Risk Controller Resume Samples

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AR
A Reichert
Alberta
Reichert
88182 Ebony Drives
New York
NY
88182 Ebony Drives
New York
NY
Experience Experience
11/2015 – present
Philadelphia, PA
Market Risk Controller
Philadelphia, PA
Market Risk Controller
11/2015 – present
Philadelphia, PA
Market Risk Controller
11/2015 – present
  • Develop and maintain relationships with a range of clients/stakeholders including GPC, Regulatory Controllers, Business Unit, Risk Management
  • Develop and maintain relationships with a range of clients/stakeholders including GPC, -Regulatory Controllers, Business Unit, Risk Management
  • Lead, develop, and manage a team of world class analysts from end to end
  • Manage BTI steering group
  • Provide ad-hoc analytical support to clients
  • Lead quarterly working groups across all products to ensure ongoing monitoring compliance
  • Identify opportunity areas and build partnerships across the firm within Risk Management, Regulatory Reporting, Finance, Middle Office and Technology
08/2012 – 05/2015
Houston, TX
Risk Controller
Houston, TX
Risk Controller
08/2012 – 05/2015
Houston, TX
Risk Controller
08/2012 – 05/2015
  • Performing/Non-performing exposures
  • Summarize key liquidity & funding risks and developments for senior management as well as corresponding updates with regulators and auditors
  • Contribute to improvements in analysis and reporting of legal, geographical, regulatory and operational constraints on free movement of funds
  • Be encouraged to think creatively, challenge status quo, and work independently towards strategic solutions
  • Funds transfer pricing framework
  • Provide independent control over funding gaps by tenor and currency as well as the long-term funding profile
  • Contribute to the refinement of industry leading liquidity & funding risk management and control methodologies and infrastructure
03/2007 – 02/2012
Boston, MA
Junior Treasury Risk Controller
Boston, MA
Junior Treasury Risk Controller
03/2007 – 02/2012
Boston, MA
Junior Treasury Risk Controller
03/2007 – 02/2012
  • Provide independent oversight over structural balance sheet and banking book risks and assume the main responsiblity for daily controls under the supervision of senior MROs. This includes on a daily basis
  • Support improvements in risk reporting to effectively highlight critical and less-visible risks. Articulate and advocate for systems enhancements necessary to improve reporting efficiency and quality
  • Support the heads of Structural Balance Sheet Risks and Banking Book with projects and general oversight over Treasury activities: Potential activities could include supporting developments regarding
  • Various Limit framework reviews
  • Holistic structural balance sheet risk framework
  • Strong results orientation and adept at working in a fast-paced, high-energy level environment
  • Ensuring adherence to limit framework
Education Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
San Diego State University
Bachelor’s Degree in Business
Skills Skills
  • Excellent analytical and problem-solving skills with an acute attention to detail
  • Strong team player who can work well and build partnerships with colleagues of various levels, across multiple locations
  • Ability to critically challenge with the goal of identifying control issues
  • Self-motivated and comfortable working with large amounts of data
  • Deep technology risk and control knowledge from working in similar positions
  • Excellent verbal and written communication skills
  • Ability to excel in a dynamic environment through efficient prioritization and consistent execution
  • Experience of Software Development Lifecycles and supporting controls
  • Advanced desktop/spreadsheet/database skills
  • Proven track record of strategic issue resolution
Create a Resume
1

Market Risk Controller Resume Examples & Samples

  • Generate accurate & timely reports for senior clients on daily/weekly basis
  • Prepare and maintain weekly/monthly risk metrics
  • Partner with IT and other groups to facilitate resolution of issues
  • Interpret policies and advise clients on capital indicators
  • Ensuring that assigned projects are delivered on time and any issues escalated proactively
  • Work with wider team/other teams on new regulations / policies impacting firm’s market risk capital requirements
  • Develop and maintain relationships with a range of clients/stakeholders including GPC, Regulatory Controllers, Business Unit, Risk Management
  • Develop an understanding of the various products and businesses for which we provide support
  • Partner with wider MRC team both locally and globally on cross silo initiatives/projects
  • Maintain functional policies and procedures
  • Appropriately escalate risk issues to local management
  • Provide adhoc analytical support to clients
  • Good communication skills are essential. In particular the ability to effectively communicate with senior clients
  • Candidates should have a “can do” approach with a close attention to detail, having the ability to investigate and progress issues logically through to their conclusion
  • High level of guardianship – the candidate should be focused on guardianship and ensuring that exceptions are identified, resolved and escalated on a timely basis
  • Ability to make decisions under pressure and justify those decisions
  • Ability to meet tight reporting deadlines, manage time and prioritise effectively
  • High level of organisational skills – including proactively keeping management updated as to any issues or problems that may arise
  • Candidate must be able to work well within both a local and global (virtual team) environment
  • Intermediate Excel (including pivots and formulae) and general MS Office skills desirable
  • An interest and awareness of financial markets and products
  • Prior experience within Financial services, particularly with product controller, risk management or related functions
  • An awareness of the Market Risk regulatory framework (e.g. Basel framework)
  • An Accounting /Finance/Mathematical/Risk Management degree or equivalent
2

Market Risk Controller Resume Examples & Samples

  • Experience in Basel regulations / risk Based Capital guidelines, project management and or Market risk reporting
  • Familiarity with fixed income, equity, and other traded securities
  • Self motivator and team player with strong interpersonal skills
  • Undergraduate degree in Finance, Computer Science, or Engineering related areas
  • Ability to manage dynamic priorities with attention to details
  • Ability to meet deadlines and deliver quality work in a fast-paced environment
  • Strong proficiency with Microsoft Office, including Excel, PowerPoint, and Outlook
3

IT Process & Risk Controller Resume Examples & Samples

  • Ensure operational effectiveness of the service
  • Perform data mining analysis on collected data
  • Provide expertise on the tools used as part of the service delivery
  • Conduct privileged administration tasks and data validation activities
  • Liaise with Bank staff and coordinate quality improvement activities
4

Risk Controller Resume Examples & Samples

  • Conduct ESR assessments in onboarding and transaction due diligence processes
  • Support the team in reviewing and further developing standards, methodology, tools and processes to identify, assess and manage ESR and to set the firm's ESR appetite
  • Monitor emerging ESR and contribute to portfolio reviews
  • Deliver internal training and support related communications measures
  • Contribute to UBS's environmental and human rights reporting and disclosure and answering external requests
  • Director level candidates will be considered as well
  • LI-SM1
5

Risk Controller Resume Examples & Samples

  • Establish and maintain strong working relationships with Group and EMEA Regional Treasury, Asset Liability Management, Risk Control and Finance functions
  • Provide independent oversight and control over liquidity & funding risks for Group, with particular focus on the EMEA region
  • Liquidity & funding model assumptions, output and interpretations
  • Liquidity & funding status, risk appetite and capacity
  • Sizing, investment guidelines and composition of liquidity portfolios
  • Liquidity & funding limits and targets
  • Liability structure analysis and funding plan/strategy
  • Contingency funding plan
  • Funds transfer pricing framework
  • Liquidity & funding parameters and assumptions in Earnings at Risk, Capital at Risk and Combined Stress Testing models
  • Contribute to the refinement of industry leading liquidity & funding risk management and control methodologies and infrastructure
  • Review and assessment of Basel III liquidity & funding risk framework implementation, including Liquidity Coverage Ratio (LCR), Net Stable Funding Ratio (NSFR) and intraday liquidity monitoring
  • Provide independent control over funding gaps by tenor and currency as well as the long-term funding profile
  • Support design efforts for liquidity & funding risk scenario parameterization, stress testing design and analysis
  • Enhance existing scenarios to address changes in liquidity & funding risk profile in light of evolving regulatory requirements and best practice
  • Contribute to improvements in analysis and reporting of legal, geographical, regulatory and operational constraints on free movement of funds
  • Support establishment of reports to reflect cross border and cross-entity funding dependencies
  • Summarize key liquidity & funding risks and developments for senior management as well as corresponding updates with regulators and auditors
  • Develop enhancements to liquidity & funding risk reporting and representation
6

Junior Treasury Risk Controller Resume Examples & Samples

  • Establish strong working relationships within Treasury Risk Control, and with Treasury, Group Asset Liability Management, with other functions within Group Risk Control and with relevant Finance functions
  • Provide independent oversight over structural balance sheet and banking book risks and assume the main responsiblity for daily controls under the supervision of senior MROs. This includes on a daily basis
  • Understanding and controlling of transactions
  • Reviewing daily risk reports
  • Writing commentary
  • Driving book setup and book hierarchy related tasks
  • Support the heads of Structural Balance Sheet Risks and Banking Book with projects and general oversight over Treasury activities: Potential activities could include supporting developments regarding
  • Holistic structural balance sheet risk framework
  • Asset/Liability strategy
  • Accounting mismatches
  • Net interest income and Net interest margin sensitivity
  • Various Limit framework reviews
  • Assisting on presentation to senior stakeholders and external parties
  • Actively taking responsibility for the monthly risk reporting efforts
  • Support improvements in risk reporting to effectively highlight critical and less-visible risks. Articulate and advocate for systems enhancements necessary to improve reporting efficiency and quality
7

Risk Controller Resume Examples & Samples

  • Collecting and consolidation process of group figures regarding
  • Impairments
  • Performing/Non-performing exposures
  • Forbearance reporting
  • Sector reporting
  • Liquidity reporting
  • Preparation of regulatory reporting to the Dutch Central bank, ECB, EBA etc
  • Support the worldwide network regarding the reporting requirements via the reporting & consolidation application (Tagetik) used by Rabobank
  • Accountability and ownership on data quality
  • Proactive attitude towards improvements in reporting
8

Senior Risk Controller Resume Examples & Samples

  • Country risk reporting
  • Final responsible for a set of reports
  • Participating in projects for the implementation of new reporting requirements
  • Preparation of regulatory reporting’s to the Dutch Central bank, ECB, EBA etc
  • Improve quality of processes and reporting
  • Improve efficiency of reporting and correlation between different reports
9

Regional Shortage Risk Controller Resume Examples & Samples

  • Identify process and locational risks , develop controls, training and best practices that support omni channel sales, service and shortage
  • Lead change through controls and technology implementation
  • Leadership – interpersonal, presentation and persuasive skills combined with verbal and written strength
  • Prior retail experience a plus, 4 year degree is required
10

Market Risk Controller Resume Examples & Samples

  • Fixed income and Equity Risk Control: This team provides reporting and analytical services to clients in the Business Unit and Market risk department. The principal goal of the risk control function is to ensure the information within firm aggregate risk systems is complete and accurate
  • Regulatory Backtesting: This team is responsible for executing a daily backtesting process – designed to test the validity of the firms risk models which are used to drive the firms Value at Risk calculations. Backtesting is a regulatory requirement whenever a firm employs a Value at Risk based market risk approach. The process involves analysis and reporting on a comparison between the firms economic trading P&L versus the firms Value at Risk measure. Key clients are the Market Risk Department and Regulatory controllers
  • Capital Indicator assurance: This team executes a series of control processes designed to ensure that firm activity is classified correctly for capital purposes. The parameters of this process are based upon regulatory requirements. Core responsibilities are to review the capital indicators assigned to firm activity to ensure the firms Market Risk Capital calculations are based upon the correct population of firm activity. In addition the team facilitate the overall governance structure for capital indicators and are pivotal in designing and delivering a range of training and reference material to stakeholders (primarily Product Controllers) to help them assign capital indicators appropriately. Key clients are the Market Risk Department, Regulatory controllers, Accounting policy and the Credit Department
  • Work with wider team/other teams on new regulations / policies impacting firm’s market risk capital requirements or processes
  • Provide ad-hoc analytical support to clients
  • Good communication and analytical skills are essential. In particular the ability to effectively communicate with senior clients
  • High level of organisational skills – being able to manage time effectively
  • Candidate must be able to work well within a local and global team environment
  • Prior experience within Financial services, particularly with product controller, regulatory or related functions
  • A degree in Finance/Accounting/ Mathematics/Engineering
11

Regional Shortage Risk Controller Resume Examples & Samples

  • 4 year degree
  • Strong written, verbal, and analytical skills
  • Ability to break a process into steps, and develop alternative processes
  • Strong organizational skills, effective time management allowing for multitasking
  • Computer literacy - proficiency in Word, Excel, and PowerPoint
  • Prior retail experience required
  • Must have experience managing a team of individuals
  • Multi-store or training experience a plus
12

National Shortage Risk Controller Resume Examples & Samples

  • Proactively impact results and drive item file accuracy across omni-channel by delving into the processes, providing greater oversight and creating shortage awareness
  • Identify process and locational risks , develop controls, training and best practices that support omni-channel sales, service and shortage
  • Interpersonal, presentation and persuasive skills combined with verbal and written strength
  • Ability to juggle multiple tasks, changing priorities and rapidly execute
  • Problem solving skills, ability to break down intricate processes into logical steps with attention to details
  • Computer literacy and quick learning skills
13

Risk Controller Resume Examples & Samples

  • Conduct ESR assessments in on-boarding and transaction due diligence
  • Review and enhance standards, tools and processes to identify, assess and manage ESR in UBS Region Switzerland
  • Monitor emerging ESR and contribute to portfolio reviews as directed by senior management
14

Market Risk Controller Modeling Resume Examples & Samples

  • Developing price verification models. Models must capture the economic and statistical properties of the underlying market risk factors. An Associate will analyze the quality and availability of independent data inputs to the models, and will design them accordingly
  • Implementing new models as well as providing ongoing testing and support for existing models
  • Documentation and quality control of models
  • Performing exotic structure pricing analyses
  • Broad exposure to pricing and calibration models for a variety of products
  • Exposure to challenging quantitative problems such as modeling risks for derivatives, large scale Monte-Carlo simulations of complete portfolios across the firm, fast and accurate approximate market risk measurements
  • Development of quantitative and programming skills as well as product and market knowledge
  • Opportunities to work with product controllers in various areas of the firm
  • Dynamic team work environment
  • PhD or Master’s candidate in a quantitative field such as mathematics, physics, statistics or engineering
  • Excellent command of mathematics, modeling and numerical algorithms. Good knowledge of statistics and time series analysis a definite plus
  • Strong programming skills and experience with an object oriented programming language (Java ok, C++ preferred)
  • Self-motivated team player
15

National Shortage Risk Controller Resume Examples & Samples

  • Strong working knowledge of OMNI channel process and systems
  • Experience in reverse logistic process, systems and accounting
  • Identify process and locational risks, develop controls, training and best practices in support Omni channel sales, service , gross margin and shortage
  • Create bench marks against which to measure the performance of company operations
  • Lead change through companywide standardization
  • Implement technology to improve efficiency and effectiveness
  • Four year degree/ Finance/Economics/ Retail logistics/Ecommerce
  • Prior retail experience a plus,
  • Time Management -Organization – ability to juggle multiple tasks, changing priorities and rapidly execute
16

Market Risk Controller Resume Examples & Samples

  • Capital Indicator assurance: This team executes a series of control processes designed to help ensure that firm activity is classified correctly for capital purposes. The parameters of this process are based upon regulatory requirements. Core responsibilities are to review the capital indicators assigned to firm activity to ensure the firms Market Risk Capital calculations are based upon the correct population of firm activity. In addition the team facilitates the overall governance structure for capital indicators and is pivotal in designing and delivering a range of training and reference material to stakeholders (primarily Product Controllers) to help them assign capital indicators appropriately. Key clients are the Market Risk Department, Regulatory controllers, Accounting policy and the Credit Department
  • Ability to meet tight reporting deadlines, manage time and prioritize effectively
  • High level of organizational skills
  • 4+ years of prior experience within Financial services, particularly with product controller, regulatory or related functions
17

Treasury Risk Controller Resume Examples & Samples

  • Reviewing risk exposures
  • Ensuring adherence to limit framework
  • Writing brief summary commentary
  • Driving book set-up and book hierarchy related tasks
  • University degree in Finance or a quantitative discipline; CFA / FRM or equivalent education is a plus. Strong preference for a hands-on quick learner, quantitatively talented individual with communication skills. Previous work experience not required, but preference given to candidates with some experience in the financial industry or academic focus on finance (e.g. internships, first full positions). Candidates with more work experience are also considered Some knowledge of risk management including risk metrics (e.g. VaR, Stress testing, sensitivity analysis) is preferred Software requirements: Strong preference for candidates with good working knowhow of Microsoft office, but especially Excel and PowerPoint. VBA knowledge is a plus
18

Junior Interest Rate Risk Controller Resume Examples & Samples

  • Assist the manager with the implementation and enhancement of a robust control framework for interest rate risk in the banking book (IRRBB)
  • Review and monitor exception reporting to ensure quality and control of source system data
  • Analyze and understand data discrepancies and work with Technology to identify systematic solutions
  • Maintain and update procedures
  • Understanding of balance sheet / income statement and basic knowledge of traditional bank products
  • Strong MS Excel skills to pivot and manipulate large data sets
  • Ability to work effectively with colleagues to meet a common goal
19

Interest Rate Risk Controller Resume Examples & Samples

  • Interface and partner with key stakeholders across the Finance division to reconcile and substantiate the banking book balance sheet on a monthly basis
  • Understanding of balance sheet/income statement and basic knowledge of traditional bank products
  • Good inter-personal skills in order to interact confidently with key stakeholders
  • Strong attention to detail and ability to work under tight deadlines
  • At least 2 years of experience in a control function
20

Head of Interest Rate Risk Controller Team Resume Examples & Samples

  • Lead the implementation and enhancement of a robust control framework for interest rate risk in the banking book (IRRBB)
  • Interface and partner with key stakeholder across the Finance division to reconcile and substantiate the banking book balance sheet on a monthly basis
  • Provide support on balance sheet and net interest income (NII) to assist in back-testing the asset/liability management (ALM) model output
  • Management of the Budapest Interest Rate Risk Controller team including
  • Coordinate and oversee daily / monthly tasks of 3 junior team members to ensure data quality and control of source system data
  • Being an escalation contact for unresolved / complex issues in the team
  • Monitor the team’s performance
  • Provide regular feedback to direct reports and prepare career paths accordingly
  • Oversight of Interest Rate Risk modeling team (additional 3 people), which are responsible for model back-testing and assumption sensitivity analysis
  • Knowledge of balance sheet / income statement and product knowledge of traditional bank products
  • Strong inter-personal skills in order to interact confidently with key stakeholders
  • Understanding of asset liability management and interest rate risk is desirable
  • Ability to work under pressure to meet tight deadlines and produce high quality output
  • Willingness to take initiative to develop and improves processes
  • Strong people management and team leadership skills
  • Strong analytical capabilities including ability to summarise complex business problems and detailed analysis with clarity and brevity
  • Strong teamwork skills with an ability to work with virtual teams and colleagues across the regions contributing to common goals
  • The ideal candidate will possess at least 7 years working experience in a control function and will have at least 2 years of people management experience
21

Market / Treasury Risk Controller Resume Examples & Samples

  • Work in a team of dedicated risk officers to oversee the Group's structural balance sheet risks, such as structural FX, sell-down process, unsecured funding / cash management, UBS debt issuances, employee compensation schemes, pension risk, among other topics
  • The Structural Balance Sheet Risks team is also responsible for (i) monitoring accounting asymmetries on Group level (ii) controlling Treasury related risks of particular subsidiaries and (iii) liaising with the central risk aggregation and risk methodology teams
  • Become the main subject matter expert for parts of Structural Balance Sheet Risk control areas
  • Provide oversight, analysis, limit adherences controls and other risk controls tasks of portfolios on a daily basis
  • Assess inherent funding, interest rate and FX risks in multi-currency balance sheets
  • Engage with risk managers to scrutinize overall risk profile, risk capacity, but also individual transactions
  • Responsible for periodic reporting (editorial, commenting, report generation oversight)
  • Drive development and implementation of early-warning metrics, risk sensitivities controls, stress testing, Risk-based P&L sensitivity analysis and tail-risk analysis
  • Reviewing and approving transactions / new business activities in accordance with the Risk Authorities
  • Liaise with central risk aggregation teams to define and improve risk capture of Group ALM in VaR, Stress tests and other risk metrics
  • Work in close collaboration with other stakeholders within the organization to assess and improve current control processes and establish new measures or controls as required
  • Be engaged to develop and review policies, guidelines and reporting frameworks
  • Keep up to date in legal, regulatory and procedural changes
22

Credit Risk Controller Resume Examples & Samples

  • Influence the direction of Credit Risk control processes and support the global expansion of the Credit Risk Controllers into India
  • Be encouraged to think creatively, challenge status quo, and motivate team members toward strategic objectives
  • 4+ years relevant experience in financial services performing finance, accounting or analytical functions
  • Capability of working under pressure, prioritize multiple tasks, and bring tasks to closure
23

Market Risk Controller Resume Examples & Samples

  • Produce SEC and External Regulatory Reporting in compliance with evolving guidelines
  • Identify opportunity areas and build partnerships across the firm within Risk Management, Regulatory Reporting, Finance, Middle Office and Technology
  • Bachelor’s degree in Business, Finance or Accounting with 4+ years of relevant work experience
  • Ability to critically challenge with the goal of identifying control issues
  • Advanced desktop/spreadsheet/database skills
  • Ability to understand business drivers and requirements and influence partners to deliver solutions to business issues and problems
  • Ability to excel in a dynamic environment through efficient prioritization and consistent execution
  • Proven track record of strategic issue resolution
24

Market Risk Controller Resume Examples & Samples

  • Influence the direction of Market Risk control processes and support the global expansion of the Market Risk Controllers into India
  • 8+ years relevant experience in financial services performing finance, accounting or analytical functions
  • A developed leadership presence capable of effective messaging of complex systems and processes to junior team members and upper management alike
  • Understanding of securities, derivatives, and/or loan products
25

Risk Controller Resume Examples & Samples

  • Align Firmwide Risk information with external disclosures to create an integrated view of Finance & Risk
  • Be encouraged to think creatively, challenge status quo, and work independently towards strategic solutions
  • Have the ability to dissect large datasets, identify themes, and deliver concise messages to management
  • Support the global expansion of the Market Risk Controller team into India by providing world class data analytics
  • Master’s in Business Administration, CFA or other finance certifications preferred, but not required
  • Strong team player who can work well and build partnerships with colleagues of various levels, across multiple locations
  • Self-motivated and comfortable working with large amounts of data
  • Excellent analytical and problem-solving skills with an acute attention to detail
26

Risk Controller Resume Examples & Samples

  • Influence the Control Agenda of Market Risk and Credit Risk control processes and support the global expansion of the Risk Controllers into India
  • Monitor the current migration and the existing process, review the control gaps, Identify Strategic Solution to bridge gaps and perform periodic review of the Controller function
  • Bachelor's degree in Business, Finance or Accounting (or equivalent experience)
  • Established track record of delivery in a complex environment, ability to multi-task and flex to business changes
  • Excellent working knowledge of MS Excel (Pivot tables, v-lookups) and PowerPoint, Microsoft Access desirable
27

Market Risk Controller Resume Examples & Samples

  • Support accurate and timely execution of control processes/reporting
  • Work with wider team/other teams on new regulations / policies impacting firms market risk capital requirements
  • Drive and determination- an ability to proactively push projects/processes forward
  • High level of guardianship the candidate should be very focused on guardianship and ensuring that exceptions are identified, resolved and escalated on a timely basis
28

Market Risk Controller Resume Examples & Samples

  • Fixed income and Equity risk control
  • Regulatory Back testing
  • Covered Position (Banking Trading) Governance (BTI)
  • Global project management
  • Working with functional coordinators
  • Managing compliance with regional regulatory deliverables
  • Point person on cross divisional strategic initiatives
  • Building out and or enhancing processes to support regulatory divergence related to the Covered position boundary definition
  • Monitor emerging regulatory issues
  • Assess the impact of evolving standards
  • Lead data analysis and documentation efforts related to banking/trading treatments and Strategic architecture initiatives
  • Interact with business units and corporate functions related to new transactions
  • Periodically update policies and procedures as new guidance is issued
  • Participate in training
  • Manage BTI steering group
  • Work with stakeholders to ensure documentation standards are applied
  • Capture and report metrics to the Basel Steering committee
  • Lead quarterly working groups across all products to ensure ongoing monitoring compliance
  • 8 plus years’ experience in Basel regulations / risk Based Capital guidelines, project management and or Market risk reporting
  • Self-motivator and team player with strong interpersonal skills
29

Market Risk Controller Resume Examples & Samples

  • Develop and maintain relationships with a range of clients/stakeholders including GPC, -Regulatory Controllers, Business Unit, Risk Management
  • Maintain functional policies and procedures appropriately escalate risk issues to local management
  • LI-SB2
  • 6 plus years’ experience in Product Control / Basel regulations / risk Based Capital guidelines / project management and or Market risk reporting
30

Wm-business Risk Controller Resume Examples & Samples

  • Suitability Reviews
  • Performing phone tape listening of mismatch trades on the Daily Risk Mismatch reports
  • Documenting the result of reviews of mismatch trades flagged up in the risk mismatch report
  • Liaising with Business Managers on information required as part of the mismatch review
  • Escalating identified exceptions to Management and Compliance
  • Reviews need to be performed and results reported in a timely manner
  • Staff is expected to be fluent in English and Cantonese to perform the phone tape listening exercise. Mandarin language skills would be advantageous
  • Regulatory Knowledge
  • Staff is expected to have a good understanding of BNP Paribas Wealth Management Asia’s procedures and guidelines related to Suitability and the Selling process and understanding of HKMA, HK SFC and MAS guidelines, and Head Office procedures in relation to Suitability and the Selling process
  • Audit coordination undertaken by regulators & internal /external auditors
  • As part of the role, staff is required to prepare periodic reports to Management and Compliance
  • Staff must ensure that the report preparation process is efficient, data integrity is maintained and reports are issued on a timely basis
  • Staff is expected to escalate issues to Department Head in a timely manner for resolution
  • Staff is expected to participate in regular meetings within team to discuss operational matters, progress status and specific issues noted
  • University Degree Holder with minimum 5 years of relevant private banking working experience
  • Experience in a business management / business risk monitoring position and/or project management with the relevant understanding of Front Office operational framework is highly appreciated
  • Good understanding of regulatory environment and suitability framework
  • Good written and oral skills
  • Good English and Mandarin language skills
31

Market Risk Controller Resume Examples & Samples

  • Ensure a good understanding of market risks in the T&M desks
  • Keep abreast of regulatory developments, enhance treatment of risk capture in the Trading book
  • Market risk assessment to ensure risks are properly captured, measured, monitored, controlled and reported, covering new products/ business requirements, regulatory requirements, study on risk engine re-platform
  • Responsible for market risk control, including limit setting, monitoring, analysis and escalation
  • Handle project assignments to improve / streamline risk metrics and reporting / stress testing / source systems changes / upgrades
32

Business Risk Controller Resume Examples & Samples

  • Main responsibilities are to perform post-trade controls on Investment Suitability requirements as per bank's and regulators (MAS/HKMA) rules and regulations, and act as an education utility to remind FO of their requirements when executing investment transactions with clients
  • The team acts as a control-execution function within the bank's 1st level control risk framework, aimed at improving risk effectiveness and culture
  • Based on findings, assist RM to carry out necessary actions for proper rectification with clients
  • As business partner to RMs, helps to rectify issues, ensures RMs understand certain regulations that’s been imposed, to aid RMs in improving risk behaviour
  • Manage, coordinate and effective communication with cross functional groups at key decision stages to facilitate the decision making process relating to business risk matters
  • Play a proactive role to continuously review and assessment on the effectiveness and adequacy of the controls
  • Identify and drive opportunities to enhance efficiency and effectiveness of front office processes
  • Take on ad-hoc projects as assigned by Department Head
33

Senior Analyst Market Risk Controller Resume Examples & Samples

  • Lead Risk through the annual Firmwide Resolution & Recovery planning process including Firmwide crisis simulation
  • Influence the direction of Market Risk control processes and support the global expansion of the MarketRisk Controllers into India
  • Execute the team agenda, identify opportunity areas and influence key stakeholders across the firm within Risk Management, Regulatory Reporting, Finance, Middle Office and Technology
34

Risk Controller Resume Examples & Samples

  • 1) Vendor Portfolio risk management - Work with 3rd party technology vendors to manage their risk portfolios to make sure they sync up with client's risk portfolio
  • 2) Permit to build tollgate design - Will be designing permit to build tollgates for new technology products coming into work space services
  • 3) Identifying security risks working with outside vendors - Managing/following risks that vendors are tracking to be sure that the bank is following the same risks and vice versa
  • Identify, characterize threats
  • Assess the vulnerability of critical assets to specific threats
  • Determine the risk (i.e. the expected likelihood and consequences of specific types of attacks on specific assets)
  • Identify ways to reduce those risks
  • Prioritize risk reduction measures based on a strategy
  • Minimum of 5-7 years of applicable experience
35

BMW Risk Controller Resume Examples & Samples

  • Financial analysis and modelling to validate and challenge (including stress testing and back testing) of all existing and new financial models developed by the Risk Management Team
  • Preparation of monthly risk reserves to ensure current exposure is adequately provided for
  • Responsibility for all areas of risk reporting to Headquarter, including review and validation of risk positions within month end reporting
  • Work closely with financial accounts to ensure accurate and timely reporting of risk costs and balance sheet positions
  • Review and challenge of planning assumptions from Risk Management, before calculating P&L/Balance Sheet movements to be included within Forecasts and Budgets
  • Build working relationships with key stakeholders across the business
  • Ensure Risk Controlling procedures are fully documented
  • Ensure high accuracy and quality of work whilst maintaining strict reporting deadlines
  • ACA/ACCA/CIMA qualified or finalist level accountancy qualification or equivalent ideally with commercial experience in dynamic organisation (preferably Financial Services or similar business)
  • Strong analytical and data manipulation skills
  • Ability to convert complex financials into easily understandable key point summaries and present to staff at all levels within the organisation
  • SAS Experience desirable but not essential
  • Strong academic background, degree-level education in a numerate discipline
  • Ability to produce high quality analysis for use at senior level decision making and planning
  • Ability to work effectively in a time pressured environment and prioritise own workload
36

Shortage & Risk Controller Resume Examples & Samples

  • Develop and maintain effective communication with Store, District, and Regional teams to create strong partnerships to achieve common goals
  • Participate in Regional calls (RVP, Ops, LP) and District calls as appropriate
  • Assist in the ongoing development and maintenance of the company Loss Source and Risk Reduction plans, Minimum Merchandise Protection Standards and Shortage/Risk Program components to address changing needs of the business
  • Maintain comprehensive and current knowledge of Macy’s and Shortage/Risk Policies & Procedures to act as a resource and content expert for stores, and use in measurement of store adherence
  • Train, educate, and advise store management teams on all risk mitigation, OSHA, Shortage/Risk Program requirements and company operating policies and procedures
  • Review and analyze operational process reporting affecting shortage, Risk and profitability. Perform follow up with stores on sub-standard performance
  • Develop site specific Risk action plans, focusing on high frequency departments and accident types to reduce Workers’ Compensation and General Liability frequency rates
  • Assist in the development of store Shortage Reduction Strategies and monitor input of In-store Audit Scoring document results for assigned districts
  • Identify high injury areas and submit appropriate recommendations for known loss source/identified potential Risk hazards and Risk program deficiencies
  • Conduct compliance audits to validate stores’ execution of the Shortage/Risk program and company procedures. Document findings and coach management teams on areas of opportunity and help develop strategies to ensure corrective actions are taken to address deficiencies
  • Coordinate training of store teams relative to accident mitigation, inventory preparation, execution and reconciliation. Provide additional training as required based on accident data, loss trend analysis, and evaluation of individual store needs
  • Manage, in partnership with store and district teams, store inventory preparation, execution, and reconciliation. Perform centralized inventory reconciliation and submit adjustments on stores’ behalf
  • Participate in On-Floor GSM Shortage meetings, district Deep Dive visits, Risk Meetings, and Shortage Reduction Meetings to strengthen partnerships and raise awareness levels within stores
  • Bachelor Degree required, Retail experience preferred
  • 2-4 years of management experience preferred
  • Detail oriented, ability to multi-task, and excellent follow-through required
  • Self-motivated and ability to work well with minimal supervision
  • Proficiency in MS Office required (Excel, Word)