications specific to Identity and Access Administration
- Implementation of SLA / OLA / KPI and responsible for accurate reporting
- Liaise with relevant internal and external functions regularly to ensure Identity and Access Administration quality & compliance integration
20
Business Risk & Control Manager Resume Examples & Samples
- Incumbents are expected to work within overall guidelines and timeframes making deadlines set forth. The position is somewhat autonomous
- Internal risk areas – ensuring proper communication and providing input into process changes, risk initiatives, and acting as the business representative for AMCA
- Regular external working relationships are with
- Regular office working environment. No or minimum travel required
- Bachelor's degree in Business, Finance, Accounting, or related field
- Possess strong knowledge of the financial services and/or investment industry, preferably in a risk, internal audit, compliance, or operations role
- Minimum of three years proven and progressive financial services operations, risk and/or internal testing/audit experience or equivalent
- High level of proficiency with Microsoft Office applications, particularly Excel
- Proven interpersonal, organizational, communication, negotiation and analytical skills
- Strong conceptual understanding of internal controls and the ability to learn and understand work flows and processes
- Good working knowledge of HSBC Group standards, manuals and policies
- Strong organization skills with proven ability to multi-task in a fast paced environment
- Systems Knowledge
- ORION
- CRD (Charles River)
21
TTS Ops Risk & Control Manager Resume Examples & Samples
- Evaluate performance & identify training needs for immediate subordinates
- Responsible for the account proofing function. Ensure all proofs are obtained in a timely
- Review all violation reports and inform departments to ensure immediate and appropriate
22
MYS Ctsm Kl-anti-money Laundering Risk & Control Manager Resume Examples & Samples
- Assist the Risk & Control Senior Manager as a primary point of contact for Risk and Control related queries and matters
- Ensure compliance to global standard policies, procedures and tools
- Ensuring that all critical functions are documented in the hub procedures, and that all controls are appropriately defined and implemented
- Assist the Risk and Control Senior Manager to ensure that all critical functions are documented in the hub procedures, and that all controls are appropriately defined and implemented
- Managing deliverable requests from the regulators / auditors relating to quality assurance; collecting information and documentation in a timely manner, tracking and documenting requests and responses
- Assist the Risk & Control Senior Manager in developing and deploying appropriate control monitoring mechanisms vide Manager's Control Assessment (MCA)
- Internal trainer - develop training programs & plans and conduct training sessions accordingly
- Banking, finance or Business background
- Operations Management experience
- Awareness of AML regulation and banking products
- Analysis and research skills
- Attentive to details
23
Risk & Control Manager Resume Examples & Samples
- Partner with line and control managers to manage and govern North American risk and control framework
- Assist with the development and execution of the risk and control strategy for North American Operations teams
- Implement control framework to ensure risks are proactively identified, measured, monitored, communicated and/or escalated. The framework should include, but is not limited to, the following
24
In Businss Risk & Control Manager Resume Examples & Samples
- Provision of oversight of offshore businesses operating through Bahamas managed entities including the oversight of outsourced functions of the OBC managed entities,
- Implementation of quarterly attestations from offshore businesses,
- Support audits impacting the OBC and country governance,
- Corporate policies, procedures and controls
- Strong Regulatory background
- External and/or Internal Auditing
- Demonstrated ability to synthesize information, prioritize requirements
- Project planning and execution experience
- Pragmatic and out of the box thinker
- Ability to work under stressful situations and tight deadlines
- Proficient in the use of Microsoft Office software, Excel, Word, PowerPoint, Outlook
25
Products Risk & Control Manager Resume Examples & Samples
- Embedding Conduct Risk and regulatory compliance obligations within product development, pricing, and annual reviews. Partnering the business to apply effective controls ensuring early proactive identification of emerging risks and supporting the business in managing and fixing crystallised issues robustly and in a timely manner
- Plan and execute day-to-day control and monitoring related activities (focusing on Operational Risk, Compliance and Conduct)
- Develop and implement activity in the BU to ensure that the Product Governance framework is embedded and a proactive customer and risk aware culture is demonstrated
- Work in partnership with the Product Management Teams in the Annual Product Reviews to ensure that products remain fit for purpose and continue to deliver consistently fair customer outcomes throughout the product lifecycle
- Work closely with 2nd line risk to ensure the impact of regulatory and legislative change on the business is fully considered
- Promote and support a culture where control weaknesses and regulatory breaches relating to product are appropriately and promptly addressed and customers remediated
- Chair local Product Risk Forums working with Central Reporting teams on building clear and concise monthly risk reports to ensure effective day to day management of risk and issues within product teams
- Build strong productive relationships at all levels across the Business Unit, with partner business units and with Risk and Audit functions
- Proactively Support our colleagues in working together, maintaining good morale, strong colleague engagement and maximising effectiveness across the team
- Experience of risk and control management
- Experience within a similar role in a financial services organisation
- Ability to manage and execute a number of, sometimes conflicting, priorities and deliverables
- Acute attention to detail and passion for doing things right first time
- Establishes and communicates the need for and benefits of significant change
- Builds capability of self, team or processes, learning from experience and continually looking for ways to improve
- Evaluates issues from a range of stakeholder perspectives with the ability to make complex decisions and execute delivery
- Is approachable and responds appropriately to colleagues needs
- Presents information and messages with clarity, communicating in a way that is meaningful to the audience
26
BU Risk & Control Manager Resume Examples & Samples
- Lead various regulatory change efforts within and beyond CSG including internal and external
- Regulatory exams
- Support the Broker Dealer Compliance Operating Model
- This position is responsible for leading multiple key and high impact projects in functional areas
- Responsible to ensure effective remediation of non-compliant situations within all impacted business unit through the re-design of process/controls and testing of their effectiveness
- Manages the day-to-day oversight of the planning and performance of control and process audits and compliance with standards and regulations
- Is able to identify and access resources across the company to accomplish projects, and handles multiple projects simultaneously
- Establish an integrated and collaborative relationship with 2nd and 3rd line of defense partners from Risk, Compliance, and Audit to ensure continued focus, successful closure,
- Usher the required regulatory change from assessment through strategic project implementation to ensure full compliance across impacted CSG areas
- Oversight of Line of Business and Support Area compliance with corporate impact mitigation strategies
- Regulatory assessment experince
- Proven track record managing projects and/or staff
- MBA/ JD/CPA
- Solid understanding of regulatory agencies (e.g., FINRA, SEC)
- Strong analytical, organizational and project management skills with experience managing rules, regulations and policies implementation resulting from new statutes across various products/business lines
- Project/Program Management
- SOX and SOC1 experience
- Strong track record of execution, overcoming huddles and driving results
- Six Sigma, LEAN, strategy, business process re-engineering, management consulting (internal or external)
- Audit experience leading staff through rules, regulatory audit. Experience includes auditing business process and product function, ensuring adherence to process document or policy statement
- Experience in applying regulations including process documentations (SOPs) and leading compliance training (A Plus)
27
Risk & Control Manager Resume Examples & Samples
- Minimum of Four years proven and broad based risk experience or equivalent
- Excellent working knowledge of risk management principles
- A track record of delivering complex programs and projects
- Demonstrated ability to assess risk trends
- Excellent written and verbal communications skills, strong interpersonal skills, proven analytical and root cause analysis capabilities, proven leadership skills
- Bachelor's degree or equivalent experience
28
IPB Risk & Control Manager Resume Examples & Samples
- Bachelor's degree or above
- Experience with consumer banking, regulatory, risk and control
- Excellent written and spoken English and Chinese language skills
- Proactive and excellent interpersonal skills
- Able to work with a minimum level of supervision
- Can work well under pressure and multi-task with a sense of urgency
- Proficient in use of MS Office including: PowerPoint, Excel and Words
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BU Risk & Control Manager Resume Examples & Samples
- This position can be responsible for leading multiple key and high impact projects in functional areas. These include Internal Audit Relationship and Testing Management, , SSAE16 SOC1 Management, SSAE16 SOC1 scope expansion projects, SSAE16 SOC2 Management, FICCA implementation, or SOX (Sarbanes Oxley)
- Establish an integrated and collaborative relationship with 2nd and 3rd line of defense partners (Risk, Compliance, and Audit) to ensure continued focus, successful closure, and successful remediation of issues
- SSAE16 SOC1/SAS70, SOX, or FICCA experience
- MBA, JD, CPA, and/or CIA
- 5-10 years of accounting, business process re-engineering, Internal Audit or financial audit experience
- Project/Program Management experience
- Experience managing a team testing SOX, FICCA, and/or SSAE16 SOC1/SAS70
30
BU Risk & Control Manager Resume Examples & Samples
- 5 – 10 years extensive knowledge and understanding of risk identification, business continuity, supplier risk, risk management, KRI’s, compliance practices and principles
- Comfortable communicating with all levels of the organization (written and verbal)
- Analytical thinker with the ability to multi-task and prioritize
- Attention to detail, planning and follow-up
- Knowledge of Internal Controls Project/Program Management SOX and SOC1 experience
- Experience with Risk identification, Process Improvements and Reengineering Six Sigma, LEAN
31
Business Risk & Control Manager Resume Examples & Samples
- To enhance the control environment within the Private Bank and to maintain processes to address the variety of internal and external control policies the business has to comply with
- Assess the business needs, design appropriate control processes and implement and manage continued compliance with those processes
- Execution and oversight of the Private Bank’s Risk & Control Self-Assessment processes
- Execution and oversight of controls testing activity across a variety of processes for the Private Bank
- Execution and oversight of the Key Risk Indicator and Key Operational Risk processes
- Causal analysis and remediation of control weaknesses or errors identified through the risk and control assessment processes or through operational losses or risk events
- Oversight of material areas of risk and control, including KYC, AML, Cross-Border, Sales and Suitability
- Maintain risk competence and skills across the Front Office population
- Management and co-ordination of the broader control function risk management agenda, working closely with partners in Legal, Risk and Compliance
- Working closely with Bankers, Business Managers and Senior Managers to embed a robust culture of internal control
- Supporting the execution and co-ordination of the Internal and External audit agenda
- Supporting the commercial implementation of all Citi wide policies and procedures in the Private Banking business
- Monitoring and tracking corrective actions plans, overseeing appropriate and on-time remediation of risk issues
- Preparation of Business Risk management information, including presentation of risk MIS to key governance committees
- Delivering process and control deep dive review activity as required by the Head of Business Risk and Control
- Supporting the execution and delivery of the Records Management agenda, including liaison with Group function, co-ordination of records management work programmes
- Fraud Management programme oversight, liaison with Group Fraud function, reporting of Fraud Incidents
- Experience in implementing operational risk management tools, frameworks and processes
- Awareness of relevant UK / Swiss / EU regulation and regulatory frameworks would be beneficial
- Ability to work well in a cooperative, high energy, matrix managed business
- Ideal candidate will have 5+ years experienceyears’ experience of business, process and risk management in financial services
- Efficient and effective use of office software (including spreadsheets and databases)
- Awareness of Information Security practices and practices
- Business continuity planning skills
- Strong stakeholder management (building relationships, influencing and challenge)
- Project management skills for the implementation of complex business solutions
- A professionally recognisedrecognized controls based background in compliance, financial control, internal auditing, Risk Management, Information Risk management or similar
- A sound understanding of processing within a complex systems environment
- Dedicated
32
Citibank Berhad Kl-risk & Control Manager Resume Examples & Samples
- Experience in the risk & control background would be an added advantage but not a must
- Ability to take raw data, translate it into meaningful information and present it clearly
- Provide in-depth and sophisticated analysis with interpretive thinking to define problems and develop innovative solutions
- Fluent in English with demonstrated strong verbal, written and interpersonal communication skills
33
Risk & Control Manager Resume Examples & Samples
- Integrate the loss forecast, risk appetite and LLR processes
- Work with the policy teams to size and track initiatives and incorporate in the loss forecast and risk appetite
- Evaluate accuracy of the forecast and drivers
- Integrate with the Global Experience teams to identify risk, assess controls, and work with the business to close control gaps through root-cause analysis and control design
- Document processes, risks, and controls, assess level of risk, and assist with developing testing and monitoring
- Influence necessary improvements where controls are deemed insufficient
- Gain insight into business practices and processes through discussion, meetings, process reviews, and other mechanisms
- Provide risk/control guidance through formal and informal mechanisms
- Communicate control-related requirements, industry guidance, and new/updated policies and processes
- Solid interpersonal skills and ability to work in a fast paced team environment
- Able to build strong partnerships with Business managers
- Possess the ability to review complex processes and identify control gaps and help proactively develop solutions
- Can clearly articulate the processes supporting a business unit and their associated risks and key controls, as well as provide the Business with guidance for solutions to enhance their controls
- Innovative and creative; experience with process reengineering
- Able to work in with little guidance in an ambiguous environment
- Ability to translate between technical and non-technical people
- Possess an innovative, problem-solving, and solutions-oriented mindset
- Practical problem solving and strategic thinking skills
- Resourceful, self-starter
- Able to multitask and complete projects on time
- Strong audit / control expertise including a strong understanding of banking laws and regulations
- Four -year degree in analytical discipline (computer science, business, data analytics, etc.) from an accredited university or college or equivalent work related experience
- Three to five years’ experience in control assessment reviews, auditing or quality control
- Experience in MS Office applications, particularly Word, Excel, and PowerPoint
- Financial service industry preferred
- Process reengineering, software development, project management, or digital marketing experience a strong plus
- A working knowledge of related government and regulatory laws and regulations; in particular, consumer regulations, anti-money laundering, and knowledge of financial services is a strong plus
- Certified CISA, CRISC, CPA, CCSA, CRMA, ACAMS, a plus
34
MYS Ctsm Kl-aml Risk & Control Manager Resume Examples & Samples
- Validating that the procedures, tools and training in place in the hub meet policy and control recommendations
- Assist the Risk & Control Senior Manager in managing Service Level Agreements (ICSAs and PLSDs) to ensure AML hub operations comply with agreed business SLAs and confidentiality standards
- Facilitating communications with the Business and Compliance
- Managing deliverable requests from the regulators/auditors relating to quality assurance; collecting information and documentation in a timely manner, tracking and documenting requests and responses
- Assist the Risk & Control Senior Manager in compiling, preparing and responding to findings raised during internal business reviews, audits, exams and MCA tests
- Assist the Risk & Control Senior Manager to maintain appropriate record management, Infosec and COB processes and controls
- 5 - 8 years working experience, preferably in AML or Banking Operational Risk and Control
- Must be Computer Literate
- Banking/Finance/Business background
35
Risk & Control Manager Resume Examples & Samples
- HS/GED required. Bachelor’s degree or equivalent experience highly desired
- Proficient in MS Office applications (Word, Excel, PowerPoint, SharePoint, and Outlook)
- Extensive knowledge and experience with global data privacy laws and basic information security principles
- Exceptional written and interpersonal communication and organizational skills
- Ability to express complicated legal and regulatory concepts in a clear and understandable fashion
- Sound judgment, decision making, and critical thinking skills
- Being a self-starter and motivated to offer innovative solutions and create quality results
- Proven experience managing large, complex programs/projects
- Ability to multi-task, prioritize, and respond to time-sensitive requests
36
O&t-enterprise Risk & Control Manager Resume Examples & Samples
- University graduate with 5 years of working experience
- Sound knowledge on banking policies and procedures
- Experience working with banking operations field is preferred
- Able to work independently and under pressure
- Knowledge of Word and Excel is essential
37
Fair Lending Ops Risk & Control Manager VP Resume Examples & Samples
- Strong leadership, communication and relationship building skills with proven ability to influence leaders of all levels
- Proven ability to problem solve critical issues and conduct root cause analysis to understand the essence of key issues and ability to find solutions
- Identify opportunities and provide recommendations to improve the process
- Analyze and apply Policy requirements to existing proposed procedures and processes
- Manage multiple priorities and projects
- High degree of initiative
- Prioritize goals and meet business objectives
- Proven interpersonal effectiveness and ability to collaborate and work well with all levels of Management and across organizational boundaries
- Team player; ability to successfully partnering with colleagues across the organization
- Ability to work independently to deliver assigned tasks on time with minimal oversight
38
Global Risk & Control Manager Resume Examples & Samples
- Support the design and implementation of tactical and strategic solutions to enhance the ABC and Fraud program and remediate program weaknesses
- Assist and support the Global ABC/Fraud Functional Head with developing a robust risk assessment capability for the ABC and Fraud programs
- Assist and support the Global Head with the strategic direction of the ABC/Fraud programs by identifying potential bribery/corruption and fraud risks
- Primary liaison with internal and external audit groups in review of ABC/Fraud programs
- Supervise ABC audit closures to ensure target dates are timely met and sufficient documentation is provided to evidence closure. Coordinate deliverables required for the exam and track management action plans across regions
- Provide information on risks and controls in response to regulatory requests
- Assist Global R&C in Frankfurt in designing the global ABC and Fraud risk assessments, contribute to RA methodology, execution, and socialize results with global ABC organization
- Identify and map global business line processes, identify inherent risks and controls, determine residual risks and determine program enhancements to address all high residual risks
- Establish testing parameters to ensure effective implementation of global ABC/Fraud global program initiatives to drive consistency in application across regions
- Support Global Assurance Program safeguard and control implementation, quality assurance and producing evidentiary support
- Liaise with global and regional ABC/Fraud staff to communicate key risk findings and emerging trends in an effort to drive Program regionally
- Matrix supervision of ABC/Fraud risk and control professionals dedicated to the regions
39
Risk Control Manager Resume Examples & Samples
- Trains and supports operations in injury and accident investigation techniques
- Analyzes factors that may create injuries, accidents, accident conditions, or enable multiple accidents. Identifies potential high risk accident situations and assists various departments in the implementation of control strategies
- Monitors adherence to the DC’s Safety programs, practices, policies, and procedures that cover a wide range of Company & Regulatory agency required activity
- Acts as primary interface with groups such as government agencies or insurance companies. Represents the Company's interests as directed and approved at regulatory agency proceedings
- Develops, requests and reviews accident statistical reports to focus efforts on injury trends and corrective actions
- Communicates control issues and objectives to distribution associates
- Coordinate services of the worker’s compensation claims administrator, property and liability insurance consultants, and a wide variety of state and federal regulators
- Implements corporate directives related to and including ergonomic observations, hazard assessments, approved practices, data analysis, and metrics analyses
- Manages the employee return-to-work program and medical case management programs
- Develops, facilitates and coordinates applicable training programs. Monitors training of new associates with respect to safety policies and procedures
- Four year degree or equivalent experience required
- Professional certification, such as GSP, ASP, CSP and/or ARM preferred
- 5 to 8 years experience administering Injury and Illness Prevention Programs (IIPP), Occupational Safeway and Health, and Food Safeway and Environmental Affairs
- Broad working knowledge of federal, state, and local safety, health, environmental, and worker's compensation laws and regulations
- Very good knowledge and understanding of Workers’ Compensation and Public Liability Claims required
- Strong interpersonal and team building skills
- Knowledge of medical, legal, and hazardous chemical terminology
- Knowledge of industrial security best practices and procedures preferred
- Ability to work a flexible work schedule
- Excellent PC skills required
- Able to work independently with a strong sense of urgency and business orientation
- Powerful problem analysis, problem solving, follow-through and delegation skills
- Proven ability to effectively communicate with all levels of management and provide superior customer service
40
Risk Control Manager Resume Examples & Samples
- Develops, introduces, implements, and monitors programs and practices designed to minimize exposure to risk and the associated expense. Works diligently to prevent exposure to future risks, and manages costs associated with claims that are in progress
- Trains and supports operations to ensure quality injury and accident investigation techniques are utilized
- Develops, introduces, implements, and monitors adherence to the DC's Safety programs, practices, policies, and procedures that cover a wide range of Company & Regulatory agency required activity
- Communicates risk control and safety issues and objectives to distribution associates
- Works closely with 3rd party worker's compensation claims administrator interacting on a frequent basis to provide assistance in managing claims. With proper controls in place, collaborates with claims administrator to provide claim settlement authority
- Manages the employee return-to-work programs, modified duty programs, and medical case management programs
- Works closely with property and liability insurance consultants, coordinating inspections, evaluating recommendations, and ensuring completion of agreed to recommendations
- Works closely with a wide variety of state and federal regulators
- Ensures Distribution Center security program has necessary controls in place to provide a safe and secure workplace
41
Rohq-mbcs-regional Risk & Control Manager, VP Resume Examples & Samples
- A minimum of 10 years of experience in financial services Operational Risk Management, including CoB, Fraud and related disciplines
- A strong understanding of MSS business fraud schemes, associated processes and controls
- Bachelor’s degree or equivalent experience is required
- Strong Microsoft Office Suite, Excel, Word, PowerPoint and SharePoint skills
- Ability to interact successfully with multicultural/virtual teams
- Sound knowledge of COB planning and test execution
- Prior involvement in Financial Crimes workgroups and/or associations (such as CFE, CAMS, CISSP or similar)
- Highly motivated, and able to self-identify emerging issues and develop responses
- Ability to prioritize multiple tasks based on materiality
- Strong knowledge of financial products, fraud risks and trends
- Able to multitask by carrying a diverse and complex workload
- Possesses creativity and uses initiative, is able to develop new processes towards improvement of fraud risk management, business continuity practices, privacy protection and third-party risk management
42
Risk & Control Manager Resume Examples & Samples
- Lead and manage a team to ensure technology risks are identified and managed in line with Barclays risk and control frameworks and business risk appetite, adopting advanced tools and techniques to facilitate data analytics
- Provide governance and guidance to ensure compliance with Barclays Group and local risk and control Technology policies, standards, frameworks and procedures across all Business Units
- Report on the performance in achieving effective management of Technology risks and controls to the regulator and Barclays Senior Management
- To influence the leadership and governance strategy around Global Technology risk and control processes
- Meet the needs of key internal and external risk processes, reporting schedules, stakeholders and regulatory authorities
- Manage key senior stakeholders in areas of business and IT risk across all Barclays Business Units
43
Risk & Control Manager Resume Examples & Samples
- Leads, partners, educates, and collaborates with business/function for assuring full and sustainable remediation of federal regulatory issues prior to submission to Internal Audit
- Works proactively with the business lines/global functions/HTS senior management, Business Risk Control Managers (BRCMs), Regulatory Liaison Office, Internal Audit and Compliance to ensure that remediation action plans are defined and executed to address root cause of the failed or missing controls balancing a sense of urgency with high quality, sustainable implementation that meets regulatory expectations
- Develops and maintains appropriate procedures and reporting for area(s) of responsibility, with minimal supervision
- Support the Business Unit / Function to identify Assurance Lead and provide guidance on assurance approach and activities
- Review and challenge root cause of failed or missing controls as identified by Business Unit / Function
- Ensure that date changes for past due or projected past due items are re-forecast and that appropriate approvals are received before due dates are changed
- Provide credible challenge throughout the remediation process
- Collaborate with the issue owner on BAU monitoring to demonstrate sustainability
- Enable enterprise-wide controls initiatives integration (process and tool) efforts and drive required culture and behavior changes across all three lines of defense—top-down and bottom-up approach
- Communicates effectively and professionally, and conveys the key information needed to ensure compliance goals are met
- Strong background in operational risk management and deep internal control understanding, continuous quality improvement organizations, or equivalent
- Minimum of seven years proven audit, compliance, financial services operations and/or regulatory experience, or equivalent
- Well-developed communications, negotiation, analytical, organizational, project management, and strategic and/or operational planning skills
- Supervisor/management experience preferred
- Minimum of a Bachelor’s degree in business, related field or equivalent experience; Master’s Degree preferred
44
Risk Control Manager Resume Examples & Samples
- Develop highly motivated team maintaining excellent relationships with own team and wider team to ensure achievement of business goals
- Help identify training needs to the Risk Control Unit (RCU) to improve performance
- Act as a role model and drive proactive application of Barclays Behaviors throughout the team
- Work closely with the Relationship team and Credit team to ensure effective management of day to day staff resources to ensure that procedures and processes are followed as per RCU standard operating manual, that appropriate support is provided to the RM’s and that added value is provided where possible
- Processing all transactions by adhering to Group Policies and regulatory requirement so that neither the Bank nor the Customer is at risk
- To ensure that interest rates, earmarking, reallocation and reinstatement of limits are correctly loaded at account level as well as in master level in line with approved terms and conditions
- To maintain and authorize customer profile data e.g. credit grade, review date, BIC code etc…in the system (maker/checker)
- To verify unauthorized transactions on a daily basis
- Assist S. Manager in conducting UAT for any new projects & also assist to do cleanup projects
- Ensure a consistent quality of service to RCU stakeholders
- Work in partnership with Credit team/ Relationship Managers on new and existing customers to ensure perfect Limits loading & monitoring according to sanction requirements
- Work in partnership with colleagues and proactively anticipate, respond to and seek to exceed the expectations of customers
- Attend meetings with the Corporate Credit Managers / Relationship Managers / Security if problem related issues are to be discussed / need to be resolved
- Support the S. Managers and Head of RCU in delivering effective PD’s for individuals within the team
- Owner of the RCU Information Management Risk control(IMRC) function and its relative monthly/Quarterly/Annual reporting
- Participate & encourage team in team activities, social occasions and community drives
- People & Performance management
- Workflow management
- High level of numeracy to evaluate complex statistical financial information
- Interpersonal & People management, team building and Leadership skills
- Communication including negotiation skills & Presentation
- Time Management
- PC skills
- Judgment & Decision making Skills
45
Risk Control Manager Resume Examples & Samples
- A detailed knowledge of Trade products and Trade Processing Lifecycle
- Must have CITF qualification or be prepared to undertake this within 12 months of being in the role
- Minimum of 3 years' experience in a Trade of Specialised Product environment
- A detailed knowledge of Financial Crime regulations in regards to Trade Business
- A detailed knowledge of risk management frameworks
46
Infrastructure Access Risk & Control Manager Resume Examples & Samples
- Taking ownership and managing Information Technology (IT) infrastructure access risks, relating to Vendors, 3rd parties and infrastructure components
- Conducting and documenting multiple infrastructure focussed risk and control assessments
- Assisting with adhoc Audit (internal and external) queries, and management action plan development and monitoring
- Establishing and building relationships with multiple project work streams and Project Managers
- Establishing and building relationships with Operational Risk Management
- Advising and leading Project Managers and Programme Leads, on tactical and strategic solutions to issues with a focus on reducing risk
- Managing issues and actions through to closure in line with agreed target dates
- Providing Management updates on progress, escalations or new issues
- Representing Technical Access Management (TAM), with Global Technology business and stakeholder
- Driving best practise approaches in the Bank, to ensure infrastructure access controls are understood and adopted
- Ensuring projects take a transparent risk based approach that will satisfy regulatory and audit teams
- Managing global project teams consisting of Vendor Staff, Contingent Workers and Internal Staff
- Creating or contributing to appropriate project artefacts including project plans, milestones, measures, budgets, team and stakeholder communications, resource and time management
- Actively applying your own judgment and knowledge, to articulate project/programme risks and apply mitigating actions
- Proven experience in information security risks and controls
- Proven experience in information security projects, with exposure to regulatory/risk/group audit drivers
- A proven awareness of regulatory publications on privilege access
- Proven experience setting and working with aggressive project deadlines, with the ability to prepare robust visual management reporting decks i.e. at steering committee levels
- Proven skills in documenting information security processes or high level solution designs
- Proven experience in information security environments, either with a privilege access focus or identity and access management concepts
- A Bachelor Degree from an accredited college or university, and/or relevant practical experience
- Experience of working with third party vendors
- Numerous years experience in IT within large corporate environments, specifically in the area of financial/accounting departments
- Strong communication skills, with fluency in English
- Able to lead a team of peers with limited guidance
- Able to work with global teams
- Organised with excellent problem solving and time management skills
- Able to assess issues and suggest corrective actions
- Able to escalate effectively when needed and withstand pushback
- Able to work in global virtual teams and in a matrix organisation
47
Recovery Risk & Control Manager Resume Examples & Samples
- Prefer audit or quality control experience
- Current or recent people management experience highly preferred
- High Attention to detail and quality within work
- Proficient Sharepoint and Excel knowledge as well as general PC Skills
- Effective Interpersonal and written and verbal communication skills
- Independent thought/objectivity
- Ability to learn multiple processes quickly
48
Risk & Control Manager Avp-month FTC Resume Examples & Samples
- Provide management oversight to the Dublin Risk and Control Team by providing the required support and guidance
- Provide SME oversight to global R and C teams by providing the required support and guidance to ensure the controls are maintained
- Working in collaboration with our technical partners and architects to ensure the technical strategy delivers against our business needs
- Coordinate new reconciliation set up with the Change Management Team
- Monitor MIS (NBSER) to measure and track overall process integrity
- Ensure the key controls associated to our reconciliations are maintained and where necessary new/enhancements identified
- Work with the GRU architecture team in driving the improvements across our reconciliation platforms so as to deliver
- Extensive years of experience in reconciliations and / or internal control and risk oversight
- Experience in managing a team of 5+ people
- Real world experience in analysis, design and implementation reconciliation
- Strong academic background with minimum of bachelor’s degree
- Experience with vendor control applications, TLM/Recon Frontier preferred
- Experience with SWIFT, money transfer, and cash management systems experience a plus
- Knowledge of US/UK Money Markets and Banking regulations a plus
- Team player, ability to lead initiatives
- Strong relationship building skills across all management levels
- Analytical with attention to quality and strong problem solving skills
- PC literate, including familiarity with Excel and MS Outlook applications. Database applications a plus (Business Objects, MS Access)
- Sustained record of achievement and leadership experience
49
AML M&I Risk & Control Manager Resume Examples & Samples
- Provide support to AML M&I R&C Management on a variety of Risk & Control activities
- Develop scenario specific controls assessment framework by working closely with the regional hubs
- Ensure successful ongoing operational implementation of Citi’s enhanced controls assessment framework, Manager’s Controls Assessment (MCA)
- Work closely with the regional and country Business Recovery Coordinators (BRCs) to design and implement programs and controls to mitigate Continuity of Business (CoB) risk
- Work closely with the regional and global stakeholders to assess the Fraud Risk in AML M&I operational environment, design and implement programs and controls to mitigate Fraud Risk
- Work closely with the regional AML M&I teams to thoroughly understand the business processes, dependencies and drive the initiative globally to develop and implement global risk and control baseline for all new core AML M&I processes
- Work closely with the global teams to ensure on-going effectiveness of controls globally and develop, maintain a global controls library to proactively manage risks in AML M&I
- Evaluate synergies among various risk assessment processes and drive efficiency towards establishing a straightforward risk management approach
- Work closely with the Corporate Risk Management team (ORM) in development and consistent implementation of strategic risk and controls assessment process and tool across AML M&I globally
- Independently assess the effectiveness of control and determine the potential impact of any control failure and the corrective action required to mitigate the risks
- Work with regional team, the Business Information Security Officer (BISO), BRCs, FROs and MCA Coordinator to perform reviews and provide feedback on the adequacy and compliance status of controls
- 3+ years leadership / management experience
50
Business Unit Risk & Control Manager Resume Examples & Samples
- Facilitate and lead risk mitigation strategies, develop appropriate controls to proactively prevent and detect risks
- This position will be responsible for leading multiple key and high impact efforts related to logical security. This will include
- 5 – 10 years Extensive knowledge and understanding of risk management and compliance practices and principles, including experience with internal or external audit, regulations, internal controls assessment and change management
- Experience with Risk identification
- Experience in Information Technology General Controls. Significant experience in Logical Security Access Management control environments
- MBA, JD, CPA, CISA, and/or CIA
- 5-10 years of accounting, business process re-engineering, Internal Audit, or financial audit experience
- Significant experience leading, developing, or overseeing controls for Logical Access Management in Financial Services
- Strong ability to influence others and lead independent of direct supervision. Consistently exemplifies cross-company collaboration and partnership
- Excellent EXCEL, PowerPoint, Word and Visio skills
- Analytical thinker with the ability to multi-task and prioritize; attention to detail, planning and follow-up
- Ability to influence upwards and downwards to accomplish critical tasks
- Project/Program Management experience
- Experience SOX, FICCA, and/or SSAE16 SOC1/SAS70
- Strong track record of execution, overcoming hurdles and driving results
- Process Improvements and Reengineering
- Six Sigma, LEAN, strategy, business process re-engineering, management consulting (internal or external)
51
CRS Risk & Control Manager Resume Examples & Samples
- Manages on-going risk & controls which include
- Completion of CRS Manager’s Control Assessment (MCA) Program to evaluate controls; identify weaknesses; recommend procedure / process improvements; document results in Citi systems
- Provide risk & control oversight and inputs, in support of the CRS MCA Program
- Perform pre-scribed independent testing for specific CRS countries; identify weaknesses; recommend procedure / process improvements; document results
- Overall awareness of control environment; identify the need of ad-hoc control reviews; perform such reviews
- Identification, wording, monitoring and reporting of control issues and corrective action plans (CAP) for detected weaknesses; follow the CRS Global Issue Management program, coordinate issue resolutions or provide support operational teams in the same as applicable
- Risk & Control guidance and assistance to Country teams during the resolution process of CAPs
- Identification, consolidation and reporting of monthly Operational Loss data
- Coordination and timely reporting of monthly updates on Corrective Action Plans and Operational Losses to the appropriate systems for the EMEA region
- Liaise with CRS Cluster/Country Heads to ensure their awareness on any issue or change in the control environment affecting their areas of responsibilities
- Support R&C colleagues and act as their backup when required
- Policies & procedures activities including
- Consultant on all corporate and CRS policies and procedures; providing direction and guidance to CRS staff
- Report any information necessary for Senior Management reporting, e.g. weekly control updates, control dashboard, regional MOR, global MOR etc. Ensuring materials are submitted on time and in accordance with requirements
- Supports Country teams during internal control reviews, internal audits (IA) and local regulatory reviews; ensuring quality and timely provision of deliverables; interfacing with audit
- Provide solutions in compliance with Citi policies and procedures
- Attend regular / ad hoc conference calls; ensure effective communication and follow ups
- 5-8 years of total work experience
- 2-3 years of min. experience in compliance or other control related function with operations
- Finance-related control experience is a plus
- Understanding of Internal Control, Audit and Operational Risk requirements
- Experience of working in international environment
- Strong command of English, both spoken and written
- Knowledge of process mapping and auditing techniques a plus
- Good IT skills covering Microsoft Office products
- Economics, Legal, Accounting or Finance Degree desirable
52
Business Unit Risk & Control Manager Resume Examples & Samples
- Facilitate and lead risk mitigation strategies, develop appropriate controls to proactively prevent and detect risks
- Experience in Information Technology General Controls. Significant experience in Logical Security Access Management control environments
- MBA, JD, CPA, CISA, and/or CIA
- 5-10 years of accounting, business process re-engineering, Internal Audit, or financial audit experience
- Significant experience leading, developing, or overseeing controls for Logical Access Management in Financial Services
- Strong ability to influence others and lead independent of direct supervision. Consistently exemplifies cross-company collaboration and partnership
- Comfortable communicating with all levels of the organization (written and verbal
53
Business Risk & Control Manager Resume Examples & Samples
- Substantial experience in Banking, risk management and / or internal audit
- 10+ years' experience
- Sound verbal and written communication skills
- Technical understanding of pertinent business areas and Group requirements as detailed in Group Standards Manuals, Functional Instruction Manuals (FIM), and local standards
- Audit, Risk, Compliance or Finance professional designation
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In Business Risk & Control Manager Resume Examples & Samples
- The coordination of country risk control committees required for country franchise coverage,
- Provision of oversight of offshore businesses operating through the Hub managed entities including the oversight of outsourced functions of the managed entities,
- Identification, resolution and tracking of issues,
- Design and coordination of Self-Assessment exercises (MCA) for country franchise view,
- Support audits impacting the Hub,
- BA/BSc Management/Economics/Accounting/Engineering
- Project Management certification/Chartered Accountant desirable / not limitative
- Previous experience desired to perform this job
55
AML Risk Control Manager Resume Examples & Samples
- 10 or more years of operations experience in the financial services industry
- Five or more years of supervisory/management experience
- Superior knowledge of operation functions, systems, policies and procedures for the assigned area
- Excellent organizational, managerial and project management skills
- Ability to manage multiple tasks/projects and deadlines simultaneously
56
Risk Control Manager Resume Examples & Samples
- Trains and supports operations in accident investigation techniques
- Analyzes factors that may create accidents, accident conditions, or enable multiple accidents
- Identifies potential high risk accident situations and assists various departments in the implementation of control strategies
- Acts as primary interface with groups such as government agencies, insurance companies, etc. Represents the Company's interests as directed and approved at regulatory agency proceedings
- Communicate to distribution associates risk control issues and objectives
- Coordinate services of the workers’ compensation claims administrator, property and liability insurance consultants, and a wide variety of state and federal regulators
- 5-10 Years of risk control and/or food safety experience
- 2-5 Years of management experience
- Broad working knowledge of federal, state, and local safety, health, environmental, and workers’ compensation laws and regulations
- Excellent PC skills required including Microsoft Access
- Proven ability to effectively communicate with all levels of management and provide superior customer service required
57
IT Risk & Control Manager Resume Examples & Samples
- Capturing data in the form of process maps and meeting notes and share key information with colleagues/ team leader
- Designing and facilitating overall risk and control processes – governance, policy development, compliance management and control visits
- Influencing the integration of Group Risk & Control initiatives and processes into the division specific framework
- Evaluation and overall design of risk and control programmes in line with the defined risk and control strategy and risk tolerance
- Spearheading independent reviews, prioritising identified issues and assesses remediation actions for quality
- Leadership skills specific to technical information security issues as well as an understanding of the financial services industry business processes and regulations
- High level communication skills to successfully translate technology and security requirements into business terms and influence senior business and IT leadership on a regional basis
- CISSP (Certified Information Systems Security Professional) or equivalent
- CISA (Certified Information Systems Auditor) or equivalent
- 6-Sigma Green Belt Certification, preferred and COBIT, ITIL, ISO27000
- CISM/PMP/MCP or any other QA certifications are desired
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Risk Control Manager Resume Examples & Samples
- Ensure all oversight obligations (i.e. OCC, CFPB, CAS, CQA, CRA, Fair and Responsible Banking, CRMG, SOX, etc.) planned and unplanned exams are handled timely and accurately. Includes understanding exam scope, developing and providing responses, coordinating with SME and other business lines as needed for additional detailed information and maintaining a repository which assists in a sustainable Risk Control environment
- Liaison with Corporate Compliance, Fair and Responsible Banking and other internal oversight groups
- Manage and support Operational Risk Management (ORM) quality control program including Compliance and Operational risk categories
- Support new corporate initiatives/heightened expectations which continue to expand in volume, scope and complexity
- Management of RPS Risk and Collections change control processes, ensuring compliance of established procedures
- Ongoing creation, support required enhancements, maintenance and annual certification of RPS Risk Procedures including adherence to RPS procedure standards
- Manage first line issue management (CIT) submission through resolution
- Assist with resolution of RPS Risk Management customer complaints
- Ten or more years of financial services experience required, preferably in a Risk Management, Operations, or Quality Assurance capacity
- Effective interpersonal, verbal and written communication skills
- Strong project management and organization skills. Must be detail oriented
- Ability to manage multiple tasks/projects and deadlines simultaneously with limited supervision is essential
- Understanding and practical application of applicable laws, regulations and exam practices
- Basic knowledge of Risk Management and Credit Card lifecycles
- Basic knowledge of information systems (ACAPs and Account Management platforms TRIAD, ICS)
- Expert knowledge of risk management associated with the assigned product lines
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Risk & Control Manager Resume Examples & Samples
- 7+ years experience in Risk & Control / Ops Risk
- 3+ years leadership/management experience
- Risk/Operations /Management Experience
- Awareness of AML regulations and banking products
- Computer Literacy
- Excellent influencing and team coordination skills
- Bachelors Degree or equivalent experience / Masters is a plus
- Banking / Finance / Business background
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KYC Ops Risk & Control Manager Resume Examples & Samples
- Oversight and development of Markets KYC Risk & Control Framework
- Co ordinate risk and control issues, audits, corrective actions for the region and represent the region in global forums
- Liaison with Compliance Department and the senior management within Business units supported
- Implement process enhancements to improve turnaround time of client on boarding experience
- Manage the Markets Policy Governance Process; including Policy development, standardization, awareness, implementation assistance, and enforcement of related policies across the region
- Review process changes/implementation which may impact controls and provide approvals – e.g. control change and new process acquisition in line with Citi Policy
- MIS reporting to senior management
- Monitoring and oversight of all Manager Control Assessments and Key Risk indicators
- Complete targeted process reviews of emerging risks, new functions and high risk areas
- Review and validate corrective actions implemented, and liaise with appropriate groups to ensure timely closure
- Develop methods to make the Risk and Control team more efficient and ensure local processes are considered in global initiatives
- Oversight the Markets KYC Contingency planning framework ensuring plans are executable, documented and tested
- Oversight the Markets Information Security framework ensuring compliance with Information Security Policy
- Risk & Controls, Audit or Operations experience
- Excellent knowledge/understanding of control environment,
- Experience of working within a regulatory/control environment, preferably in a supervisory capacity or with ownership of a KYC/AML related project
- Experience in policy reviews & implementation at a global level
- Regulatory concepts and other key areas of risk within the operations and data environments
- Ability to perform Annual Risk Assessments/ Manager Control Assessment reviews and identify issues/ gaps
- Experience in interacting with Auditors, Compliance and Independent Controls Groups
- Ability to manage control practices demonstrating a risk based approach
- Good knowledge of MS Office Suite, including proficiency in Excel
- Strong leadership and teamwork skills in a local setting, as well as across different geographic locations
- Must possess good communication skills
- Strong organisational skills with excellent attention to detail
- Ability to focus on high quality work while under pressure
- Strong influence/negotiation skills
- Good academic qualifications would be desirable, strong control background and / or experience, operational reference data advantageous
- Financial services related qualifications would be advantageous (e.g. IAQ or similar)
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Risk Control Manager Resume Examples & Samples
- Analyzes factors that may create accidents, accident conditions, or enable multiple accidents. Identifies potential high risk accident situations and assists various departments in the implementation of control strategies
- Monitors adherence to the DC’s safety programs, practices, policies, and procedures that cover a wide range of Company & Regulatory agency required activity
- Develops, requests, and reviews accident statistical reports to focus efforts on injury trends and corrective actions
- Communicates to distribution associates risk control issues and objectives
- Coordinates services of the worker’s compensation claims administrator, property and liability insurance consultants, and a wide variety of state and federal regulators
62
Risk Control Manager Resume Examples & Samples
- Manages Single Family Gateway program, including leading internal change management meetings
- Manages Corporate Gateway responses for the department, obtaining
- Manages the reporting of operational losses in accordance with corporate standards
- Prepares risk assessments of new product and technology proposals and coordinates with business units SMEs and single family compliance on their reviews
- Manages flow of department audit responses and reviews audit responses for accuracy
- Reviews departmental remediation plans to assure accuracy and timely completion
- Contributor to developing Single Family Risk control processes and reporting
- Oversees single family SOX control point reviews
- Designs Risk Oversight Committee reporting with input from Senior and Executive Single Family Department and Corporate Management
- Manages preparation of risk assessments of new product and technology proposals, coordinating assessments from various functional areas
- Oversees the quarterly Credit Early Warning Indicators and prepares the Summary of risk, recommending changes as appropriate to Department Senior and Executive Management
- Monitors the Single Family and Home Equity portfolios
- Analyzes manufacturing defects and credit defaults for trends, recommending changes to guidelines and or processes as needed
- Minimum of 10 years as Mortgage credit or risk manager
- Experience in cross departmental change implementations is required
- Mortgage industry leadership experience is desired
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Risk & Control Manager Resume Examples & Samples
- University degree with good oral and written communication skills
- Preferred working experience relating to Global Market confirmation or Legal documentation
- Fast learner with keen eye for details and determination to follow up till exceptions are resolved
- Knowledge/familiar with BackOffice Banking Operations
- Strong Computer skills preferably with competence in Excel, Macros will be a definite advantage
- Flexible with working hours
- 5 years of experience in confirmation matching, reconciliation and proofing functions
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Risk & Control Manager Resume Examples & Samples
- Lead the strategy and execution of deep-dive testing program to proactively identify and implement control enhancements
- Provide recommendations and findings to business lines and risk and control managers
- Continually assess testing effectiveness of the existing control environment
- Ensure testing documentation and implementation to prevent issues that negatively impact Ameriprise clients and advisors. Ensure the business demonstrates accurate root cause identification, mitigation and documentation are completed for all issues
- Own and excute alignment, resolve escalated issues and provide a point of contact for business and external senior leaders. Proactively identify opportunities and recommend solutions to mitigate current and future business risk. Provide expertise to other areas for enhancement and implementation, inclusive of Self –Monitoring plans
- Initiate and/or conduct end-to-end testing program across the business and control environment. This includes reviews of larger projects that impact Ameriprise client service as well as smaller process and policy changes that are implemented on team to identify risk and recommend potential mitigation steps
- Coach and mentor other team members. Key lead on complex escalation issues. May provide direct leadership to team of risk managers and/or analysts. Serve as a key resource in special projects that have larger scale organizational impacts
- Previous Brokerage experience
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Ccb-ops Risk Control Manager Resume Examples & Samples
- Communicate and coordinate with the respective business areas to determine the testing schedule and testing scripts for all scoped in remediation plans
- Recommend control design enhancements to the business areas subject to the tests as observed during the validation process
- Public Accounting or Audit experience preferred
- Must possess strong analytical and problem solving skills to be used in evaluation and interpretation of data
- Ability to follow complex methods and procedures in diverse routine and non-routine tasks
- Experience with business applications supporting Chase and WaMu/EMC portfolios strongly preferred
- Strong communication, presentation, project management and leadership skills required
- Teamwork and collaboration expertise
- Highest level of professionalism, self-motivation and sense of urgency
- Flexible and able to work in a fast-paced environment to effectively meet deadlines, and work with minimal supervision
- Knowledge of operational processes throughout CCB strongly preferred
- Ability to coach, mentor, and develop employees
- Ability to interview, interpret, and document a process required
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Risk Control Manager Resume Examples & Samples
- Analyzes factors that may create accidents, accident conditions or enable multiple accidents
- Monitors adherence to the occupational safety practices, policies and procedures that cover a wide range of Company and Regulatory agency required activity
- Implements and maintains all Food Safety written programs in accordance to HACCP, FSMA, the Food & Drug Administration and Supervalu companywide directives
- Performs role of practitioner for all Food Safety audits (SQF)
- Responsible for oversight, and to ensure, all Food Safety and safety regulatory programs are followed by team members, visitors and contractors
- Acts as a primary interface with groups such as government agencies, insurance companies, etc
- Represents the Company's interests as directed and approved at regulatory agency proceedings
- Coordinates services of the worker’s compensation claims administrator, property and liability insurance consultants and a wide variety of state and federal regulators
- Implements corporate directives related to and including ergonomic observations, hazard assessments, approved practices, data analysis and metrics analyses
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Infrastructure Risk & Control Manager Resume Examples & Samples
- Ensure Technology Key Risk is understood, assessed, monitored and mitigated appropriately within GTIS
- Drive the Bank’s group-wide minimum control requirements within GTIS to ensure the Bank’s Technology Key Risk Policy and underpinning standards are met. Drive delivery of improvement recommendations
- Support the Director of GTIS Central Risk and Control in ensuring a Satisfactory control environment is built and maintained across GTIS
- Experience in Technology Risk Management, with proven experience in management of associated IT Operation and IT Change risks and controls
- Relevant professional qualifications (e.g. CISA, CRISC) or working towards
- Working knowledge of the Group Enterprise Risk Management Framework and internal policies and standards aligned to Operational risk
- Ability to analyse, define, manage and execute individual and inter-dependent deliverables and results driven approach to execution
- Ability to manage several activities concurrently, prioritising appropriately
- Ability to work independently on own initiative
- Track record in delivering to tight deadlines under pressure
- Experience of operating in a matrix organisation
- Knowledge of the organisational structure of Group (Second Line of Defence)
- Knowledge of functions/structures within First Line of Defence departments, for researching information, resolving queries and to ensure all necessary areas are advised of relevant information
- Financial Services industry knowledge, in particular relating to technology infrastructure
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Risk & Control Manager Wholesale Banking Resume Examples & Samples
- Coordinate with key business line contacts and subject matter experts to identify and document key risks within products, services and processes and the related controls in place to mitigate those risks
- Identify control gaps and assisting business units in remediation of gaps or issues
- Assist with the initial build-out of the Quality Assurance program which includes the design and implementation of the program and ongoing planning, scoping, scheduling, testing and reporting
- Assist with the determination of completeness of control monitoring already in place (KRIs, formal testing, etc.), and identify any gaps or issues
- Plan and development test programs tailored to specific business processes and activities
- Oversee execution of the test program. Supervise the work of QA staff ensuring tests are performed on time and in accordance to department standards
- Analyze the results of all monitoring with other members of the team to evaluate control effectiveness, perform root causes analysis for exceptions found, and identify any control deficiencies that need to be logged as issues and remediated
- Communicate findings / results to management
- Identify areas for process improvement and clearly communicate and assist in implementation, as appropriate
- Seven or more years of work experience with 3+ years of risk management, controls testing, compliance, or audit experience required. Prior Internal Audit experience is preferred
- Ability to conduct a risk assessment for a product/business area, identifying key processes, relevant risks, and rating risks levels
- Ability to understand how the key controls impact the business from an operational, accounting and/or systems perspective
- Demonstrated ability to design, implement and manage control monitoring/testing programs
- Demonstrated ability to credibly challenge and appropriately exercise authority in a collaborative environment
- Strong interpersonal skills including strong oral and written communication skills
- Ability to manage multiple tasks and deadlines simultaneously
- Certifications: CPA, CIA, CISA, CFE or related certification
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Risk Control Manager, Western Region Resume Examples & Samples
- Develop and implement safety plans, programs, procedures and trainings
- Partner with corporate, regional, and store leaders to support occupational health and safety compliance, safety training compliance, and employee injury prevention
- Investigate top department injuries, root causes, and validate or coach injury prevention actions. Document investigations in enterprise claim management system
- Review weekly, monthly, quarterly, and annual reports and analyze injury trends. Develop injury prevention strategies and communicate recommendations to key leaders
- Identify underperforming facilities, analyze trends, develop strategies, and develop facility leadership to support regulatory compliance and injury prevention
- Perform facility compliance inspections or audits, document results, and support future compliance by developing strategies, promoting training, and/or providing safety coaching
- Manage vendors and associated programs, processes or procedures, as well as act as an internal liaison for key leaders
- Provide support for environmental, property, customer incident investigation and resolution and OSHA inspections
- Support new store opening processes and remodel store activities to ensure compliance and injury prevention
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Risk & Control Manager Resume Examples & Samples
- Proven ability to develop effective action plans that balance short-term requirements with long-term perspectives and business plans and expectations
- Able to apply broad knowledge and reasoned experience when addressing complex problems and communicate a wide range of technology risk issues in the most appropriate terms to the relevant stakeholders
- Able to develop a thorough understanding of the requirements, priorities and concerns of the supported SBUs
- Able to apply internal and external knowledge and experience when assessing customer needs/solutions whilst delivering balanced stakeholder benefits
- Able to conceptualise and define both business processes controls and technology controls and identify deficiencies
- Able to overcome organisational barriers and bureaucratic practices and avoid silo based approaches
- Leads by example with the proven ability to create a climate conducive to a high performance culture
- Proven ability to cultivate a network of contacts throughout the organisation
- Able to identify and addresses inefficiencies in processes, control issues and escalate them to the appropriate levels in a timely manner
- Able to clearly define strategic issues in a fast-changing environment and effectively manage areas of ambiguity
- Ability to introduce and foster best practices and quality centric delivery across the wider BU
- Able to contribute/share new and creative ideas and innovative practices and effectively stand behind them
- Familiarity with relevant industry standard toolsets supporting Governance, Risk and Compliance processes & activities
- The ability to develop and document processes to help train new colleagues and for their broader re-use and application
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Risk & Control Manager Resume Examples & Samples
- Provide assurance to Technology Leadership regarding the design and operating effectiveness of the Technology control environment in mitigating relevant risks through a defined and agreed programme of assurance activity
- Review activities undertaken by management to remediate control gaps and provide an opinion as to whether the risk has been fully mitigated and whether the implemented controls are sustainable
- Identify, evaluate, report and escalate risks in line with Barclays risk and control frameworks, utilising relevant tools and analytical techniques
- Provide guidance to ensure compliance with Barclays Group and Technology Policies, Standards, frameworks and procedures across Business Units, Functions and Shared Services
- Report the results of assurance activities to Senior Stakeholders across Business Units, Functions and Shared Services
- Influence and support the implementation of the Technology risk strategy
- Meet the needs of key internal and external risk processes, reporting schedules, stakeholders and regulatory authorities in delivering assurance activities
- Define and agree a programme of assurance activity to validate the control environment for Technology and ensure adequate standards of risk governance and Policy/Standard compliance
- Liaise with stakeholders across the three Lines of Defence to ensure efforts are aligned and complementary
- Lead and manage a team to execute against the programme of assurance activity and deliver a clear conclusion regarding the design and operating effectiveness of the Technology control environment in line with Policy and Standard expectations and emerging requirements
- Identify and leverage appropriate data sources and analytical techniques to deliver targeted assurance
- Support the continued evolvement and embedding of the target operating model for Technology Controls Assurance team leading internal work streams to deliver
- Influence and support the implementation of the Technology Risk strategy to drive global consistancy and improvements in risk awareness and risk management capability by developing a close and trusted relationship with key stakeholders
- Maintain an independent perspective, challenging as required and setting out quantified control options and risk decision recommendations
- Set and proactively manage Stakeholder expectations to promote an understanding and achievement of risk management objectives, ensuring awareness of responsibilities regarding risk and control
- Extensive knowledge of technology risk and control including relevant tools and techniques
- Depth of knowledge of key areas in technology risk, including operations, change, security, resilience at both application and infrastructure layers etc
- Extensive knowledge and experience in one or more of the following fields IT audit, Risk and Control, IT security
- Understanding of the Banks goals, direction and strategy and how risk in Technology has an impact on the wider organisation
- Good knowledge of the Financial Services regulatory environment
- IT/Business degree or equivalent
- Specialist IT Risk Qualification e.g. CISA
- Experienced in data analytics (Tableau, QlikView etc.)
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Manager, Business Risk & Control Manager Resume Examples & Samples
- Demonstrated ability to rapidly build relationships with key stakeholders
- Crisis response and recovery
- Typically, qualifications would include an undergraduate degree in Business Administration, Information Systems or a related field. Professional qualifications in Risk Management, Audit, or Security would be an advantage to and typical for this role
- Demonstrated business knowledge, such as experience leading a P&L unit
- Strong managerial, problem-solving, lateral thinking, analytical, verbal and written communications and interpersonal skills necessary
- Excellent computer application skills
73
Risk & Control Manager Resume Examples & Samples
- 2+ years at a manager level
- 3+ years of operations management experience preferred
- 3+ years of risk advisory experience at a big 4 firm preferred
74
Risk & Control Manager Resume Examples & Samples
- To ensure that Technology Functions and sub-areas have full transparency of the risks and issues that affect each area, this allows for risk based decision making and improved focus on key areas
- Identify compliance requirements with Group and local risk and control policies, frameworks, standards and procedures, escalating issues, concerns and non-discretionary risks through agreed channels
- To provide advice, opinion, guidance and support to Tech Functions in respect of any risk and control issues, act as key liaison for audits either internal or external planned / underway
- To support project-related Operational Risk and Sarbanes-Oxley Impact Assessment (ORIAs & SOx IAs) activity within Technology Functions
- To support business-as-usual Risk and Control Assessment (RCA) activity within Technology Functions
- To support the documentation and remediation of controls for applications / infrastructure in scope of the Sarbanes-Oxley legislation
- To track and report on outstanding actions relating to audit findings, Security Non Compliances, UIA, Tech/IRM KRIs, Risk and Control Assessment findings
- To provide general governance and compliance consultancy across Technology Functions
- To ensure that activities delivered under own control are in accordance with appropriate governance, compliance and operational principles/frameworks of risk
- To proactively make recommendations re improvement to processes and procedures relating to governance and compliance, and to support implementation of those subsequently approved
- To provide advice, guidance and support in respect of audits planned / underway – to include planning, preparation, fieldwork, report production, action planning, monitoring, reporting, support of issues assurance
- To support on-going business-as-usual RCA activity, including making recommendations as to: acceptance of risk / strengthening of controls, control improvements, creation of action plans
- To provide timely advice, guidance and support to project managers regarding project risk and control management, including: liaison with internal and external teams and agencies regarding Technology Control Self-Assessment (TCSA) provision, advising and supporting TCSA preparation, and making recommendations as to acceptance of risk / strengthening of controls, control improvements, creation of action plans
- To provide advice, guidance and support to project managers re Operational Risk Impacts and Sarbanes-Oxley control impacts relating to projects, including: identification of impacts, making recommendations for control remediation, creation of action plans and sign-off of residual risk in accordance with Risk Limits of Authority
- To support activities relating to applications/services in scope of the Sarbanes-Oxley legislation, both existing and any additional applications/services as determined, including supporting the identification, design, documentation, remediation and testing of related controls and assigning responsibility for process and control ownership
- To coordinate Sarbanes-Oxley attestations, providing advice, guidance and support to process / control owners, and escalating any issues in a timely manner
- To track and provide ongoing assurance to management that outstanding actions relating to audit findings, Sarbanes Oxley control remediation, RCA findings are on-track for delivery as per plans, ensuring all are closed in accordance with established process within due dates, and to escalate any exceptions in timely manner.and strategy; quantify any financial accountability /budgetary requirements; likely timeframe of role activities; the impact of the role on the team/organisation
- A Detailed knowledge of the requirements of the Sarbanes Oxley act in term of General Computing Controls
- Knowledge of Group risk, business area risk and the Barclays Technology Governance & Assurance structure, roles and resources. This includes knowledge of the Group’s approach to risk management, and the assessment and profiling techniques used
- A good understanding of Group and Barclays Technology operational risk policies, including IT Security
- Detailed understanding of how the responsibilities of the role affect the work of others within other Barclays risk teams and the broader organisation
- Good understanding of the group operational risk framework, in particular in relation to the completion of Risk and Control Assessments
- Working knowledge of Barclays Group process risk methods and tools such as ORAC and RSAM
- Conversant with service management and delivery best practices (e.g. ITIL) and familiar with risk and control frameworks (e.g. COBIT)
- Clear articulation of IT structure and functions within Barclays and the services and product set of a Technology area
- Broad understanding of Barclays Technology strategy, design and business direction
- Good oral and written communication skills, able to articulate and clearly communicate complex concepts
- Experience of influencing decision makers and senior management
- Strong investigative and analytical skills, able to quickly identify the core issues
- Takes initiative to keep own skills up to date and maintain awareness of developments in the IT industry
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Central Risk & Control Manager, VP Resume Examples & Samples
- Manage the work programs to deliver streamlined issue management reporting to 1st line of defense
- Develop a consistent process and reporting to share lessons learned with 1st and 2nd lines of defense
- 5-10 years’ experience in financial industry risk or controls or compliance or audit functions
- Familiarity with Operational Risk regulatory requirements and industry practices
- Good analytic skills
- Strong interpersonal skills to manage relationships with Business Unit Risk Managers and other Operational Risk SME’s
- Ability to manage team to deliver results
76
Risk Control Manager Resume Examples & Samples
- Identifies, measures, and reports positions and market risks
- Reviews daily analysis of Sequent performance
- MS Excel – intermediate proficiency; MS Word, Access & PowerPoint basic proficiency
- Portfolio theory, Options theory
- Presentations
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VP-operational Risk & Control Manager Resume Examples & Samples
- Bachelor Degree in Accounting, Finance, Economics or other Business Quantitative discipline
- 5+ years of operational risk management/audit experience
- Strong understanding of control processes and procedures
- Sound analytical skills and attention to details
- Proven aptitude in internal control and operational risk management and follow through from initial set-up to operation
- Experience in financial industry and products but preferably in Compliance
- A fast-track learner, self-driven and self-motivated
- Excellent verbal and written communication skills with the ability to interact professionally with executives, managers, users and subject matter experts
- Expert level PowerPoint, Visio, Excel
- SharePoint proficiency
- Knowledge of vendor management principles helpful
- Prior experience in IT a plus
- French fluency strongly preferred
78
CRO Functional Risk Control Manager Resume Examples & Samples
- The candidate will have the following responsibilities relating to the following aspects of the role
- Lead the build out of the APAC CRO FRCO function, including build out of team in India and leading on all APAC CRO FRCO related projects and topics, as directed and guided by the global CRO FRCO lead (based in New York) and supported by his team (based in Switzerland and New York)
- Support of the core first-line operational risk and control processes, such as: driving the RCSA cycle; internal controls documentation, design, mapping & testing; internal operational risk incident analysis, tracking & reporting; out-sourcing supervision, etc
- Design, allocation, performance monitoring, analysis, support and reporting on permanent supervision controls
- Control assurance processes
- External incidents review read-across and analysis
- Operational risk flags development, monitoring and reporting
- Tracking and reporting on internal and external audit deliverables across CRO
- Support, development and maintenance of policies and procedures
- New Business co-ordination and reporting
- Operational MI
- Good citizenship programme involvement, review and monitoring and metrics
- Design, preparation and delivery, as assigned, of presentation to management, governance bodies and others
- Ad hoc projects / tasks to support the Global CRO FRCO regarding controls and controls environment
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Director / SVP Risk & Control Manager Resume Examples & Samples
- Manage the portfolio of process, risk, and control elements. Monitor and assess risks and related control gaps; align to control framework elements; identify and remediate related control gaps or weaknesses. Provide framework and lead execution of the Risk Control Self Assessment cycle. Oversee process health, go to green plans, and remediation tracking activities. Partner with Operational Risk and Compliance on execution of the risk management framework
- Manage cross functional operational risk programs and projects by driving communication and coordination across multiple divisions to ensure the timely completion of objectives and the seamless execution of plans. Lead and/or coordinate special projects and programs
- Foster the Identify, Escalate, Debate risk culture
- Excellent communication skills; proven experience in communicating to senior leadership. Strong Excel and PowerPoint skills
- Markets technology background strongly preferred
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Business Risk & Control Manager Assistant Manager Resume Examples & Samples
- Minimum of a Bachelor’s degree with 5 years equivalent experience. Background in Banking, risk management and / or internal audit; Audit, Risk or Compliance professional designation preferred
- Analytical and review skills with the ability to draw the correct conclusions from reviews
- Excellent written and oral communication and presentation skills including the ability to deliver clear and accurate messages to management
81
Rohq-mbcs-regional Risk & Control Manager, VP Resume Examples & Samples
- Coordinating business preparation for and responses to inspections from regulators, auditors and other exam groups
- Coordinating with the New York and London MSS Business Controls and Supervision teams to respond to and escalate emerging control issues and initiatives
- Work with regional management of AP BCS in maintaining and developing the Managers Controls Assessment (MCA) framework for AP MSS; designing and creating processes to enable monitoring which determines whether or not control processes continue to operate effectively
- Help oversee the core functions currently with BCS Manila team and work with the MBCS Head in streamlining the group, as necessary, to meet growing business demands for new and/or enhanced controls procedures
- Help promote an environment within AP MSS which encourages the self-identification and reporting of control issues, through IBAM-related initiatives
- Oversee compliance with internal or regulatory initiatives
- Develop and maintain tracking metrics for management reporting and escalation
- Develop internal relationships and provide support for various Trading/Sales Desks
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Risk & Control Manager Resume Examples & Samples
- Experience of robust testing and monitoring of controls across Lending Operations within a financial services organisation
- Working knowledge of a regulated mortgage environment covering new lending, lifecycle servicing and also collections
- Experience liaising with various teams to make sure that best practices are shared and a controlled working environment is maintained, with the customer at the heart of the decisions
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Risk & Control Manager Resume Examples & Samples
- Risk identification and management (15%) - identify, maintain and evolve global risk assessments, including review of risk data from across the bank and understanding of risk management performance / issues globally including a predictive look forward at horizon risk and action planning for their management. This also includes understanding and assessing key regulatory changes around internal outsourcing
- Control design (15%) – build, evolve and improve global controls to mitigate key global risks (current and future) on internal outsourcing, ensuring they are both effective in design and operation, and can be executed efficiently. Includes making sure controls are in place covering all key requirements of regulation, Bank policy and standards
- Control operation (20%) – operate global controls to mitigate priority risks. Communicate findings, support affected areas to generate action plans and monitor resolution in a timely way. Includes operation of dispensation, waivers and breaches (DWB’s) at the global level for the first line of defence and liaison with the second line of defence on approvals / exceptions
- Risk and control reporting (15%) – provide reports on 1-3 to meet the governance, policy and standards requirements of the Bank. Make periodic assessments of the state of health of the Bank’s management of its internal outsourcing environment. Draw out actionable insights and make recommendations for improvement
- Continuous improvement (20%) – use insight from the risk and control agenda with stakeholders both within the team and more widely to design and deliver improved processes, guidance, tools, systems, standards and policies to improve the effectiveness and efficiency of internal outsourcing across the Bank
- Advice, support, guidance and communications (15%) - working with BU’s, legal entities, functions, senior management, auditors, regulators to establish and maintain rapport, understand their needs and to communicate effective responses which are well understood and accepted
