Risk Control Specialist Resume Samples
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Risk Control Specialist Resume Samples
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SR
S Rohan
Sheridan
Rohan
7424 Elyssa Terrace
Houston
TX
+1 (555) 740 9685
7424 Elyssa Terrace
Houston
TX
Phone
p
+1 (555) 740 9685
Experience
Experience
Phoenix, AZ
Risk Control Specialist
Phoenix, AZ
Muller Inc
Phoenix, AZ
Risk Control Specialist
- Assessing different types of securities and deciding on generic lending values within a defined framework
- Initiating and rolling out improvement activities with respect to model governance topics, e.g. model risk aggregation/reporting
- Basic knowledge on database structuring and handling
- Initiating and rolling out enhancements to
- Preparing counterparty monitoring, credit deterioration enquiries or HOB notifications
- Reviewing & updating HOB filter procedures , e.g. for assessments of HOB filter hits
- Definition of the future target operating model for the HOB filter framework, seeking synergies with Compliance & other functions
Chicago, IL
Risk & Control Specialist
Chicago, IL
Howe-Mayer
Chicago, IL
Risk & Control Specialist
- Partner with issue owners to develop issue closure packages including reviewing and challenging evidence
- Partner with the Second Line of Defense to ensure objectives are being met and policies & procedures are being complied with
- Provide coordination and support to the CHROs in their HR operational risk reporting for EMEA
- Responsible for coordinating regulatory / internal Control compliance
- Regular interface with the Global Risk and Control (R&C) team and other respective ESC Regional Leads for R&C Programs affecting the Region
- Create and maintain Wholesale Banking procedures
- Perform initial data gathering for the application
present
Phoenix, AZ
IT Risk & Control Specialist
Phoenix, AZ
McLaughlin Group
present
Phoenix, AZ
IT Risk & Control Specialist
present
- Facilitating the adoption of central infrastructure services such as the ones provided by Security IT
- Executing and continuously improveming the ICAP Process for WM IT & UBS Switzerland IT
- Identifying and exploiting opportunities to automate controls and control assessments using specific tools
- Identifying, assessing and improving key controls beyond the control catalogue
- 1) Responsible for ensuring that the Product and Service Managers have implemented the Risk and Control Framework to manage technology risk
- 2) Assessing all known risks to understand the implications on Products and Services delivered by Infrastructure Services and that the risks are registered in the risk management systems
- 3) Monitoring the remediation of control defects and the completion of the remediation actions
Education
Education
Bachelor’s Degree in Commerce
Bachelor’s Degree in Commerce
California State University, Los Angeles
Bachelor’s Degree in Commerce
Skills
Skills
- Strong quantitative, data analysis skills and excellent attention to detail
- Cooperative and team-orientated, while able to complete tasks independently with a high quality standard
- Proven ability to work with highly confidential situations and information
- Good working knowledge of MS Office (Excel and PowerPoint predominantly)
- Strong organizational skills with the ability to prioritize multiple concurrent assignments
- Knowledge of Risk disciplines
- Thorough but pragmatic work style, demonstrating diligence and attention to detail
- Strong organizational skills
- Knowledge of Microsoft Office and other business-related software
- Ability to exercise independent judgment and make critical business decisions effectively
15 Risk Control Specialist resume templates
Read our complete resume writing guides
1
Risk Control Specialist Resume Examples & Samples
- Define and develop global security requirements
- Maintain a regular exchange between Group and Regional Security Services
- Project management in security projects
- Execute trainings in crime prevention
- Prepare support documents/tools to increase general security awareness
- Closely follow the latest developments in security technology
- Analyse new security risks, do risk assessments and propose options for remediation
- Conduct security surveys
- Native English speaker
- Excellent in written/spoken German
2
IT Risk & Control Specialist Resume Examples & Samples
- Facilitating the adoption of central infrastructure services such as the ones provided by Security IT
- Executing and continuously improveming the ICAP Process for WM IT & UBS Switzerland IT
- Collaborating with IT Risk to evolve the Operational Risk control catalogue and aligning it with policies and standards, as well as, the needs of the organization
- Identifying, assessing and improving key controls beyond the control catalogue
3
IT Risk & Control Specialist Resume Examples & Samples
- 5-7 years relevant IT risk management/information security experience
- Understanding of IT SOX Compliance and IT Audit
- Ability to scope, plan and conduct risk assessments
- Must be detail-oriented, especially while multi-tasking
- Excellent verbal communication and presentation skills
- Ability to work well in a team, and independently with little supervision
- LI - AA1
4
IT Risk & Control Specialist Resume Examples & Samples
- 1) Responsible for ensuring that the Product and Service Managers have implemented the Risk and Control Framework to manage technology risk
- 2) Assessing all known risks to understand the implications on Products and Services delivered by Infrastructure Services and that the risks are registered in the risk management systems
- 3) Monitoring the remediation of control defects and the completion of the remediation actions
- 4) Performing periodic deep dive risk reviews in their area of responsibility
- 5) Work with members of the Infrastructure Services Leadership team to ensure that the appropriate risk and control behaviours are embedded into the work practices and procedures
- 6) Manage any regulatory audits impacting Infrastructure Services IT, ensuring the regulatory scope and requirements are well understood and any gaps closed effectively and sustainably. These include SOX, MAS, HKMA, FED, FINMA, FSA and other regulatory bodies
- LI - AA1
5
Junior Policy Risk & Control Specialist With English & German Resume Examples & Samples
- Excellent Written & Verbal communication skills in English
- Good Written & Verbal communication skills in German or French or Italian
- Must be PC proficient in MS Word, Excel
- Master or Bachelor Degree
6
Risk Control Specialist Resume Examples & Samples
- Getting an overview of the model landscape based on the existing documentation
- Determining best practices to ensure compliance to regulatory guidance on model governance management
- Providing assistance to schedule and perform model risk assessment work to establish validation activities to be performed with each model
- Plan and perform model control reviews
- Central point of contact for the Bank's model inventory and accompanying documentation. Responsibilities would include
- Work with key stakeholders (model developers, model owners, model verification units amongst others) to optimize the deliverables around model validation and documentation in an orderly and timely manner
- Follow-up with stakeholders on upcoming and delinquent deliverables to ensure closure
- Assistance in industrializing / automating various reports currently manually produced for BUSA management committees
- Coordinate, update, and produce, various standard reports for governance deliverables to Bank Board and Management Committees on a monthly basis
- Bachelor's degree - BS in Math or Computer Science a plus
- 2-5 years in Financial Services industry, preferably in a regulated environment
- Cooperative and team-orientated, while able to complete tasks independently with a high quality standard
- Experience with large data sets and automated reporting solutions
- Possible backgrounds include mathematics, science, engineering
- Financial Services or Investment banking experience
- Experience in Risk Management
- LI-SM1
7
Risk Control Specialist Resume Examples & Samples
- Undertake detailed impact assessment of proposed plans on Risk function and client coverage, detailing impact on Risk and business partners, including an indication of criticality
- Develop comprehensive front to back solution proposal covering necessary changes in operating model, business processes as well as IT infrastructure resulting from the impact assessment. Plan and agree implementation steps with a large stakeholder group across different functional groups
- Lead and participate in various working groups
- Track project progress and prepare items for discussion and decision in Management Committees
- Regularly communicate the project status to sponsors and stakeholders
- University education (Bachelor's degree or higher)
- Proven project management experience in an international environment and strong record of delivering results and impact
- Knowledge of Risk disciplines
- Experience of working with IT project life cycle management
- Strong leadership skills (communicating, negotiating and influencing) also in English
8
Risk & Control Specialist Resume Examples & Samples
- Support the EMEA HR function in the quarterly assessments that are required in the Manager Control Assessment (MCA) framework Provide assistance as required to the region to ensure HR quarterly returns are received, collated and delivered to the HR SLT within the timescales as required
- Provide coordination and support to the CHROs in their HR operational risk reporting for EMEA
- Review the status of the EMEA HR Corrective Action Plans (CAPS); ensure that CAPS are being worked on and the timelines given are achievable. Support the HR function in the development of achievable and time-bound action plans
- Provide guidance/support to regional HR on Internal Audit (IA) reviews; ensure that issues are shared/ escalated appropriately with HR Management, Global HR Risk and Compliance teams. Ensure that any HR actions are correctly agreed and all support is in place
- Provide EMEA support and advice on all the Global functional Risk and Control issues as initiatives are rolled-out across the firm
- Support the HR Risk and Control team in continuously improving awareness of Risk and Control issues and policies within HR; use education and communication channels including HR intranet, virtual training, workshops and one-to-one employee education as necessary
- Ensure HR has identified and accredited its approved vendors in accordance with Citi policy
- Ensure the HR function manages its records in accordance with applicable regulatory requirements and Citi standards, in compliance with local laws where Citi transacts its business
- Responsible for the design and production of Risk and Control metrics for HR management on a quarterly and adhoc basis
- Participation in and management of Risk and Control related projects both within the HR Business Management team and across the HR department
- Coordination of UK HR business continuity planning, testing and training as required
- This position will give the successful candidate a detailed understanding of the EMEA region and the many activities and processes encompassed by the HR Risk and Control function
- The role will provide insight into all aspects of the HR function including recruitment, training, compensation and benefits, diversity, employee relations and business partnering
- The individual will also interact with many departments outside of HR including Internal Audit, Compliance, Enterprise Risk Management, Legal, Data Privacy Office, the office of business Continuity and Technology
- The individual will be able to build a large network of contacts within the UK, the EMEA region and internationally, including exposure to global teams in North America
- Experience in a Risk and Control role, preferably in financial services
- Experience of managing audits and working in a compliance-driven environment
- Experience of project management would be advantageous
- Experience of working at different levels in an organisation
- Experience of working in matrix structures and cross cultural environments
- Technical skills - MS Office and intranet-based tools e.g. ICAPS, Citi Risk System
- Strong communication skills/Remote Communication Skills - ability to communicate effectively with colleagues at all levels within the organisation
- Influencing skills – the ability to influence colleagues and partners locally and internationally
- Ability to educate HR colleagues in the appropriate use and application of systems, processes and policies
- Ability to act as an internal consultant
- Ability to prioritise efforts in a demanding highly pressurised environment
- University degree in any discipline
9
IT Risk & Control Specialist Resume Examples & Samples
- Perform 1st line of defense: provide 1st line of assurance of the Controls Effectiveness
- Identify, assess, manage and timely-report IT risks, audit issues and security incidents according to UBS ORF (Operational Risk Framework)
- Be on top of all IT issues and associated actions in their location
- Oversee and derive the IT controls Assurance in the location
- Monitor & manage control deficiencies as well as exceptions/deviations to applicable policies and raise ORI (Operational Risk Inventory) and/or Deferrals (in agreement with central and local teams) as appropriate
- Perform monthly and quarterly risk assessment with local IT Function and other local risk functions (e.g. LRU (Location Risk Unit)
- Provide Security and risk support/consulting for local projects /initiatives
- Perform risk assurance activities (e.g. sampling/evidence of control effectiveness)
- Manage and provide Location Sign Off on behalf of the location (Security & Legal teams)
- Liaise & interface with local teams & stakeholders (e.g. IT, LRU, L&C, COO, GIA, External Auditors) as required
- Oversee and/or conduct risk & security awareness initiatives and activities
- Identify and assess the cross-impact of issues owned outside IT
- Guide, support and review Controls Assessments activities according to UBS ORF (ICAP)
- Report and monitor the remediation of location security incidents
- Evaluate and manage metrics specific to their location
- Support the entitlement review and revalidation processes
- Report functionally (on WM risk matters) to Head of WM ORM IT
- Minimum 8 - 12 years of relevant experience
- Prior experience in IT Risk and control management is essential
- Strong written and verbal communication skills to deliver high quality, actionable feedback on risk and control issues and potential solutions to close gap
- Excellent stakeholder management skills with ability to communicate effectively with senior management, as well as the ability in handling management information and metrics – design, collection, analysis and senior management reporting
- Be a highly driven, autonomous, resilient and team player with a strong work ethic
10
IT Risk & Control Specialist Resume Examples & Samples
- Execute proactive risk management processes in self-identification and capture of risk within the division
- Execute risk activities in support of audits conducted by internal and external auditors
- Manage preparation for and execution of Internal Controls Assessment Process (ICAP) within the division
- Prioritize risk activities in accordance with the goals set by ISIT management, IT Risk and GIA
- Manage and coordinate remediation activities
11
Risk Control Specialist Resume Examples & Samples
- Getting an overview of the firm-wide risk model landscape
- Planning and conducting procedural and compliance front-to-back Model Control Reviews along input, processing, and output/reporting components, including visualization in comprehensive model maps
- Summarizing review results and necessary remediation measures in written reports, which are shared with senior management and regulators
- Initiating and rolling out improvement activities with respect to model governance topics, e.g. model risk aggregation/reporting
- Providing guidance and training to stakeholders on model control topics
- Responding to Audit and regulatory requests
12
Risk & Control Specialist Product Resume Examples & Samples
- Support the delivery of committed strategic and tactical remediation of FAC control weaknesses and assuring remediation commitments are met
- Support the development and delivery of control effectiveness and process efficiency metrics for relevant FAC functional areas
- Support internal control functions in the execution and resolution of risk and control points
- Prepare presentations of senior management updates, as required
- Support internal & external COO Office initiatives working collaboratively with relevant stakeholders
- Support and manage the planning, organization, and execution of FAC initiatives
13
Risk Control Specialist Resume Examples & Samples
- B.A. in Business or Finance
- 1 – 3 years of experience within line of business
- Risk Management Experience an asset
- Working presentation/facilitation skills
- Working understanding of Operational Risk and Compliance internal requirements and external environment
- Working process coordination skills
14
Risk & Control Specialist Resume Examples & Samples
- Perform initial data gathering for the application
- Acquire all mandatory documents and proofs and perform in-depth review of gathered information
- Conduct assessment to rate the effectiveness of application controls applied
- Evaluate and document identified risks, non-compliances and other issues
- Ensure that the assessment reports are delivered on time
- Participate in process improvement activities
15
Risk Control Specialist Resume Examples & Samples
- 2 to 5 years of experience in a Finance/Risk/Treasury/Product Control capacity
- Strong quantitative finance experience preferred
- Graduate degree preferred
- Proven analytical skills, as well as excellent written and verbal communication skills are a must
- Previous experience with QRM or other ALM / balance Sheet management systems is preferred but not required
- Previous experience with Capital or Liquidity Stress Testing is preferred but not required
- Knowledge of Statistics and Behavioral Modeling are preferred but not required
16
IT Risk & Control Specialist Resume Examples & Samples
- 1) Overall management of any external audit activities, including liaison with our external auditors, assessment of findings and ensuring appropriate actions are in place
- 2) Assessing all known risks to understand the implications on external and regulatory audit reports
- 3) Liaison with internal audit for IBIT
- 5) Manage any regulatory audits impacting IBIT, ensuring the regulatory scope and requirements are well understood and any gaps closed effectively and sustainably. These include FED, SEC, PRA, FCA and other regulatory bodies
- 6) Working closely with other IT operational risk teams on cross-divisional and regional aspects of internal, external and regulatory audits
- As this role is focused on Information Technology within an Investment Banking environment, candidates who come from this background will be able to add value to the team more swiftly
- A person with excellent communication and organisational skills
- Able to network well and get along with people
- A person with a technical background, with an ability to understand and appreciate different technologies and infrastructure
- Detail oriented, analytical, a good writer and presenter, adept at preparing PowerPoints and Excel pivot tables / macros
- Comfortable with hands-on “delve into the details” work, as well as high level strategic analysis
- A person that can handle sensitive material appropriately
17
IT Risk & Control Specialist Resume Examples & Samples
- Understanding of operational risk management within a technology organization
- Familiarity with risk control framework
- Project management and data analytics experience is a plus
18
IT Risk & Control Specialist Resume Examples & Samples
- Delivery and oversight of the GT ICAP and a new GT controls testing capability
- Accountability for the definition of and execution against the GT ICAP lifecycle in line with the required timelines and to the required
- Implementation and oversight of a controls testing capability to provide management with assurance as to the quality of both the GT ICAP and GT controls
- A good level of knowledge and understanding of operational risk frameworks
- A proven track record of executing IT Risk Management processes and controls preferable
- Knowledge of information security and technology
- Comfortable with executing reporting tasks and data analysis
19
Risk Control Specialist Resume Examples & Samples
- Assessing different types of securities and deciding on generic lending values within a defined framework
- Preparing and conduct internal trainings and presentations in relation to lending values
- Running or supporting small projects and enhancing current guidelines, since this function includes a close collaboration with client advisors for HNWI and UHNWI, product specialists, credit officers, and other stakeholders
20
IT Risk & Control Specialist Resume Examples & Samples
- Bachelor's degree in Computer Science, Engineering, Information Security or equivalent
- At least 10-12 years of IT Security experience, ideally in penetration testing or vulnerability assessment in large organization
- A strong understanding of security vulnerability concepts and exploitation methods. Especially in the infrastructure and OS space such as Windows and UNIX
- A good understanding of web technologies and web security hardening techniques, including IIS/Tomcat and Apache
- Excellent analytical skills, with the ability to breakdown complex problems into actionable steps
- Ability to communicate IT security issues to other business areas in technical and non technical language
- CISSP, CISM, CEH or SANS Certification (GWAPT)
- Knowledge of ITIL framework would be advantage
- Tools used Nmap, Nessus, shell scripting, automation in reporting,
21
IT Risk & Control Specialist Resume Examples & Samples
- Integrate professionalism into the existing team of risk analysts
- Understands importance to comply to regulatory requirements
- General IT technical knowledge
- Basic knowledge of the Wealth Management business area
- LI-EL1*
22
Risk Control Specialist Resume Examples & Samples
- Drive and coordinate the delivery of Market Risk relevant IT and process changes
- Understand and analyze the business cases and requirements, propose solutions
- Work with the Functional Architects and other Business Analysts to ensure the solutions proposed are fit for purpose
- Assist IT in technical design and implementation. Ensure the IT delivery satisfies the business needs and requirements-Provide strategic view on the design and project planning
- Identify opportunities for IT and process improvements
- Design and implement business processes that effectively complement the developed technology
- Assist IT and business in defining test cases and acceptance criteria
- Support testing participants in investigations and follow up on issues and queries-Facilitate and support the transition of Change Program into run-the-bank
- Keep all stakeholders and working group members informed of the projects and their progresses
23
IT Risk & Control Specialist Resume Examples & Samples
- 1) Build strong relationships with Senior IT, Business stakeholders and other control functions to pro-actively identify issues, ensure CIO areas are effectively driving remediation activities and to continuously improve IT Risk services
- 2) Support senior Risk Managers with the management of operational risk events; facilitate in assessing possible risks through Incident and Problem Management Procedures and provide Management Summary for Group Reporting. Understanding / Managing the Operational Risk Assessment Process for IT including identification, evaluation (analysis / assessment) and responding to risks (i.e. monitoring / reporting)
- 3) Provide control oversight of the Independent Control Assessment Process Participate in independent control testing and analysis where required
24
Risk Control Specialist Resume Examples & Samples
- Supporting the HOB process and CCM
- Preparing counterparty monitoring, credit deterioration enquiries or HOB notifications
- Defining rules for the HOB filter and support Group Operations in identifying the underlying transactions and business owners of asset movements, that have been stopped in the HOB filter
- Following up on identified gaps in the HOB process and CCM framework and monitoring progress on remediation measures
- Developing training to stakeholders on HOB process & CCM framework topics
- Initiating and rolling out enhancements to
- HOB process & CCM framework & preparation of the bi-annual CCM exercise
- Policies, procedures, documentation, websites, shared drives & mailboxes
- Support the transformation of the HOB process, i.e. process itself, roles & responsibilities review, further automation of data searches / HOB message creation and distribution
- Supporting the HOB filter framework
- Reviewing & updating HOB filter procedures , e.g. for assessments of HOB filter hits
- Definition of the future target operating model for the HOB filter framework, seeking synergies with Compliance & other functions
25
Risk Control Specialist Resume Examples & Samples
- Assist IT in technical design and implementation. Ensure the IT delivery satisfies the business needs and requirements
- Provide strategic view on the design and project planning
- Support testing participants in investigations and follow up on issues and queries
- Facilitate and support the transition of Change Program into run-the-bank
26
Senior Risk Control Specialist Resume Examples & Samples
- 4 year college degree is a must, preferably in Health and Safety Management. Additional level(s) of education are a plus
- Minimum of 10 years experience in a Risk Control related position
- Professional designation (CSP, CIH, PE, ARM) highly preferred
- Knowledge of Risk Control processes and procedures
- Understand medical case management and cost containment programs
- Knowledge of laws, legal codes, procedures and processes involving insurance
- Capable of analyzing data and providing concise conclusions
- Skilled at communicating orally and in writing
- Consistently displays consultative approach to problem solving
- Able to communicate technical information orally and in writing
- Able obtain relevant technical information to support decision making or promote risk improvement programs
- Understand company products, services, global network, and industry practices
27
Risk Control Specialist Resume Examples & Samples
- The Project Analyst will provide support to the overall Chief of Staff’s ongoing duties. This individual will be a stellar representative of IB Risk Control and keen supporter of the IB CRO’s vision. Some of the specific projects and responsibilities include (but are not limited to)
- Assist in production of IB CRO Operating Committee materials including the Balanced Scorecard (Capacity and Control metrics)
- Support key strategic programs and regulatory initiatives which emerge within the Primary Risk organisation
- Support bi-annual ICAP process for IB Risk Control, and Compilation and analysis of key management data, including ability to process & prepare senior management reports, monthly, quarterly and on ad hoc basis
- Minimum 2 years of experience working in Business Management within an Investment Bank. Need to be credible across the Risk Control teams
- Strong quantitative, data analysis skills and excellent attention to detail
- Proficient MS Excel / PowerPoint skills
- Proven ability to work with highly confidential situations and information
- Team player, with a flexible and adaptable approach focused on timely resolution to problems, and very organised
28
Senior Risk Control Specialist Resume Examples & Samples
- Communicate with the RCCRA regional construction safety manager, as well as, the NYC Construction Safety Manager on a daily basis to discuss schedules, project challenges and solutions
- Participate in Client project management meetings and conduct safety management oversight visits
- Complete timely, technical reports summarizing findings, analysis and recommendations for improvement
- Assist in the development and review of contractor/project safety programs
- Participate in Project Kick-off, planning and regularly schedule safety meetings
- Review and comment on contractors job hazard analysis (JHA) and safe work plans(SWP)
- Support client training needs
- Manage Willis and carrier based resources for clients
- Assist the Willis Claims Team facilitate prompt incident notification, reporting and investigation
- Respond to serious incidents
- Participate in Willis Staff/Client Service Meetings to brief other associates on safety issues and loss prevention efforts
- Review and analyze loss experience on a regular basis to focus and adjust loss prevention efforts
- Help develop and execute the strategies of the NYC office and support RCCRA initiatives
- Ability to communicate technical information orally and in writing
29
IT Risk & Control Specialist Resume Examples & Samples
- 3) Support Risk Managers with the management of operational risk events; facilitate in assessing possible risks through Incident and Problem Management Procedures and provide Management Summary for Group Reporting. Understanding / Managing the Operational Risk Assessment Process for IT including identification, evaluation (analysis / assessment) and responding to risks (i.e. monitoring / reporting)
- 7) Liaising and partnering with our IT ORM peers covering other CIO areas, as well as Information Security and Legal & Compliance organization to ensure complete risk profile understood
- Li-Priority
- The ability to work with and communicate / report to senior management is especially important
- IT Risk background
- Needs to be well versed in Software Development Lifecycle (SDLC)
- Experience of an IT Service Delivery Methodology such as ITIL, COBIT, and 6 Sigma would be an advantage
30
Senior Risk Control Specialist Resume Examples & Samples
- Helps to develop pre-loss consulting strategy, including diagnostics. They consult with the client regarding where they are and what the client needs to accomplish in order to mitigate risks
- Support new business initiatives with sales presentations and RFP
- Responsible for client retention through effective advocacy and client focused service
- Ensure appropriate program design and documentation - service scope aligns
31
Risk Control Specialist, Temporary Resume Examples & Samples
- Getting an overview of the CCAR model landscape
- Planning and conducting Model Control Reviews for a wide variety of CCAR models
- Summarizing results in written reports
- Following up on identified control gaps and monitoring progress on remediation measures
- Providing guidance and training to stakeholders on qualitative model control topics
32
Risk Control Specialist Resume Examples & Samples
- Delivery of detailed analysis specific to an industry sector or a portfolio, integrating or cross-referencing multiple sources of information and / or data
- Co-ordination, delivery & execution of global sector reviews, ensuring timely delivery of a high ‘value added’ quality product
- Partnership with Research, Political & country risk, Methodology, Transaction Decision & Underwriter teams, across all ranks and across all geographic locations, to identify, define and drive out individual sector risks, including ‘non-consensus’ views
- Other bespoke analysis will be required on aspects of the portfolio as and when needed
33
Risk Control Specialist, Cleveland Resume Examples & Samples
- Ability to Organize and prioritize multiple ongoing competing tasks and projects
- Ability to create efficiencies through the use of technology & proficient in Microsoft Office products
- Execution of KBCM registration objectives Ability to effectively communication with peers, line of business and manager
- Strategic and analytic thought process
- Ability to work independently with little supervision
34
IT Risk & Control Specialist Resume Examples & Samples
- You have basic knowledge of the Investment Bank business
- You are an experienced IT operational risk professional or IT auditor
- You have a knowledge of an operational risk framework
- You are process oriented and have the ability to spot control weaknesses
- You know how to manage sensitive data
- You are able to network well and get along with people
- You are a person with a technical background, with an ability to understand and appreciate different technologies and infrastructure
35
Risk Control Specialist Resume Examples & Samples
- Possesses a university degree/college diploma in related discipline(s) or equivalent work experience, and/or 5 to 7 years of experience in an IT environment, preferably with knowledge of Audit and Risk Management
- 7-8 years of experience (preferred financial services background)
- Strong knowledge and understanding of emerging technologies as they pertain to external regulatory requirements (e.g., PIPEDA, SOX, ISO, CoBIT, COSO, GLBA)
- Reg W testing preferred, knowledge of process risk controls
- Advanced knowledge of industry directions and trends in IT Audit, Risk Management and Regulations and Information Security
- CISA, CIA (certification is a plus)
- Solid knowledge of the Bank’s Policies and Procedures in relation to Risk
- Displays high ethics and trust values
- Strong meeting management and facilitation skills
36
Senior Risk Control Specialist Resume Examples & Samples
- Perform the Design Effectiveness (DE) and Operating Effectiveness (OE) testing as per the defined Testing Approach
- Address and clear any review points raised through Quality Assurance (QA) review in a timely manner
- Escalate any potential testing issues / exceptions to appropriate teams (Vendor Operational Risk Lead, Onshore Process Owner, and VRM)
- Inform Control Owners, onshore Process Owners and Finance Operational Risk Management (FORM) of any confirmed exceptions or fails
- Maintain the Issue Logs, ensuring they are kept up-to-date and detailed
- Confirm that when complete and any QA review points cleared, relevant testing is stored in central repository
- Participate in weekly/monthly progress meetings with vendor and UBS process owners and contribute to discussions around control issues and fails
- Perform testing of remediated controls and escalate any potential issues immediately
- Contribute to the status reporting in a timely manner
- ACA/ACCA or equivalent qualification
- 10+ years post-qualified experience in Financial Services or Big 4 practice
- Experience performing tests of controls including SOX specific testing
37
Portfolio Reconciliations Risk Control Specialist Resume Examples & Samples
- 3 - 5 years of experience in providing business analysis for audit, compliance, and metrics reporting
- Ability to analyze and provide insights on large volumes of data (2+ million rows)
- Strong technical skills including
- Experience working in financial services, especially investment banking
- Understanding of financial regulations including Basel and Dodd-Frank
- Product knowledge: collateral management
38
Assistant VP Global Markets Valuation & Risk Control Specialist Resume Examples & Samples
- In conjunction with R-IM, to independently verify and report on the accuracy of market parameters used in the preparation of P&L and Collateral Valuation (IPV – Independent Price Verification)
- In support of trading management, to monitor and of day and intraday risk limits and ensure adherence to Trader Mandates
- In conjunction with R-IM, to ensure that the use of models, parameter sets and calibration parameters is in line with approved set ups
- Implementing an appropriate process where responsibility is being transferred from R-IM or any other area
- Ensuring handover and methodology documentation on the Parameter review processes are up-to-date and signed-off by management
- Reviewing exceptions with the Front Office price contributors ensuring they understand the price verification process and allowing them opportunity to challenge V&RC findings and present supporting evidence for their prices
- Maintain a steady dialogue with Front Office and R-IM to
- Stay abreast of market conditions and developments which would impact prices
- Understand FO pricing techniques and tools
- Ensure all available market data sources are understood and integrated into the IPV process
- Ensuring that corrections are made to the P&L where required and clearly communicating results to affected groups (i.e. Financial Control, Middle Office)
- Ensuring a parameter based approach to IPV when possible
- Ensuring the MAP methodology exhausts all related risks globally
- Contribute to the evolution of the price verification processes. This includes identification of the instruments which create risk in the corresponding parameters and the assessment of alternative checking methods and sources. Analyze and question current processes and contribute to their improvement
- Actively and regularly coordinate with V&RC Central colleagues to ensure
- MAP and pre-MAP schedules are agreed and followed
- Results are accurately communicated and included in Global Reporting
- Global practices are understood and harmonized where possible
- Contribute to the maintenance of the matrix (market data cartography) that records the details for all parameters used in the Official P&L, ensuring that all parameters are controlled and accounted for and changes are properly authorized
- Organize and store all month end reviews and relevant materials, ensuring that records are accurate and complete. Carry out periodic reviews to ensure that documentation is adequate for internal and external reviews
- Be flexible
- Be a quick learner with the ability to grasp new concepts
- Enjoy learning new ideas and being challenged constantly
- Comfortable working in a matrix reporting environment
- Hard worker and result orientated
- Ability to deliver quality work under time pressure
- Comfortable communicating with Traders and other senior managers
- Look to add value in all tasks performed
- Be able to suggest process improvements
- Comfortable escalating issues as they occur
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Risk & Control Specialist Resume Examples & Samples
- Build and maintain risk/control inventories
- Compliance with the risk assessment programs
- Develop and incorporate key indicators into risk assessments
- Create and maintain Wholesale Banking procedures
- Provide credible challenge
- Execution of the enterprise risk assessment programs
- Analyze results and data to evaluate risk appropriateness and control effectiveness
- Ensure changes that impact the enterprise risk assessment programs received the appropriate level of due diligence
- Identify areas for process improvement and clearly communicate and assist in implementation as appropriate
- Partner with the Second Line of Defense to ensure objectives are being met and policies & procedures are being complied with
- Bachelor's degree (or equivalent work experience) in Business Administration, Finance, Economics, Accounting or related field
- Five to seven years of work experience with 3+ years of risk management, compliance, or audit experience required. Prior Compliance or Internal Audit experience is preferred
- Strong analytic, logical reasoning, and problem solving, risk vs. reward skills and thorough understanding of operational risk
- Experience with risk assessments, control analysis, and project management including process improvement
- Compliance or Audit Experience
- Ability to design, implement and manage risk controls assessment programs
- Well-developed ability to identify and resolve exceptions and to analyze data
- Strong interpersonal skills including strong oral and written communication skills,
40
Risk & Control Specialist Resume Examples & Samples
- Maintain procedures to support PNCs Issues Management policy and ensure adherence
- Maintain an inventory of issues (directly and indirectly managed) and leverage eGRC Archer to record issue status and track action plan progress as applicable
- Follow audits in process within the department to monitor progress and information requested/shared
- Review management responses from issue owners to ensure actions needed to resolve the issue are documented appropriately
- Partner with issue owners to develop issue closure packages including reviewing and challenging evidence
- Collect, input and monitor self-identified issues for the department
- Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions, and ability to leverage that information in creating customized customer solutions
41
Risk & Control Specialist Resume Examples & Samples
- Working knowledge of the Basel controls
- Experience with process improvement
- Ability to perform testing and clearly document your findings
- Established partnerships with Basel office
- EGRC
42
Risk & Control Specialist Senior Resume Examples & Samples
- Knowledge of the organization's industry group, trends, directions, major issues, regulatory considerations, and trendsetters; ability to apply this knowledge appropriately to diverse situations
- Knowledge of business process improvement tools and techniques and ability to understand, monitor, update, or enhance existing business or work processes
- Knowledge of the techniques and the ability to work with a variety of individuals and groups in a constructive and collaborative manner
- Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply this knowledge appropriately to diverse situations
- Mobilizes both time and resources to get things done
- Knowledge of and ability to employ internal controls and to enhance business strategies for the purpose of detecting, correcting and preventing fraudulent activities
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Senior Construction Risk Control Specialist Resume Examples & Samples
- Has extensive experience in helping clients to mitigate risks of a complex nature
- Assist clients in risk identification, quantification and mitigation
- Help develop and execute the strategies of the practice
- Manage the quality and appropriateness of client service agreements
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Traded Risk Control Specialist Resume Examples & Samples
- Performs daily excess reporting
- Provides support to the Front Office in respect of calculating credit risk, pre-deal risk simulations and approval of limit excesses
- Generation and Review of MI reports
- Review trade reconciliations Reports
- Preparation of stress test results report for swaps and futures to comply with the CMTC requirement
- Coordinate overriding of transactions to ensure that risk for non-standard transactions is captured accurately based on globally approved risk methodologies
- Adhere strictly to compliance and operational risk controls in accordance with HSBC and regulatory standards, policies and practices; report control weaknesses, compliance breaches and operational loss events
- Complete other related duties as assigned. Support the Company’s Diversity programs
- Minimum 2-3 years proven and progressive commercial, investment banking and treasury credit and administration experience or equivalent
- Preferable BA degree in business, finance, related field or equivalent
- Proven financial, communications, systems, interpersonal, analytical, skills
- Highly proficient at Excel, Word and PowerPoint
- Knowledge of products traded and of credit risk, preferably with possible background in Emerging Markets, Product Control, P&L process
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Traded Risk Control Specialist Resume Examples & Samples
- Contribute to a team consisting of onshore, offshore and global remote staff
- Balance of ongoing support and new development activities
- Fast paced, operationally-sensitive environment with daily time-sensitive activities
- Minimum 3-5 years proven and progressive technical, commercial, banking and credit experience or equivalent
- BA degree in computer science, statistics, business, finance, or related field
- Knowledge of traded credit and market risk management for products such as derivatives swaps, forwards, options, repos, securities financing, etc
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Senior Risk Control Specialist Resume Examples & Samples
- Provide ergonomics services to clients in all industries
- Assist clients to mitigate risks of a complex nature
- Helps to develop pre-loss consulting strategy, including analytics and diagnostics. They consult with the client regarding where they are and what the client needs to accomplish in order to mitigate risks
- Support new business with sales presentations and RFP support
- Responsible for client retention through effective client focused service
- Manage the quality and appropriateness of client engagements
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Risk & Control Specialist Resume Examples & Samples
- Train and Promote control culture: Foster control capability and accountability across line Businesses
- Participate in control design (as required)
- Implement control policies & standards
- Full accountability for product onshore, nearshore and offshore controls
- Perform Risk assessments
- Minimum 3 years experience in Audit field and/or Regulatory knowledge with Good product knowledge on Client onboarding (Main) and accounting of the same
- Minimum graduate in any discipline (preferably from business/ accountancy background
- CA/CPA qualifications a big plus
- Prior experience in process reengineering efforts highly desirable
- Product &/or Operational knowledge Cash products
- Audit and/or Cash Operational background would be preferred
- Able to navigate around the DB infrastructure and organisation
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Divisional Risk & Control Specialist Resume Examples & Samples
- Drives the implementation of the strategy and processes. Influences the integration of the Three Lines of Defence (3LoD) framework into the division specific initiatives and processes
- Actively contributes to the design of risk and control programmes and policies in line with the defined risk and control strategy as well as the risk appetite
- Implements independent, transparent and forward-looking risk and control reporting, serving as escalation/conflict resolution point
- Drives execution of independent reviews, identification of root causes, review of robust remediation plans and engagement with the business line
- Challenges control weaknesses and provide advisory to the business line for sustainable risk remediation options arising from weakness, errors and external event demands
- Implements and maintains appropriate engagement models with other Lines of Defence functions as well as external stakeholders
- Establishes capabilities that enable a positive risk culture and drives behavioural change
- Experience of Control and/or Operational Risk Management exposure to standard control best practices
- Identifying and escalating managing conflicting situations, whilst remaining objective and independent
- Strong ability to lead and review control risk assessments, guide test approach and analyze test results to identify control weaknesses requiring remediation action
- Strong understanding of timely escalation, impact of risk events, remediation and lessons learnt to facilitate reduction of operational losses or near misses
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Risk Control Specialist Resume Examples & Samples
- Performs workplace/work site risk evaluation and consultative risk improvement services, and makes risk recommendation for the underwriting function. Includes recommending solutions to customers to minimize risk
- Works with senior risk control staff to assess account and/or book of business needs and implements customized strategy
- Partners with underwriting and other areas to provide information for risk evaluation and assessment. Includes reviewing accounts for operational issues, claims, profitability and agency management, etc
- Analyzes losses on individual accounts or specific book of business to identify root cause of loss, trends and emerging issues
- Develops and maintains business relationships with internal and external business partners
- Conducts education, training programs, and presentations
- Conducts agency/broker visits to build relationships, discuss account or book of business issues, and market company products and services
- May identify opportunities for new products and services
- May provide expertise in one or more specialty area
- May be responsible for special projects and presentations
- Solid technical and product specific expertise, risk control evaluation and assessment skills and knowledge of insurance and risk control principles, practices and procedures
- Strong interpersonal, communication, negotiation and presentation skills. Ability to effectively interact with all levels of internal and external business partners
- Strong organizational skills with the ability to prioritize multiple concurrent assignments
- Ability to exercise independent judgment and make critical business decisions effectively
- Knowledge of Microsoft Office and other business-related software
- Ability and willingness to travel extensively
- Typically a minimum three to five years risk control experience with proven track record of results
- LI-MV1
50
Claims Risk & Control Specialist Resume Examples & Samples
- To assist in the maintenance of the Claims Risk and Control framework used to monitor claims staff by way of call and file reviews. The framework is to be kept up to date to ensure compliance with regulatory and legislative requirements and optimist customer service. The data from the reviews is collected and reviewed to ensure all key risks are identified and reported appropriately and that opportunities for process efficiency are taken
- To participate in the risk assessment of all internal areas and external suppliers on an annual basis, making recommendations for the formal review plan
- To conduct the fieldwork as defined within the Terms of Reference and to collate and analyse the results in a clear and logical manner. To identify performance levels, trends, training needs and to communicate the results effectively to the Claims Risk and Control Manager
- To make recommendations to reduce claims settlements spend, lifecycle and handling costs
- To visit External Suppliers to carry out the external reviews in a confident and professional manner
- To report and advise on the performance of the Claims Department and esure’s External Suppliers
- To suggest innovative solutions to any trends or issues identified and to agree actions to resolve issues in consultation with the relevant Senior Managers and to monitor the implementation of any recommendations agreed
- Monitor all key risks ensuring that controls are performed and the outcome reported to the appropriate stakeholders. Controls include but are not limited to
- Payment input and authorisation
- Adherence to profile and functional authority levels
- Exception reporting
- Participate, review and provide input into forthcoming projects ensuring any risks to the business are identified and mitigated
- To ensure accuracy and consistency in review response and to expect that challenge may be raised to these findings. To be able to communicate decisions calmly and logically
- An ability to apply logic to the selection of samples and close attention to detail when researching, collating and analysing the results of a review are crucial
- Mentoring staff seconded to assist in particular reviews, ensuring the key objectives of the review are met and the responses consistent and accurate
- An ability to research new areas and understand large amounts of information quickly
- Detailed knowledge of general claims handling with experience of Motor Claims including Personal Injury Claims. Knowledge of Home Claims is also an advantage
- Participation in quality reviews or similar audit work
- A self motivated individual with a positive outlook, adaptable to challenge and able to work independently and as a strong team player. The jobholder must be willing to learn new skills and processes quickly
- Insurance and/or audit qualifications are desirable
- Strong written and verbal communication skills to a high level
- Excel skills are required in order to understand, maintain and develop the formulas and functions within the Quality Control framework. In addition, the ability to analyse large amounts of data by use of pivot tables would also be an advantage
- An ability to manage demanding workloads, within a challenging timetable
- Knowledge of the requirements and impact of the regulatory and legislative environment on Claims Handling processes
- Highly literate and numerate with recognised standard qualifications in Math’s and English Language
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Senior Risk Control Specialist Resume Examples & Samples
- Develop pre-loss consulting strategy, including analytics and diagnostics
- Consult with the client regarding where they are and what the client needs to accomplish in order to mitigate risks
- Minimum 5 years of experience in similar role required and/or equivalent combination of education and experience
- Safety and Ergonomics certification/designations preferred
- Ability to create the most complex and successful strategies for risk mitigation
- Knowledge of Loss Control & Safety procedures including but not limited to OSHA and ANSI
- Understand the basic process and value of basic data analytics and benchmarking
- Ability to analyze and report financial data
- Ability to formulate strategy for clients based on knowledge base
- Ability to handle moderate to high complexity within their discipline
- Client/Market Relationship Information
- Directly handle clients – client needs tend to be more sophisticated based on the nature of the product provided
- Maintain local relationships with all major trading partners
- Monitor the performance of trading partner’s services for your clients
- Participate in strategic large client meetings as required
- Manage the appropriate level of resources for your clients
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IT Risk & Control Specialist Resume Examples & Samples
- Provide operational risk managers with thought leadership and driving day-to-day support for risk discussions throughout GT
- Develop and improve various remediation processes to decrease potential risks across the bank and sharpen internal controls' environment
- Stay up-to-date on regulatory requirements and trends
- Desire to work and develop in a fast paced environment
- Broad IT, risk and control experience and/or specialization in one or more security/control domains
- Excellent problem solving, data analysis and conceptual skills - able to synthesize complex data into problem statements and actions
- Knowledge of IT infrastructure platforms
- Knowledge of IT architectural concepts
- Ability to collaborate across local and virtual teams
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Risk & Control Specialist Resume Examples & Samples
- Basic understanding of Insurance Domain; Understanding of Risk/ Control/ Audit concepts and Analytical Experience is a plus with 1-3 years of experience
- Strong, oral, written and interpersonal communication skills
- Demonstrated ability to work well in a team environment and independently
- Quick Leaner, ability to understand multiple lines of business
- Detail Oriented, able to analyze and identify discrepancies
- Intermediate to Advanced skill level of Microsoft Excel
- Sound knowledge of Microsoft PowerPoint and Microsoft Word
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FIA Risk Control Specialist Resume Examples & Samples
- Bachelor’s degree in Occupational Safety, Health, Science, Engineering, or a related field; or three years of related experience in lieu of degree
- Knowledge of safety, safety/accident investigation, and risk management
- Knowledge of major safety and health statutes and regulations, management systems, and reporting requirements
- Knowledge of applicable occupational safety and health best practices, guidelines, and industry standards including CFR 1904, 1910, and 1926 OSHA; as well as DOT, WC, and TDI compliance
- Experience with risk control computer system applications
- Qualification Review Letter from TDI or ability to obtain within 90 days of employment
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Risk & Control Specialist Resume Examples & Samples
- Regional representative of the ESC Risk and Control (R&C) team for EMEA
- Provide guidance and subject matter expertise in the establishment of an effective risk management program focused on policy and operating procedures compliance
- Support and ensure activities related to key R&C programs for the region including, but not limited to Manager’s Control Assessment (MCA), Continuity of Business (CoB), Fraud Management and Audit and Country Reviews are consistent with global risk assessment objectives
- Support a culture of control where regional and CSC staff understand their role in the control environment and the criticality of a robust control environment
- Support of key risk and control projects and ad-hoc requests from the Regional and Global R&C teams
- Experience in interpretaing and applying policies, standards, and procedures
- An understanding of Citi’s management structure, its businesses and governance structures is an advantage
- Knowledge of Citi’s Expense Management Policy, Citi Supplier Selection and Management Policy, Citi’s Code of Conduct, Gift and Entertainment policies, etc. a plus
- Ability to work in virtual teams
- University / College required
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Global Documentary Services Risk & Control Specialist Resume Examples & Samples
- Ensure assigned locations, business units, or proposed products and processes are in compliance with various laws and regulations. Develop and enforce compliance policies and procedures. Act as a primary compliance consultant/resource for GDS with respect to questions, consulting, and training
- Participate in, and ensure compliance in the design and development of policies, procedures, processes and training programs
- Conduct quality assurance testing related to operational processing, in order to ensure regulatory compliance and identify opportunities to enhance performance
- Determine how new and pending laws/regulations impact the affected business line and works to ensure appropriate compliance
- Perform periodic reviews to assess level of regulatory compliance and support audits, exams and reviews being conducted in GDS. Engage in the resolution of issues through monitoring milestone progress and sustainability testing, including regulatory, audit, Compliance Quality Assurance and Business Line Self ID
- Collects and organizes data in order to track, monitor and report on the effectiveness of key controls. Foster a culture of risk management through sharing of risk/compliance knowledge
- Three to five years of banking operations experience, preferably in trade finance
- Skilled in interacting with various business partners and levels of management
- Highly organized, detailed oriented and able to prioritize work
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IT Risk & Control Specialist Resume Examples & Samples
- TS from planning through to remediation
- Advise and consult on management responses, action plans and remediation activities
- Evaluate and validate evidence to ensure that control functions will close findings and that risks are mitigated
- Provide feedback to partners with the objective of closing findings on time and to avoid overdue or repeat findings
- Familiarity with the Bank's Technology Risk Management framework and IT Audit process as well as industry best practices
- Ability to effectively interact with individuals across the organization and at various levels (Technical, Business, Management & Executive)
- Must be a self-motivated, energetic and results-oriented and be committed to adding value to the team
- Ability to work independently and in teams with minimal supervision
- Good judgment— ability to determine which issues to escalate vs. to resolve independently, and provide suggestions for possible resolution
- Experience with MS Office Suite of software (Word, PowerPoint, Visio, Outlook and Sharepoint) with expert working and operational knowledge of MS Excel
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Divisional Risk & Control Specialist Resume Examples & Samples
- Understand the impact of errors, timely escalation, remediation and lessons learnt to facilitate reduction of operational losses or near misses. Manage incident reporting through the agreed frameworks and work extensively with the division to identify root causes and implement robust remediation plans. Ensure senior stakeholders are informed and that corrective measures are assigned, tracked and closed
- Monitor and understand the impact of any change or initiatives (process, technology or regulatory) on the control environment
- Understand the fundamentals of the COO minimum standard control guidelines (STARC). Provide guidance to line management to ensure required certifications are completed within specified deadlines, and that appropriate action plans are implemented
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Risk & Control Specialist Resume Examples & Samples
- Develop and implement the Corporate Compliance strategy for control oversight, and other related strategies/processes related to the Risk and Control framework
- Serve as a liaison between Business Lines and Corporate Compliance, in furtherance of implementation of Risk and Control framework and requirements in the Corporate Compliance Policy, Business Line Control Environment Policy, and Business Line Quality Assurance Policy
- Partner with Business Line Quality Assurance Functions in Quality Assurance plan development and post-execution reporting and analysis, in collaboration with Corporate Compliance Specialists
- Remain knowledgeable of and provide input to policies and procedures that impact the Corporate Compliance Risk and Control framework, to ensure alignment across risk management programs
- Assist with development and maintenance of technology enhancements related to the Corporate Compliance Risk and Control framework in partnership with STORM and other internal stakeholders
- Maintain detailed knowledge of key compliance risk management processes, regardless of where they are managed/owned
- Interact directly with senior managers, requiring an advanced level of presentation, relationship building and negotiation skills - this position will also have exposure to regulatory agencies on an as needed basis
- Provide project management leadership and coordination for process improvement or other initiatives related to above listed roles and responsibilities
- Strong risk management-related process implementation and facilitation skills
- Demonstrated management or leadership experience, including through periods of growth or other change
- Strong analytical and oral and written communication skills
- Demonstrated commitment to providing excellent customer service (internal/external)
- Possesses knowledge of risk/audit/compliance competencies, including knowledge of key compliance risk management processes
- Literacy in word processing, spreadsheets, databases, and presentations (Microsoft Office products)
- Previous experience with compliance risk management processes, including risk and control activities
- Previous experience with cross-functional strategic initiatives or program implementation
- Knowledge of or experience with GRC technologies (Archer)
- Applicable professional certifications, including Certified Regulatory Compliance Manager (CRCM)
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Divisional Risk & Control Specialist Resume Examples & Samples
- Develop and shape a consistent framework for reporting status on key US Strategic and Regulatory programs
- Understand and articulate key trends and business context for senior management reporting
- Engage with the program delivery owner to define key program milestones that will be tracked
- Ensure the milestones included encompass the full project lifecycle from Requirements to Project Go Live
- Track the dependencies that exist outside of COO and build partnerships with these teams (i.e. Front Office, Finance etc.)
- Actively manage the status of milestones, issues and risks associated with programs and challenge when necessary
- Provide standards on RAG of milestones to establish consistency across all programs
- Drive successful program execution and assist with remediating road blocks identified by program owners
- Escalate to COO Americas Senior Management programs that are not on track
- Understand full scope of programs impact to Regulatory commitments and provide recommendations to COO Americas Senior Management to supplement funding, shift resources and funds across programs and alter scope
- Previous experience in a PMO leadership role working with senior management for a medium-sized or large company with a high-growth strategy and activity
- Effective leader and results-driven; able to deal with multiple constraints while achieving high-quality results
- 10+ years in Financial Services with a strong background in Program and Project Management
- Ability to build a comprehensive understanding of key clients, subject matter, and priorities and sustain a network of strong partnerships within the business and other functions
- Strong written and verbal communicator, comfortable engaging with individuals across the spectrum from developers to Executives
- Experience using multiple project management tools and methodologies, and strong process and data analysis skills
- Strong conceptual, analytical, and critical thinking and execution skills
- Fresh-thinking, innovative style; creative insights and approaches to solving problems
- The ability to comfortably work in a change environment that is not fully defined within a fast paced environment
- Self Starter and the ability to structure deliverables and prioritize work independently
- Experience working in virtual teams, matrixed organization and collaborate across the organization
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Senior IT Risk & Control Specialist Resume Examples & Samples
- Solid understanding of the concepts and practices of IT risk management, IT process and related controls
- Ability to understand and detect business and technology issues and their impacts
- Detailed oriented, strong analytical, organization and problem-solving skills
- Excellent time management skills and a proven ability to meet deadlines and manage multiple tasks
- Previous audit or risk management experience preferable CISA, CRISC an asset
62
Risk Control Specialist Resume Examples & Samples
- Quantitatively talented individual
- Collaborative and team oriented
- Wanting to drive change
- Detail and deadline oriented
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IT Risk & Control Specialist Resume Examples & Samples
- Solid understanding and experience with various Systems and Platforms (including Distributed Systems, Unix/Linux, Mainframe, Active Directory)
- Skillful communication (written and verbal), negotiation and partnership skills to balance input but remain objective to reach the right outcome - ability to stay resilient under pressure
- Ability to communicate effectively and build good working relationships with diverse groups to identify issues, reach consensus and implement workable solutions
- Must be self-motivated, energetic and results-oriented and be committed to adding value to the team
- Experience with ACL (Audit Command Language) an asset
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Claims Risk & Control Specialist Resume Examples & Samples
- To manage and motivate staff engaged in reviews whether employed as part of the team or seconded to assist in particular reviews, ensuring the key objectives of the review are met and the responses consistent and accurate
- Maintenance of the Claims Risk and Control framework used to monitor claims staff by way of call and file reviews. The framework is to be kept up to date to ensure compliance with regulatory and legislative requirements and optimise customer service. The data from the reviews is collected and reviewed to ensure all key risks are identified and reported appropriately and that opportunities for process efficiency are taken
- To risk assess all internal areas and external suppliers on an annual basis, making recommendations for the formal review plan. Co-ordinate internal and external reviews assigned by the Claims Risk and Control Manager, ensuring that the Manager is kept up to date at each stage of the review
- To produce a plan for each review, researching each business area or supplier and scoping the review in conjunction with the Operational Management Team
- To develop an appropriate review methodology giving consideration to current best practice guidelines and/or contract clauses and service level agreements
- To conduct the fieldwork as defined within the Terms of Reference and to collate and analyse the results in a clear and logical manner. To identify performance levels, trends, training needs and to communicate the results effectively to the Claims Risk and Control Manager and Senior Management Team
- To visit External Suppliers to carry out the external reviews and to communicate business sensitive review findings to External Suppliers in a confident and professional manner. Agree recommendations to resolve any issues discovered during the review
- The coaching, mentoring and development of individuals who may be assisting the Claims Risk and Control Team on various specific reviews
- Ensure controls in place to monitor all key risks and that these controls are performed and the outcome reported to the appropriate stakeholders. Controls include but are not limited to
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Divisional Risk & Control Specialist Resume Examples & Samples
- Actively helping to drive the implementation of the department strategy and, in that context, driving design and implementation of our technology control framework around continuous assessment of our control environment
- Contributing to the design of technology risk and control programmes and policies in line with the defined risk and controlling strategy and associated risk appetite
- Implementing independent, transparent and forward-looking risk and control reporting
- Driving execution of independent reviews of risk events, identification of root causes, review of robust remediation plans and engagement with the business line
- Challenging technology control weaknesses, and providing advice to the technology business lines for sustainable risk remediation options arising from weakness, errors and external event demands
- Implementing and maintaining appropriate engagement models with other 1st and 2nd-Line functions under a 3 Lines of Defence model
- Establishing capabilities that enable a positive risk culture and drive behavioural change
- Educated to Bachelor’s degree from an accredited college or university or equivalent qualifications / work experience
- Preferably one of the following certifications: Certified Information Systems Security Professional (CISSP) or equivalent, CISA (Certified Information Systems Auditor) or equivalent and / or COBIT, ITIL, ISO27000
- Previous experience in IT Risk Management, Risk Assessments, Technology and/or Operations Audits, or IT aligned control functions
- Understanding of internal and external control, compliance and risk frameworks such as COBIT, ISO standards, ITIL, etc
- Understanding of Investment Banking functions with broad-based experience in Technology and Operations, thus understanding differing needs of stakeholders
- An exposure to technology risk
- Experienced in one or more specific technical areas within financial services, i.e. IT Service Management, Project / Programme Management, IT Audit or Governance areas
- Analytical, with flexibility regarding problem solving
- A team player, flexible, and able to work proactively in a fast-paced and changing environment
- Open minded; able to share information, and transfer knowledge and expertise to team members
- An excellent communicator (written/verbal)
- Able to interface in a multicultural environment and on all hierarchy levels
- Consistently keeping pace with technical / operational innovation, and taking ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution
