Business Control Analyst Resume Samples
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Business Control Analyst Resume Samples
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MC
M Cormier
Marguerite
Cormier
5709 Greenfelder Keys
Los Angeles
CA
+1 (555) 743 9765
5709 Greenfelder Keys
Los Angeles
CA
Phone
p
+1 (555) 743 9765
Experience
Experience
New York, NY
Business Control Analyst
New York, NY
Reynolds and Sons
New York, NY
Business Control Analyst
- Perform Control manual reports and follow up on performance indicators associated with such
- Track audit grades for Centers to provide monthly reports to senior management
- Review and report on SLA metrics, contracts due to be renewed. Working with the TSM and Risk Control Managers
- Work closely with commercial and aftermarket departments and monitor performance and forecasting
- Assists with continuous improvement initiatives
- Develop and implement a tailored business performance report focused on operational KPIs,
- In conjunction with business planning and management staff, assist in the preparation of short and long-term strategic business plans
Phoenix, AZ
Cib-is Business Control Analyst
Phoenix, AZ
Runolfsson, Gibson and Schumm
Phoenix, AZ
Cib-is Business Control Analyst
- Present results to a more senior audience allowing for great exposure and networking opportunities
- Gain knowledge/exposure to Investor Services, including: products, end-to-end trade lifecycle, current events impact to business, and acclimating to a heightened regulatory environment
- Strategic thinking to improve process and enhance risk capture/mitigation
- Analyst will manage the monthly Control Forum process from start to finish
- Investigate root cause – determining the original cause of a risk event, highlight themes and discover control gaps
- Coordinate meeting preparation with senior functional group members
- Present a portion of the control update to business head and senior functional members
present
New York, NY
Business Control Analyst, Shanghai, HRS, Corp
New York, NY
Bogan-Stroman
present
New York, NY
Business Control Analyst, Shanghai, HRS, Corp
present
- Perform testing based on the Risk Control Matrix and identify control gaps /improvement opportunities
- Assist regional Business Control Lead in carrying out investigations
- Perform Root Cause Analysis for identified control weaknesses
- Prepare exceptions reporting with prioritized improvement recommendations
- Conduct SOX and HRS policies/ procedures controls testing and defect identification
- Train HRS employees on Integrity & Compliance, and Controls Awareness, including completion of Business Controls Assessment form and Risk Assessment matrix for HR Services processes
- Support Business Controls Lead on internal/external audit coordination
Education
Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
University of North Texas
Bachelor’s Degree in Business
Skills
Skills
- Excellent communicator, able to build effective working relationships and to challenge and influence people at all levels in the organization
- Detail oriented ability to analyze problems, probe facts and question assumptions using fact based decision-making
- Good knowledge of SAP would be advantageous
- Strong attention to detail
- Strong time management skills and proven ability to manage conflicting priorities
- Strong analytical skills/ability to research, interview, and probe appropriately for understanding
- Demonstrable an in-depth understanding of
- Forwarding Industry Knowledge Advantageous
- Excellent oral and written communication skills
- MS Office (Advanced knowledge of excel)
15 Business Control Analyst resume templates
Read our complete resume writing guides
1
Business Control Analyst Resume Examples & Samples
- Review and contribute in the preparation of Quality Assurance reports using sound writing skills
- Partner with business and legal teams to identify and remediate control weaknesses identified thru audits
- Perform testing and assessments of vendor financial, operations, and risk trends
- Perform detailed QA review work (Operations, transactions and systems) and document test work, and validate the hypothesis, with the goal of appraising the internal control environment
- Participate on task forces and special projects as assignedto assist clients in developing appropriate internal control systems or to monitor significant changes in control systems
- Clearly communicate all Business QA review requirements and timeframes to appropriate parties
- Ensure results and recommendations are presented to external and internal management in a timely manner and that subsequent information is issued promptly
- Manage process and/or control opportunities; and partner with liaison to ensure timely remediation
- Stay abreast of business control and default servicing best practices
- Maintain independence and objectivity in all assignments and demonstrate high ethical standards
- Manage and document all QA review communications
- Candidates must have 1-3 years of audit / controls experience
- Candidates should display strong analytical skills, and have 1-3 years process mapping experience
- Candidates should be action oriented with a focus on results, display strong analytical skills, be able to assess and clearly articulate complex ideas and possess creativity
- Ability to analyze and apply regulatory requirements to existing or proposed policies, procedures and processes
- Ability to compile information and provide recommendations to enhance existing reports/processes
- Must possess exceptional organizational and time management skills
- Must be able to effectively handle competing priorities and have the ability to work as a part of multiple teams
- Must enjoy working in a fast-paced business environment
- Strong PC skills to include MS Word, Excel
- Visio (computer skill), Past Testing and Testing Script Writing Skills a plus
- Welcomes and is adaptable to change
- Willingness to commit to working extended hours as deadlines require
2
Business Control Analyst Resume Examples & Samples
- Have rich experience in working in multiple complex projects as BA and lead test coordinator
- Strong customer service and team orientation skills
- Ability to work in a team structure with little supervision
- Proficient in Excel, Word, Powerpoint and MS Project
- OS - Mainframe MVS, Windows
3
Business Control Analyst Resume Examples & Samples
- Identify, analyze and review findings/risks with Retail Services management
- Perform results reporting
- Make recommendations and collaborate with business units on ORMU programs for CoB
- Work with business units to coordinate deliverables for any required audits
- Support compliance with all policy and regulatory requirements for CoB and ORMU activities
- Minimum of 5 years of operations work experience is required
- Experience in compliance, CoB, or risk control preferred
- Strong analytical and reporting skills are required
- Must have excellent communication skills, both written and verbal. Experience with facilitating meetings, developing and delivering written communications, including powerpoint presentations
- Demonstrated ability to influence and engage other is essential
4
VP, Business Control Analyst Resume Examples & Samples
- 2-5 years of Risk/Controls experience preferred
- Strong analytical skills/ability to research, interview, and probe appropriately for understanding
- Must be able to accomodate up to 25% travel
5
Business Control Analyst Resume Examples & Samples
- A minimum of five years' experience in Retail Banking (Consumer Banking or Commercial Banking); including Operational Risk Management, Risk Management, Audit, Compliance or Control positions
- Strong analytical skills applicable across different functions, products and portfolios
- Demonstrated relationship management skills with ability to deepen relationships and build partnerships across business units and key functional support areas
- Demonstrated ability to influence and engage a group of diverse stakeholders
6
Business Control Analyst Resume Examples & Samples
- College diploma or university degree, with focus on mathematics, statistics or business
- Experience working within a credit, collections or customer service environment is preferred
- Strong analytical ability in order make recommendations for specialty accounts and identify opportunities for improvement where needed
- Experience using Excel or Access to create and manage data is required
- Strong communication skills in order to work positively in a team orientated manner across all levels of business both externally and internally
- Ability to present ideas and information clearly with management
- Independently conducts assigned responsibilities, prepares documents, advising line management on requirements and ensures appropriate controls are in place
7
Business Control Analyst Resume Examples & Samples
- Complete bi-yearly testing of all high/very high risk controls and at minimum annually for medium and low risk controls
- Work with the LOB for deficiency placement and control rating reviews
- Guide the LOB through Action Plan development upon issue identification; ensure the Action Plan addresses and corrects the control deficiency
- Present all aspects of the identified issue to the weekly Issue Management Forum
- Consult with the Action Plan owner to confirm all milestones are on target, discuss roadblocks, etc
- Perform post-closure testing prior to Action Plan closure in order to validate issue resolution; adjust control rating based on results
- Responsible for monthly and ad-hoc reporting of upcoming action plans
- Keep up to date with all procedural and policy changes within the LOB to ensure testing methodology is accurate and current
- Proficient knowledge of Microsoft Access and Excel
- SAS/SQL preferred
- Understand database relationships
- Exceptional collaboration and networking skills
- Be able to effectively multitask
- Analytical skills to easily identify trends
- Ability to work a flexible shift as required
8
Business Control Analyst Resume Examples & Samples
- Validate Daily Profit & Loss calculated by Line Control through risk based explained techniques and new trade analysis
- Produce Weekly Profit & Loss and Monthly Profit & Loss cut by MIS and legal entity
- Undertake SOX compliance reviews
- Balance Sheet Analysis
- Monthly Balance Sheet Review & Inventory analysis
- Analytical Review of month on month trends and cross referencing with market and business knowledge
- Support New Business initiatives ensuring caps and caveats are adhered to
- Comply with all internal policies and procedures in accordance with the Governance framework
9
Business Control Analyst Resume Examples & Samples
- Demonstrated experience to apply analytical thinking, able to create and run reports with high attention to detail
- Understanding of CRS Credit and/or Brands business procedures, business products, processes and computer systems
- Possess a working knowledge of Regulatory and Citi policies that apply to Credit Operations
- Experience in control testing or quality reviews a plus
- Possess the ability to support multiple businesses remotely in various geographical locations and inter-act with other locations
- Ability to deal with variable issues with potentially broader business impact
- Must be detail oriented, have leadership experience, be reliable, have the ability to multi-task and prioritize
- Experience providing feedback to help increase performance
- Proven ability to facilitate change and achieve goals
- Must be a self-starter capable of working independently, with minimal supervision
10
Business Control Analyst Resume Examples & Samples
- The Business Control Analyst (BCA) will be responsible for managing Senior Manager level MIS and data in order to report effectiveness of various campaigns and initiatives
- Controls and tests also include those associated with Client Experience - managing and reporting on NPS and KDS metrics while acting as the department liaison with survey vendor
- Independently conducts targeted, mandatory or ad hoc Control Tests & Reviews for the department in relation to compliance and Continuity of Business efforts
- This position will be involved in the resolution of problems or transactions where expertise is required to interpret problems/transactions against policies, guidelines or processes. The BCA will also contribute to and report on process improvement efforts that will streamline and increase the efficiency of business process and procedures for the NIC and PWM
- Organize and implement system upgrades and conversions
- Coordinate branch cost reduction initiatives
- Independently coordinate projects and follow through to implementation
- Manage New-hire onboarding and system entitlements to ensure peak production levels and appropriate controls are in place
- Contact point for all Technical Support issues
- Communicate changes and identify training needs if necessary
- Support Compliance Unit with internal and external audit preparation
- Responsible for coordinating all brokerage and insurance licensing and registration
- Manage COB planning (Continuity of Business)
- Proficiency with all MS Office programs (with emphasis on Excel)
- Proven success working both independently and in a team environment
- Attention to detail, excellent organization skills
- Solid work ethic, professionalism, and positive attitude
- Ability to “think outside the box” and thrive in a dynamic work environment
- Strong understanding of San Antonio CCS site requirements and culture
- College degree preferred, or equivalent work experience
- Previous COB Experience preferred
- Series 6 or 7 licensed, or understanding of investment products is preferred
11
Business Control Analyst Resume Examples & Samples
- Performs advanced analytical reporting
- Analyzes and identifies risks based upon information provided
- Acts as a consultant to the businesses regarding process
- Ensures appropriate controls are in place
- May provide direction and training to junior staff
- Prepares documentation, advising line management on requirements
- Executes complex tasks or analyses
- May manage relationships for audits
- Drives corrective actions
- May conduct training workshops
- Conducts On-Site Reviews and Peer Reviews
- May perform Business Information Security Officer (BISO) function
- Develops corrective action recommendations
- Position will require 75%+ travel
- Bachelor's Degree/equivalent experience
- 5-8 years of experience in regulatory compliance environment
- Financial experience highly preferred
12
Business Control Analyst Resume Examples & Samples
- Location
- Cover for the SDM absence
- Service Delivery Controls and Projects
- Logical / Critical Thinking Skills: Ability to gather and analyze information for potential improvements
- Analytical / Problem Solving Skills: Assess current situation, visualize potential improvements, articulate thoughts around improvement suggestions
- Application Skills: Expertise with Microsoft Office Suite (Excel, PowerPoint, Visio) and Data Mining Tools
- Excellent Time Management Skills. Ability to multitask, work under pressure with minimal supervision
- Familiar with ITIL Foundation and CRISC practice, accreditation an advantage
- Passionate with positive attitude
13
Securitized Products Business Control Analyst Avp Resume Examples & Samples
- Ensuring the complete, accurate and timely reporting and analysis of Revenue and Balance Sheet
- Working with the businesses to evaluate & integrate new products and strategies in a controlled manner, ensuring appropriate reporting, accounting and disclosures
- Providing reliable and meaningful financial information to the business managers, external stakeholders, including regulators, and other relevant internal groups
- New Deal review: Complex financing deal documents and determine revenue and accounting determination
- Trading Book and Banking Book Assessment to ensure accurate risk capital reporting
- Liaise with Accounting Policy on specific deal terms to ensure accurate accounting treatment and revenue recognition
- Monthly, quarterly and annual disclosures associated with the Asset Finance Business. These disclosures can include FVO templates, Fair Value Measurement, and Fair Value Accrual
- Daily analysis of P&L and Balance Sheet across all Asset Finance businesses, understanding key drivers and P&L attribution for various products
- Flash to actual analysis and commentary
- Monthly P&L and Balance Sheet commentary
14
Rohq Fro Business Control Analyst Resume Examples & Samples
- With at least 3-5 yrs related work experience in similar field understanding of Operational Risk and Risk and Control Self Assessment
- Proficient in the use of workstation applications (MS Word, MS Excel, MS Powerpoint, etc)
- Able to handle high volume of work & adapt to change
- Able to plan and manage own time
15
Rohq-fro-business Control Analyst Resume Examples & Samples
- Risk and Control – Provides support in implementing Risk and Control programs that aid management to identify, analyze and respond appropriately to risks in their areas: Fraud Management, Manager Control Assessment (MCA), Sox Compliance, Operational Risk and Management and Corrective Action Plans (CAP Tracking). Also help ensure proper controls are well-placed in the identified critical EUCs and help provide oversight on the creation and execution of ICSAs
- Business Continuity – Understands CoB Policy and Policy Standards; help facilitate a process to ensure that business continuity plans are viable, executable, implemented and tested and help promote business continuity awareness and education for CSS teams
- Information Security – Monitors consistent and effective risk-based standards and policies to assess, manage, and mitigate the risks associated with the development and use of Citi’s information, systems, networks, and applications, including establishing controls around transferring, storing, and accessing private customer data
- Records Management – Provide support in implementing Records Management Policy by building a strong partnership between Global Functions, Citi Businesses and Operations and Technology including a well defined governance structure to establish a systematic and consistent approach to the classification, retention, protection, retrieval and disposal of records
- Data Privacy – Understands the policy and help ensure compliance with requirements associated with Data Privacy laws, Cross Border, Bank Secrecy, Outsourcing and Export Licensing regulations related to cross border Business Initiatives in all countries in which we operate
- Audit Management – Help in providing CSS management with a consistent process for reporting, tracking and remediation of control weaknesses (audit issues) identified by IA
- Minimum 5 years of work experience in Compliance, Audit, or Risk Management
- Project related experience desirable
- Experience working in cross-cultural global teams
16
Business Control Analyst Resume Examples & Samples
- Ensure capital charges calculations are accurate and taking action to reduce capital charges for operational and financing categories of the monthly FOCUS report, such as Aged Fails and Repo/Reverse Repo and Stock Borrow/Loan Deficits, pursuant to SEC Net Capital rule 15c3-1
- Ensure the components of the customer protection process (SEC Rule 15c3-3) from an Operations perspective are valid. Mentioned components will include suspense, stock record and depot breaks, segregation breaks, etc
- Analyze data for regulatory reporting obligations to US regulators, such as Short Interest and Portfolio Margining to FINRA and FR 2004 and TIC S reporting to the Federal Reserve
- Maintain a centralized inventory of regulatory reporting obligations and Monitor and track the firm’s regulatory reporting obligations performed by Operations
- Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for operations regulatory advice and interact with regulators as needed to provide information and responses
- Develop and maintain effective partnerships with all stakeholders on regulatory related issues. Manage, escalate, track and ensure resolution on issues that pose operational regulatory risk to the firm
- Develop junior members of the team to become the future leaders of the organization
- An undergraduate degree in business, finance, other related fields. Strong analytical skills
- 3+ years of related experience in the banking industry
- Experience desired on operational risk disciplines; processes, risks and controls and familiarity with financial product and services, as well as brokerage accounting
- Strong leadership, and project management skills and ability to manage many competing priorities
- Familiarity with SEC Rule15c3-1 & 15c3-3 preferred
- Strong interpersonal skills and ability to communicate effectively in both oral and written form
- Technical skills in various Microsoft Office Tools (particularly Excel)
- Strong work ethic and highly motivated individual with outstanding record of professional achievement
17
Business Control Analyst Resume Examples & Samples
- 3+ years of direct, relevant experience in third party auditing, risk identification, assessment, monitoring, and remediation
- Bachelor’s degree required; advanced degree strongly preferred
- Ability to work on multiple tasks/manage time and prioritizes critical tasks effectively
- A deep understanding of the changing economics and operational capabilities of suppliers across a broad spectrum of business types
- Contract management and or regulatory requirements experience a plus
- Pragmatic problem-solver, forward thinker with independence of thought
- Strong understanding of risk identification, assessment, and management
- Strong communication, presentation and influencing skills
- Good organizational skills, with proven ability to successfully manage multiple priorities
- Microsoft Suite (Excel, PowerPoint, Word) proficient
- Required Travel 50%
18
Business Control Analyst Resume Examples & Samples
- Refresh of the 2015 FMU playbooks
- Drafting of FMU Contingency implementation plans
- Further build out of the Account Transfer Feasibility Study
- 2016 SRP PCS follow up work and submission
- 2016 Resolution planning submission
- Perform analysis, problem definition and solution delivery for re-engineering initiatives associated with identified 2015 ex ante actions
- Manage the delivery of 1 or more ex ante defined action for our 2016 Resolution Planning submission
- Help to define and document opportunities for improvement in target areas
- Work with Process Owners and Sponsors to ensure key processes are documented and are fully understood
- Lead workshops to draft our Resolution Planning documents
- Perform FMU process contingency analysis and future state modelling
- Provide regular and accurate reporting of project progress, deliverables and anticipated outcome
- Document Management using a combination of Intralinks, Sharepoint and WDesk
- Administer of various Resolution Planning meetings and prepare the associated agendas and subsequent minutes and summaries
- Solid practitioner level knowledge of financial products and basics of FMUs
- Experienced influencer of people and comfortable interacting with all organizational levels
- Good experience managing the people side of change to ensure buy-in and commitment to solutions implemented and overcome resistance
- Experience managing project teams and motivating people to deliver without line management authority
- Experience with data collection, sampling and measurement, validation and analysis
- Self-starter, used to working under own initiative
- Demonstrable an in-depth understanding of
19
Cib-is Business Control Analyst Resume Examples & Samples
- Investigate root cause – determining the original cause of a risk event, highlight themes and discover control gaps
- Present results to a more senior audience allowing for great exposure and networking opportunities
- Partner with multiple functions across front office, product control, financial control, etc
- Ability to succeed in a fast pace, trading floor environment by effectively handling multiple tasks, expressing good judgment on priorities and able to work well independently
- Gain knowledge/exposure to Investor Services, including: products, end-to-end trade lifecycle, current events impact to business, and acclimating to a heightened regulatory environment
- Strategic thinking to improve process and enhance risk capture/mitigation
- Proficient in PowerPoint, Word and Excel
- Organization, time management, project management and prioritization skills
- Clear and concise verbal/ written communication skills
- 2 years of experience or equivalent work experience
20
Business Control Analyst Resume Examples & Samples
- Proactively provides support to the Business and ensures that operational and policy areas are in compliance with corporate policies, business procedures, regulatory and legal standards. Partners with the businesses by recommending and developing solutions when not in compliance
- Analyzes processes and identifies risks. Ensures appropriate controls are in place. Identifies control issues and increased risks in the Business, performs root cause analysis. Drives and validates corrective action plans
- Responsible for preparing and validating audit deliverables. Interfaces with auditors from internal (IA, Cards Compliance) and external (OCC, KPMG, CFPB, etc.) audit entities
- Partners with other lines of business to ensure consistency and to leverage best practices
- Support the integration of Living Client Excellence; identifies changes to improve the client experience
- Supports several business units/functions by providing day-to-day support and acting as a consultant to the business. Requires broad business knowledge serving as subject matter expert for processes and accuracy of risk and control documentation
- Experience with MCA, Citi Risk Policies, and the identification of risks and associated controls
- Deep understanding of policy and operations in a financial institution -- Customer Contact processes, work flows and hand offs
- Audit or control experience preferred
- Successful experience in a fast-paced environment
- Must understand operational risk and identify gaps proactively
- Must be able to multi task and support/manage multiple projects simultaneously
- Strong Interpersonal skills and ability to work well in a team environment collaborating across diverse groups
- Ability to present a convincing case for ideas and initiatives through listening and articulating a convincing point of view
- Innovative. Well versed in developing new ideas and improving current processes
- Degree: Bachelor's degree preferred or equivalent experience
- Minimum of 3-5 years’ experience in Policy or Operations or similar department within a financial services company
- Experience in Credit Bureau Processes
- Operational Risk Management, Control, or Audit background or knowledge preferred
- Solutions-focused, able to sort through information and develop concise and clear solutions quickly
- Detail-oriented with a logical and methodological approach to problem solving
- Excellent research, writing and verbal skills
- High degree of attention to detail
- Ability to multi-task and support/manage multiple projects simultaneously
- Excellent analytical thinking, problem solving, and time management skills
- Interpersonal skills and ability to work well in a team environment collaborating across diverse groups
- Ability to present a case for ideas and initiatives through listening and articulating a convincing point of view
- Superior execution skills with a focus on clear, realistic action steps and timeliness
- Flexible and easily adapts to change
- Strong matrix management skills, ability to manage upward in the organization
- Excellent facilitation/communication skills, to influence and negotiate with others to produce desired results
21
Business Control Analyst Resume Examples & Samples
- Prepare packages for all audit and exam requests (including FRBNY, CFPB, Internal Audit, CitiMortgage Operational Risk, etc.) in a timely manner, ensuring time for review by senior management, legal, and compliance
- Gather all exam and audit deliverables from the appropriate source(s)
- Track receipt of and follow up on the deliverables
- Ensure accuracy of the deliverables received
- Upload all deliverable packages to IntraLinks once approved by senior management, legal, and compliance
- Track audit grades for Centers to provide monthly reports to senior management
- Prepare materials for presentation to committee meetings, senior management, and others
- For any Audit findings disputed by Field Senior Management, gather materials from the source for review
- Interface with the Compliance team to make the revisions necessary to self-assessment program questions on a quarterly basis
- Prepare monthly reporting for open issues, recent audit and self-assessment findings, and upcoming compliance projects
- Provide support for the Compliance Trend Report Committee to include
- 5 years of Consumer Finance experience
- Experience with financial services rules and regulations a plus
- 3-5 years of management experience a plus
22
Business Control Analyst Resume Examples & Samples
- Use professional judgment and business expertise to resolve varied and complex issues that have notable impact on the business
- Assist the business in creating new product, initiatives, and changes to strategy and ensure appropriate review and approval by required entities
- Review process procedures to ensure a well-controlled environment
- Assist with development and mentoring of key risk & control indicators
- Follow up with business on outstanding issues & escalate aging issues as appropriate to senior management
- Liaison for procedures team and business teams regarding updates that might be needed to made either to process maps or procedures
- Work with Recovery RCC regarding any major changes in Key controls
- Applies professional judgment when interpreting data and results
- May regularly provide informal guidance to the business
- Ability to redirect work as needed to ensure deliverables are met
- Strong communication and diplomacy skills are required in order to exchange potentially complex/sensitive information
- 3 or better on Annual Performance review
- 12+ months in current position
- In good standing (not on a written performance plan and/or written corrective action) in terms of overall work performance and attendance
- Bachelor's degree or equivalent experience
- 1 to 3 years of Collections/Recovery experience preferred
- Strong time management skills and proven ability to manage conflicting priorities
- Visio Experience preferred
23
Business Control Analyst Resume Examples & Samples
- Keep record of requirement responses and follow up on timely and proper responses
- Keep updated all forms and procedures used by Wealth Managers to get information from clients
- Alert Venezuela Control Unit and/ or BUCO about non fulfillment of IOB policies or regulatory requirements found on alert reviews
- Follow proper escalation process on any non-fulfillment of rules, procedures or policies established by Citimerca or Citigroup
- Input on KYC 360 system all client information, conversations, agreements, discussions, interactions or comments
- Bachelor Degree
- Fully Bilingual: Spanish / English
- Basic analytical skills
- Ability to use Microsoft tool suite (Word, Excel)
- Work experience in a fast-paced environment
24
Cib-bco-business Control Analyst Resume Examples & Samples
- Perform control reviews against the framework and identify control gaps, process breaks, non standard tool sets or ad-hoc workflows, and recommend remediation strategy and timeline
- Develop testing processes and approaches according to JPMC policies and procedures, revise test sequence and scope based upon test results and/or changes in product design
- Work with appropriate Operations leads to determine the acceptable range for test results and performance
- Assist Operations staff in identifying and resolving problems
- Provide an independent, objective view of operational risk assessments, mitigation strategies, operational risk trends, and emerging risks
- Work together with local, regional and global Controls Team and cross-functional teams and ensure proper reporting and escalation to Operations Senior management
- Actively participate in numerous local and regional control forums X LOB
- BA or BS degree required (Finance or Business degree a plus)
- Minimum 3 years of experience working on financial institutions or Big Four
- Strong knowledge on risks and controls
- Strong communication skills - written and verbal in English. Portuguese is a plus
- Operations and control mindset, strong ability to prioritize and deliver quality work using time management skill
25
Business Control Analyst, Shanghai, HRS, Corp Resume Examples & Samples
- Bachelors Degree required, Commerce concentration preferred
- Masters Degree in the field of Business Management or Accounts/Finance, or Post Graduation or Certifications in the field of audit preferred
- Strong knowledge of Risk Management
- 5 – 7 years experience of working in Risk Advisory Services or Corporate Audit/External Audit/Controls environment
- Knowledge of HR transactional and administrative processes
- Ability to relate to people at all levels and across geographies
- SOX knowledge and hands on experience in SOX reviews
- Greenbelt Certification/Knowledge of Six Sigma and Lean principles a plus
26
Business Control Analyst Resume Examples & Samples
- Responsibility for ensuring that risks are identified and assessed across all desk activity with appropriate mitigation measures implemented in a forward looking manner balancing risk and reward
- Independent handling of recurring and ad-hoc risk related reviews including ongoing review of existing client book in close cooperation with First Line Defense Support
- Coordination of management control sign-offs by evidencing, reviewing and recommending appropriate actions
- Representing the Desk on key projects and coordinating selected Divisional, Business and Market Area initiatives
- Collaboration with Head Office in Zurich to ensure central projects are rolled out in the UK
- Supporting RMs with the onboarding of new clients
- Preparation of business analyses / presentations for Senior Management
- Supporting onboarding of new hires and providing refresher training to employees where required
- Participative member of DH meetings
- You will be an expert in your field and will be responsible for managing forward the business management framework, interfacing with all stakeholders including Senior Management
- University educated
- Solid experience of Private Banking risk practices
- Excellent knowledge of Private Banking business, investment management, products and processes
- Highly analytical approach with ability to manage topics from conception to implementation/resolution
- Excellent communication skills with ability to influence/challenge and interact with senior stakeholders and to cooperate with colleagues with different seniority levels
- Russian language skills desirable but not essential
- Act with integrity
- Act with due skill care and diligence
- Be accountable
- Communicate Openly and Truthfully
- Act with integrity and challenge inappropriate behavior
- Be inquisitive
- Escalate quickly
- Consider long term implications
- Re-evaluate past assumptions and decisions
- Perform self-review
- Learn continuously
- Supports others and proactively shares appropriate information
- Communicates actively and effectively
- Relates confidently to different individuals and groups, displaying flexibility with different working styles and ideas
27
Business Control Analyst Resume Examples & Samples
- Partner with the business to establish a formally approved and documented list of high risk processes. Assist with creating a control coverage program that encompasses each identified high risk processes and sub processes which includes desktop procedures, process maps, metrics with guardrails, on-going monitoring routines and an issue escalation process
- Create Risk Control Matrixes for high/medium risk processes
- Ensure business control documentation is housed within a central repository
- Assist with yearly process maps validations
- Present control concerns to the Leadership team
- Create a business control schedule for program roll out and maintain quarterly business meetings to ensure processes documentation is current
- May be asked to perform special projects as needed
- Bachelors or Master’s degree or equivalent work experience
- A minimum of 5 years business experience preferably in financial services, merchant services, risk management, compliance or an internal control capacity
- Must be well versed in the fundamental principles of banking, project management, business control work or merchant services
- Possess an understanding of compliance regulations and auditing principles
- Strong organizational and fact based communication skills
- Ability to multi-task in an ever-changing environment and to adjust quickly to shifting priorities
- Advanced expertise in Microsoft Office Suite (required), including Microsoft Visio, PowerPoint, Excel
- Ability to work independently and in a self-directed manner
- Motivated to tackle challenging problems
28
Business Control Analyst Resume Examples & Samples
- Partner with the marketing organizations to establish a formally approved and documented list of high risk processes. Oversee the creation of a control coverage program that encompasses each identified high risk processes and sub processes which includes desktop procedures, process maps, metrics with guardrails, on-going monitoring routines and an issue escalation process
- Create risk control matrixes for high/medium risk processes
- Identify control concerns for the Leadership team and, as a knowledgeable source of compliance regulation, build strong relationships within the business
- Past exposure to marketing and sales areas and the initiatives needed to support business development
- Must be well versed in the fundamental principles of project management and business control work as well as payment processing
29
Business Control Analyst Resume Examples & Samples
- 2-3 years of relevant banking experience
- Comprehensive experience and knowledge of corporate bank loan documentation
- Strong understanding of loan agreements and terminology
- Strong communication skills and ability to interact with varying levels of staff, managers, auditors, external counsel, and agent banks
- Ability to prioritize and multi-task
- Team player, flexible, reliable, punctual, good attendance
- Lotus Notes, Loan IQ, MS Word, Excel, Access
- Available for overtime
- Filing, lifting heavy boxes when archiving/moving as required
- Position located in Jersey City, NJ
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Business Control Analyst Resume Examples & Samples
- Computer literacy, knowledge of Microsoft Office (Word and Excel) is a must
- Have experience in AML, KYC and banking
- Able to multitask in a fast pace environment
31
IPB Business Control Analyst Resume Examples & Samples
- Provide assistance to Sales Unit on Know your Client (KYC) process, record, consolidation and input of data on systems
- Alert BUCO about non fulfillment of internal policies or regulatory requirements found on alert reviews
- Follow proper escalation process on any non-fulfillment of procedures
- 2-3 years of experience on related positions
- Basic knowledge of banking and/ or investment area or related studies (a plus)
- Excellent customer service orientation (customer service experience with internal/external clients)
32
Business Control Analyst Resume Examples & Samples
- Support audit activities for Core Operations and serve as key liaison with Operations Control through the entire audit process
- Proven ability to lead CAPs to closure
- Background in Mortgage or Retail Operations
- Strategic planning background
- Expert Excel skills (Vlookup, pivot tables, complex IF statements)
- Strong Word, SharePoint and PowerPoint
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Business Control Analyst Resume Examples & Samples
- Preparation of monthly accounts for NT/AM according to business control timetable
- Proactive follow up of monthly results versus budget and forecast, including Gross Profit, Operating expenses and Balance Sheet, such as Inventory and provision management. Ensure New Trucks and Spare Parts Gross Profit is controlled through internal templates/BCS/SAP Etc
- Preparation of weekly, monthly and quarterly business reports in accordance with local management and Group requirements
- Support the Business Control Manager in the preparation of the quarterly forecast, annual budget and long term volume plan
- Monitor the accruals and provisions balances
- Handle investment request and forecast
- Work closely with commercial and aftermarket departments and monitor performance and forecasting
- Assist HR, MarCom, Legal, GTO, ITS, ACC and Real Estate departments in business control activities when required
- Work closely with the Sales Admin Team/Ordering team in order to secure related transactions
- Work closely with Accounting, Company Control to ensure consistent application of Group Financial Policies and Procedures
- Any other duties that may be reasonably requested by management
- A positive “can do” attitude
- Proven analytical skills
- Excellent communicator, able to build effective working relationships and to challenge and influence people at all levels in the organization
- Time and priority management
- Planning, budgeting and forecasting skills
- Good knowledge of SAP would be advantageous
- Proactive and self-motivated approach
- Knowledge of financial control and risk management
- Bachelor (Bac+4) degree in accounting/finance
- English language proficiency
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Business Control Analyst Resume Examples & Samples
- Prepare operating plans and budgets
- Direct responsibility for preparing the annual budget and quarterly forecasts for Customer Operations
- In conjunction with business planning and management staff, assist in the preparation of short and long-term strategic business plans
- Assist in the consolidation and reporting of the budgets and forecast for Customer Operations
- Assist in the preparation of variance analysis of the Administrative Departments and consolidate variance analysis for Customer Operations
- Prefer 3-5 years experience in Business Planning / Finance
- Experience in preparation and analysis of budgets and forecasts
- Flexibility in working hours and ability to prioritize and juggle multiple tasks
- High degree of integrity
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IPB Business Control Analyst Resume Examples & Samples
- OneSource (CRM/CRF/AAM)
- Support Sales unit generating reports from OneSource related to new relationships, annual reviews, or alerts (HBI, Exception Request or Overlay Report, o etc.)
- Translate from Spanish to English data provided by FA to input on system for different levels of approval (FLA, FIU, among others). Follow up until approval is completed
- Analysis of alert rejections/ requirements to identify next steps to follow and avoid future rejections
- Keep abreast of all procedure changes/requirements to ensure proper completion of AML requirements
36
VP In-business Control Analyst Resume Examples & Samples
- Minimum 5 years in Internal Audit, Risk Management or Control Management-related role
- Strong understanding of Product Management business processes and products as well as Operations and Technology
- Up-to-date understanding of key risk and control concepts, tools and trends relating to risk identification, rating and prioritization, mitigation, and reporting
- Process mapping experience
- Risk-based thinking and analytical mindset
- Self-starter who can work independently
- Excellent communication skills – required for all levels within the organization
- Ability to build relationships
37
Business Control Analyst Resume Examples & Samples
- Partner with the business to establish a formally approved and documented list of high risk processes. Assist with creating a control coverage program that encompasses each identified high risk processes and sub processes which includes standard operating procedures, process maps, metrics with guardrails, on-going monitoring routines and an issue escalation process
- Ensure process maps and procedures are updated annually and go through the appropriate workflow process
- Coordinate meetings and work with internal teams to ensure audits/exams are successful. Be point person for gathering required evidence/materials
- Manage business line compliance issues to ensure appropriate and timely resolution of identified issues
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Business Control Analyst Resume Examples & Samples
- Quality Check
- Review CDD dispositions post review by central team
- Work with Central Team at CSIPL to enhance quality of review by training and guidance on quality of reviews by sharing policy details and guidelines
- Training – train the branches esp. new RMs on the process and quality and timeliness
- Escalate any suspicious activity identified during the course of review
- MIS – prepare branch wise MIS and escalate cases that are going beyond TAT
- Strong communication skills, exposure to quality tools, experience in Quick screens and/or Mantas, O&T, controls would be preferred
39
Business Control Analyst Resume Examples & Samples
- Develops and maintains knowledge of all key operational business units
- Participates in the Business Control program which includes testing, reviews and monitoring within the business (preventative controls/activities vs detective)
- Acts as a “consultant” to staff in the CFO/COO areas on responses to audit findings, development of new controls or enhancement to existing controls, approaches for testing controls, etc
- Works with management and control owners on Sarbanes Oxley (SOX) control requirements to ensure controls are updated annually as needed, levels of review are identified and put in place, helps prepare for audits, etc
- Monitors policies, processes, and procedures and makes recommendations for changes to ensure they are aligned with current practices and control related activities
- Supports management and the Business Control team with key risk management and compliance related exercises such as collection and review of materials for audits and reviews
- Assists with internal audits being conducted within CFO/COO areas and the related observation follow-up, reporting and issue resolution
- Participates in monitoring activities, outstanding issues, upcoming efforts and reporting for COO/CFO areas related to Audit, Risk, Compliance, Regulatory Exams or other key control related activities
- Participates in communication efforts within the CFO/COO areas and to internal partners on Business Control activities
- Assists with continuous improvement initiatives
- Business Analysis – demonstrated experience with identifying trends and tracking key deliverables and risks such as: costs associated with proposed changes to programs and systems; and effectiveness of programs year-over-year in improving overall performance and achieving desired business results
- Operational/Regulations Processes - Knowledge of organization’s policies, regulations, objectives, and initiatives according to the job’s responsibilities
- While performing the duties of this Job, the employee is regularly
- Position is located in an cubicle work space with moderate noise level
- Stress levels may increase due to seasonality, audit cycles and/or special
- 20170421
40
Business Control Analyst Resume Examples & Samples
- Provide full customer, material and product CM1 transparency on behalf of the CSO
- Perform Control manual reports and follow up on performance indicators associated with such
- Monthly review product profitability, propose manual adjustments, sign off reported number with finance and drive job costing corrections
- LI-EUR
41
Business Control Analyst Resume Examples & Samples
- Material experience with operational risk disciplines; processes, risks and controls and familiarity with financial product and services, as well as brokerage accounting
- Familiar with SEC Rule15c3-1 & 15c3-3
- Technical skills in various Microsoft Office Tools (particularly Access, Excel, Visio, Project and PowerPoint)
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Senior Business Control Analyst Resume Examples & Samples
- Work with the CSO managers and the CI team in analysing and improving business processes
- Review progress of improvements and provide feedback to the relevant manager(s)
- Ensure delivery of accurate reports within agreed deadlines
- Propose, design and deliver ad-hoc reports as and when required
- Offshore, where appropriate, reporting to the GSC, act as process owner/escalation point
- Help drive CM1 optimisation across the business through the provision data and transparency
- On behalf of the CSO act as FACT subject matter expert
- As and when required perform testing control, systems and process enhancement activities as guided by the Head of Operation Performance Management
- Review and improve business financial interlocking processes (FIN & CSO) together with the Head of Operation Performance Management, CSO Manager and CFO
- In conjunction with the CSM and KAS be involved in CM1 business reviews to identify opportunities for process improvement and / or CM1 optimisation
- Written presentation skills
- Advanced knowledge of SAP/FACT
- Advanced knowledge of excel and databases
- SCM and Forwarding Industry Knowledge
- Product Knowledge
- Operational Knowledge
- Ability to influence senior stakeholders
- Ability to communicate complex ideas
- Attention to detail & accuracy
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Business Control Analyst Resume Examples & Samples
- Develop and implement a tailored business performance report focused on operational KPIs,
- Enhance the internal control awareness of our teams across UK&IE: support best practices sharing, understanding of purchasing policies and benefits of moving into the new processes,
- Contribute to the monthly closing procedures and any adhoc financial analysis required by the business development,
- Excellent analytical skills,
- Ability to handle confidential information and sensitive issues,
- Ability to structure arguments and to communicate persuasively,
- Positive thinking with quality, service and continuous improvement mind-set,
- High level of computer skills, particularly excel and power point
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Cbna-gcg-business Control Analyst Resume Examples & Samples
- Conduct AML-related CBORC reviews for the Assets business particularly which will include but not be limited to Name Search / Screening and Assets AML Transaction Monitoring and provide recommended disposition as part of the end to end review process
- Assist in AML related projects and reporting
- Help support initiatives of CBORC-Assets and perform other additional tasks that may be assigned by the Supervisor and Unit / Group Head
- Help the team / business in the submission of deliverables for any internal and external reviews
- Assist in proposing solutions and help process owner develop existing process and/or action plans to help efficiency, quality of review, execution of the processes
- With knowledge in AML
- 2-5 years experience in the financial services industry
- Able to build rapport and work closely with colleagues
- Knowledgeable in excel
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In Business Control Analyst Resume Examples & Samples
- Identification, resolution and tracking of issues
- Prevention and management of Operational Losses
- Look for Key Performance Indicators for reducing risks, support to the business, oversight of the KYC unit
- MENTAL
