Operational Risk Analyst Resume Samples

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L Beier

Leonie

Beier

34147 Pascale Parkways

New York

+1 (555) 723 5051

34147 Pascale Parkways

New York

Phone

p +1 (555) 723 5051

Experience Experience

Boston, MA

Operational Risk Analyst

Boston, MA

Gleason-Grady

Boston, MA

Operational Risk Analyst

Execute common, standardized third party risk management processes, managed centrally by the TPU and provide guidance to TPU Process Analysts I
Leads the work of others and provides training in more advanced risk management techniques
Perform analysis and provide information to Risk Management for senior level reporting, scenario analysis, audit, regulatory, and ad-hoc related queries
Execute common, standardized third-party risk management processes, managed centrally by the TPU, for example
Work with line management to continually improve the control environment
Provide guidance to FLUs and/or ESUs on the effective execution of the operational risk management framework including
Contribute to developing the firm's operational risk framework including the design and project management for strategic platform enhancements

Philadelphia, PA

Senior Operational Risk Analyst

Philadelphia, PA

Steuber, Gerhold and D'Amore

Philadelphia, PA

Senior Operational Risk Analyst

Conducting periodic reviews and checks to identify process gaps including advisory and ad-hoc projects
Working with SC employees including other Operational Risk Management department members in supporting a culture of strong operational risk management
Working with Executive leaders and managers within the organization to develop a culture that fosters self-identification of business and operational issues
Conduct subject matter research in technology risk, controls, compliance, and information security best practices
Assist in quarterly/periodic reporting for ORIC program components
Assist in recording/monitoring the division’s Operational Loss Database. This entails capturing pre-defined financial, operational, inefficiency and increased reputation losses across multiple locations and lines of business, and, under certain circumstances, developing and deploying action plans to mitigate/ eliminate a reoccurrence of the loss
Conduct process walkthroughs and testing as part of management's evaluation of internal controls on an annual basis

present

Boston, MA

Senior Operational Risk Analyst VP

Boston, MA

Watsica Group

present

Boston, MA

Senior Operational Risk Analyst VP

present

Working knowledge of GRC software solutions
Drive a consistent approach to identify, assess, manage and report operational risk events, assessment issues and key risk indicators moving from a qualitative to a quantitative risk management model
Collaborate with the business to develop Key Risk and Key Performance Indicators covering the non-financial key risk domains defined in the ORM framework
Aggregate risk data for regional reporting to senior management risk governance forums
Assist with planning, preparing materials and conducting operational risk scenario analysis workshops
Develop risk analytic capabilities to track risk trends and identify emerging risks in the environment
Review Risk Control Self-Assessment results conducted by the 1st line to assess whether the proper risks are identified and to verify the effectiveness of the control environment

Education Education

Bachelor’s Degree in Related Field

Texas A&M University

Bachelor’s Degree in Related Field

Skills Skills

Flexible, team-oriented, with excellent interpersonal, communication, and follow-up skills, with a strong attention to detail and ability to multi-task
Working knowledge or ability to quickly learn operational risk management framework, principles, and practices
Ability to develop good professional relationships
Good interpersonal skills and ability to develop strong partnership with stakeholder
Ability to deal with highly confidential information in a professional manner
Excellent accuracy and strong attention to detail
Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
Excellent analytical and problem solving skills, good attention to detail
Strong organization skills with the ability to handle multiple deliverables
Execution oriented with strong attention to detail, accuracy, consistency and quality of results delivered

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Operational Risk Analyst Resume Examples & Samples

Assists with the preparation of risk mitigation plans for strengthening the effectiveness of controls in assigned business processes
Assists with the development and execution of key operational risk management activities, including, loss event analysis andreporting, operational control analysis, segregation of duties review, logical access roles development, data privacy analysis, business continuity activities, and/or business process engineering
Recommends process improvements for risk management processes and procedures
Concepts, practices and procedures of risk management (including Operational Risk Management, Enterprise Risk Management, Business Continuity, and Technology Risk Management)
Attend to detail while maintaining a big picture orientation
Bachelor's Degree (B.A.) in Finance, Accounting, Business or related field with three (3) years of of risk management, internal control, audit, or information security experience

Operational Risk Analyst Resume Examples & Samples

Risk Assessment: Implement and maintain the Margin, ESO & Pledge department’s risk analysis process. Risk Management function includes: Market Risk, Concentration Risk, Liquidity Risk and Leverage Monitoring. Assess risk output and provide key risk decisions and data to Senior Management. Provide risk analysis on the Margin, ESO & Pledge rules/regulations/scenarios
Strategic Alignment: Assess market and competitive developments to ensure continued competitiveness and aligment of business and risk strategies, policies and procedures. Stay current with external environment that regulates/influences the business. Responsible for proactively identifying areas where efficiencies and accuracy improvements can be made, recommend and implement a solution/action plan. Responsible for the delivering of all projects and inquiries in an accurate and timely manner. Participate in the implementation, review, validation and adjustment of the department procedures
Department Analysis: Support the department through gathering and analyzing metrics and reporting. Provide analysis on indicators that measure service quality, operating costs and overall effectiveness of the department. Research and become familiar with various internal and external data sources to deliver accurate results. Ensure procedures and policies are followed by the team
Act as back-up to the Senior Manager. Understand and adhere to policies and procedures applicable to position, completing any supporting requirements within defined timeframes.Acts within authorized limits and delegated authorities and role according to applicable policies and procedures.Maintain an in depth knowledge of BCP procedures, policies and plan
Client Servicing: Promote quality client service by motivating, coaching and developing team members. Identify and share development and training needs, provide input and review of training plan for the year. Responsible for input in the goal setting, mid-year, and year end department employee reviews; as well as department meetings and one on one discussions as appropriate
Partnership: Ensure key stakeholder relationships are maintained effectively
5 years of experience in Financial Risk Management, Assessments and Decisioning (Market Risk, Concentration Risk, Liquidity Risk and Operational Risk)
Superior financial industry knowledge in the understanding of operations, related products and services and financial instruments with the ability to understand each product and identify associated risks, regulatory framework and the best practices
Prior experience in data extraction, manipulation, analysis, documenting and reporting
Strong communication skills and proven ability to impact and influence
Proven leadership and problem solving capabilities
Proven knowledge and skills in using Microsoft Word, Excel, Powerpoint and proven ability to quickly learn and adapt to in-house systems
Series 99 or equivalent (or ability to obtain within 90 days of hire)
Collaborative, working in partnerships to create effective outcomes
Ability to prioritize and simplify work for self and others
Be a change adopter, embracing change
Ability to lead people

Operational Risk Analyst Resume Examples & Samples

Retail Banking/Canadian Banking Operations (end-to-end experience)
Proven ability to adapt to and embrace change
Collaboration - listens to different opinions
Strong communication (verbal and written) skills
Proven problem solving, innovation and analytical skills; risk and control mindset
Proven ability to thrive within a structured, requirements based environment
Proven ability to establish and meet project deadlines
Technologically self sufficient MS Office suite (notably Access, Excel, Word), RBC Connect, WebEx etc., will be using an Audit Software (TeamMate) extensively and will need to become proficient quickly
3 year commitment

Operational Risk Analyst Resume Examples & Samples

5 years of credit or operational risk experience preferred
BS/BA degree in Business, Computer Science, Technology or related field/experience
Ability to engage in projects/initiatives mid-stream and partner to facilitate successful completion
Strong Microsoft Product skills required. Experience in MS Excel Macro programming & MS Access VB programming preferred
Familiarity with SharePoint 2007 site administration and Business Objects report development
Proficiency in relational database concepts, data warehousing, data retrieval and SQL required
Strong communication, training, moderating and presentation skills
Ability to manage multiple high-priority firmwide projects to meet aggressive deadlines
Ability to follow complex methods and procedures in diverse tasks
Ability to work in a fast-paced environment where priorities shift rapidly

Operational Risk Analyst Resume Examples & Samples

Identifying, anticipating, measuring, mitigating and reporting Citi’s operational risk exposure, and
A solid understanding of financial products and processes across all of Citi’s businesses
Banking, Operational Risk experience an advantage
Strong analytical skills; both quantitative and qualitative
Ability to analyze problems and formulate conclusions and recommendations
Excellent organizational skills, ability to multitask with capacity to organize and prioritize workload within a complex environment with competing and subtle resource demands
Strong MS office knowledge including Excel, Word and Power Point
Ability to speak confidently and authoritatively on a range of subjects and influence opinion

Operational Risk Analyst Resume Examples & Samples

Execute, on a monthly/quarterly basis, the MCA program including all critical control testing and KRI proofs for business units within the AHS Investment Business to develop and maintain a robust control program
Review all AHS investment processes to ensure that the identified controls are in place and effective within the MCA program in order to mitigate any regulatory/compliance risks as noted in the AHS Compliance matrix
Work closely with all pertinent process owners to ensure all units define MCA monitoring tools which can be utilized to mitigate risk within relevant processes and functions
Maintain MCA Process, Risk and Control libraries current, making appropriate amendments at the time process changes are implemented. Review the MCA PRC libraries with process owners, including risk classification, key controls and critical control test methodology formally during the first quarter of every year, and periodically throughout the year
Analyze solicited transactions to ensure consistency with Suitability Guidelines
Assess monthly Supervisory Reports, in order to identify any potential inadequate transactions
Utilize the most recent Compliance Unit Regulatory Matrix (RRM) to perform a gap analysis against the MCA program to ensure correct alignment of all regulations and policies vs. Key Controls, updating the libraries immediately if any change in policies, regulations, processes, etc, occur
Identify and communicate process improvement opportunities to AHS Investment Unit Heads and Process Owners; partner with the in-business Risk heads to ensure a tight control environment
Execute monthly and/or quarterly MCA examinations for CIFS by partnering with the business and operations counterparts, ensuring that all testing is completed on time, that exceptions are timely identified and discussed with management, and that action plans are adequate to mitigate potential risks
Serve as back up for the fellow ORA team member during vacations, absences, etc
Ensure Issues are clearly identified and brought to the attention of the Business. Make certain that corrective action plans are clearly defined, assigned to the correct Process Owners and monitored for progress/timely completion and validated for accuracy and effectiveness prior to closure
Track resolution and any related tasks pertaining to areas under the direct responsibility of Securities AHS' regional office
Ensure involvement and awareness of each one of the issues touched in the BRCC forum as they pertain to AHS investments
Assist business units to achieve satisfactory performance levels, as measured by Internal Audit. Serve as liaison between IA teams and the Business during internal audits. Coordinate planning, testing and walkthroughs in addition to attending meetings and ensuring deliverable requests are completed accurately and on time
Involvement in investment procedure updates and coordination of the maintenance of procedural manuals by identifying process changes and following up with Process Owners
Perform Secure Workplace sweeps on a quarterly basis jointly with the Business Information Security Office (BISO) Head, assisting in keeping track of the findings during premises reviews
Serve as a proponent of risk awareness throughout the AHS organization
Serve as Continuity of Business Coordinator for the Miami Middle Office
Perform all other duties as assigned, including: investigations, special assignments and risk & control improvement projects
5 years of previous securities, compliance, internal auditing experience
Series Licensing – Series 7 is either required at the time of employment or the candidate must have the will and ability to obtain Series 7 within first 120 days of employment; Series 24 is a plus and would be a great asset to this position
Comfortably interface with Internal Auditors, Enterprise Risk Management members and third party external reviewers during business monitoring exercises
A thorough knowledge of the business organization and its strategy
Bilingual - Spanish and English

Operational Risk Analyst Resume Examples & Samples

3+ years of direct, relevant experience in risk identification, assessment, monitoring, and remediation
Bachelors degree required; advanced degree strongly preferred
Strong relationship management skills with ability to deepen relationships and build partnerships across the various lines of businesses
Strong project management skills with the ability to influence and drive results in a team environment
Ability to synthesize, prioritize and drive results in a fast pace environment

Operational Risk Analyst Resume Examples & Samples

Metrics (data collation, generation and analysis of key Global/ Regional Operational Risk (‘OpRisk’) metrics reports for key OpRisk governance forums within the Bank), Loss Data and OpRisk Reporting Systems/Projects is delivered. - Metrics (data collation, generation and analysis of key Global/ Regional Operational Risk (‘OpRisk’) metrics reports for key OpRisk governance forums within the Bank), Loss Data and OpRisk Reporting Systems/Projects is delivered. - Metrics (data collation, generation and analysis of key Global/ Regional Operational Risk (‘OpRisk’) metrics reports for key OpRisk governance forums within the Bank), Loss Data and OpRisk Reporting Systems/Projects is delivered. - Metrics (data collation, generation and analysis of key Global/ Regional Operational Risk (‘OpRisk’) metrics reports for key OpRisk governance forums within the Bank), Loss Data and OpRisk Reporting Systems/Projects is delivered
Loss Data Collation and reporting follow-ups required in Americas/EU region. This will include performing Risk Analyst role for Americas incidents - Loss Data Collation and reporting follow-ups required in Americas/EU region. This will include performing Risk Analyst role for Americas incidents- Loss Data Collation and reporting follow-ups required in Americas/EU region. This will include performing Risk Analyst role for Americas incidents- Loss Data Collation and reporting follow-ups required in Americas/EU region. This will include performing Risk Analyst role for Americas incidents
Change project initiatives discussions/participation required - Change project initiatives discussions/participation required- Change project initiatives discussions/participation required- Change project initiatives discussions/participation required
Operational Risk Data Analytics controls (implementation and follow-up of key work/initiatives in this area) - Operational Risk Data Analytics controls (implementation and follow-up of key work/initiatives in this area)- Operational Risk Data Analytics controls (implementation and follow-up of key work/initiatives in this area)- Operational Risk Data Analytics controls (implementation and follow-up of key work/initiatives in this area)

Operational Risk Analyst Resume Examples & Samples

Be part of global, dynamic PC Ops Risk team
Identify, assess and work with the line to mitigate operational risks
Develop and implement control standards and guidelines with PC line
Perform/initiate/support risk assessment and mitigation initiatives as appropriate
Investigate significant incidents or large operational risk losses to identify and implement lessons learned, mitigating actions, etc
Perform quality assurance reviews
Represent PC Ops Risk in cross functional working groups
Support the PC training program
Experienced individual with a minimum of 5 years involvement in financial industry
Strong PC skills especially Excel, Word and PowerPoint, as well as comfort with manipulation and presentation of data
Team player, proactive, self-starter, who can be dynamic and implement process changes
Communication (English) and organizational skills
Strong interpersonal skills- ability to influence others

Operational Risk Analyst Resume Examples & Samples

Internal Controls
Quality Assurance Reviews
High level product knowledge

Operational Risk Analyst Resume Examples & Samples

Producing the Top Operational Risks Monthly Metrics pack
Assisting in Firm Legal Entity Risk Reporting and Conduct Risk Metrics development
Performing metric data analysis at global, regional, legal entity level etc
Data administration for external loss data consortiums, including operational risk loss data uploading and downloading
Performing quality assurance check for internal operational risk loss data and communicating the quality issues with Risk Managers*LI-JG1
0-2 years of work experience within a leading and international financial institution
Proficiency in Microsoft Office applications, such as Excel and Power Point
Excellent written and verbal communication skills in English necessary
GARP Financial Risk Manager Certification holder preferred

Operational Risk Analyst Resume Examples & Samples

Min 2-3 years of Industry experience with a preferred background in Operations gained in an international financial institution
Excel, PowerPoint skills is a must
Proven track of participation in projects would be a great asset
Good working knowledge of Citi’s controls processes and policies
Strong ability to execute work projects both locally and remotely
College/university education preferred, but an exceptional working track record is deemed more important
Needs to be able to quickly demonstrate the value he/she can add to the Firm
Needs to be able to deliver on deadlines to facilitate the timely delivery of different items
Must be able to work effectively with local business and peers while delivering the notifications of the Region

Operational Risk Analyst Resume Examples & Samples

2-5 years of credit or operational risk experience
Bachelor's or advance degree in business, or related field preferred; or equivalent work experience
3 or more years of experience in a senior level risk management reporting or analytics required
Experience in sworn documents, collections litigation and debt sales preferred
Legal experience highly preferred
Strong problem solving skills required
Strong priority management and multi-tasking skills are required to consistently meet aggressive deadlines
Flexibility and ability to work in a fast-paced environment where priorities shift rapidly
Strong Microsoft Product skills required

Operational Risk Analyst Resume Examples & Samples

Aggregate data from multiple systems and sources to provide performance management scorecards and other metrics related to Citi’s third-party risk portfolio, including reporting by
Preferred 3+ years of relevant experience in finance, MIS reporting and / or third-party management
Detail-oriented, with strong problem solving and analytical skills
Proficient in MS Office applications, with an advanced skill level in MS SharePoint, Excel, and Access and the ability to develop customized solutions and manage interim tools

Operational Risk Analyst Resume Examples & Samples

Information Security Assessments with third parties and Citi business stakeholders
Internal risk assessments
Third-party onboarding activities
Documenting termination plans and offboarding of third parties
Support third-party selection process through evaluation of bid responses against specific risk and control criteria

Wmla Operational Risk Analyst Resume Examples & Samples

Lead and coordinate WMLA and AHS BRCC (Business and Risk Control Committee) meetings. Responsible to prepare the quarterly BRCC certification package, including deck, minutes and charter. . Ensure involvement and awareness of each one of the issues touched in this forum
Coordinate and collaborate with the business in the gathering and delivery on the quarterly OCC requirements
Partner with the business to provide risk definition parameters to assess the severity of issues and once corrective action plans are complete validate the implementation
Monitor timely completion of business open Issues and CAPs in ICAP system. Preparation of monthly Risk and Control Executive report
Prepare Business Integrity Unit trainings and written procedures based on the Operational Risk Policy. Able to analyze operational risk policies and ensure the unit is up to date with updates
Trainings and awareness to the businesses based on the Operational Risk Policies. Act as a proponent for risk awareness throughout the organization
Interface with the Internal Audit Team and ensure proper coordination with the process owners and appropriate lead of the assigned areas. Tracking and timely handle of the deliverables to the auditors team and ensure that information is accurate
Responsible for the upload of Written Procedures into the Knowledge Center. Identify and communicate process improvement opportunities to Business Unit Heads
Perform all other duties as assigned; to include investigations, special assignments and special projects
Binlingual: English and Spanish
Bachelor Degree Required
5 years of experience in related positions (Audit, Compliance, Risk etc)
Strong analytical skills and leadership influence
Change promoter
Technical knowledge required: MS Word, Excel, Access and power Point

Operational Risk Analyst Resume Examples & Samples

Assists with the development and execution of key operational risk management activities, including, loss event analysis and reporting, operational control analysis, segregation of duties review, logical access roles development, data privacy analysis, business continuity activities, and/or business process engineering
Fundamental concepts, practices and procedures risk management (including Operational Risk Management, Enterprise Risk Management, Business Continuity, and Technology Risk Management)
Bachelor's Degree (B.A.) in related field

Operational Risk Analyst Resume Examples & Samples

Confident and concise verbal communication skills, including the ability to influence and negotiate with senior members of staff
Relevant experience in risk identification, assessment, monitoring, and remediation will be an additional strength
Banking/Operational Risk experience an advantage

Operational Risk Analyst Resume Examples & Samples

3 years of related experience (banking, financial regulations, operational process management)
Knowledge of operational, financial, compliance, and transactional processes
Sarbanes-Oxley experience preferred

Senior Operational Risk Analyst Resume Examples & Samples

Five or more years of compliance or risk management experience, preferably in the financial services industry
Undergraduate degree in business or business-related discipline
Advanced degree or professional license (e.g., M.B.A., J.D., C.F.S.A., C.I.A., C.B.A., C.F.A., or C.P.A)
Advanced knowledge of risk management associated with the assigned product lines
Basel II operational risk management knowledge and work experience
Ability to work at all levels of the organization, including with senior leadership
Comfortable working in a team environment

Senior Operational Risk Analyst Resume Examples & Samples

Work with all levels of division’s management across multiple locations and lines of business to execute the division’s ORIC program in alignment with corporate standards and objectives
Development of a "map" of significant ORIC processes, focusing across functions, departments, and locations
Perform Risk Self Assessments. This entails determining process objectives, working with the process owner(s) & other specific subject matter experts to identify risks, identify the existing controls, rank the residual risk/exposure (based on likelihood and impact), and define and execute action plans that are deemed appropriate to reduce the risk/exposure to an acceptable level
Assist in recording/monitoring the division’s Operational Loss Database. This entails capturing pre-defined financial, operational, inefficiency and increased reputation losses across multiple locations and lines of business, and, under certain circumstances, developing and deploying action plans to mitigate/ eliminate a reoccurrence of the loss
Represent division on certain ORIC related activities and cross-divisional meetings, committees, etc
Assist in quarterly/periodic reporting for ORIC program components
Coordinates the annual ORIC certification process(s)
Conduct process walkthroughs and testing as part of management's evaluation of internal controls on an annual basis

Operational Risk Analyst, Citimortgage Resume Examples & Samples

Represent the In-Business Operational Risk Management (IBORM) reporting and analytics team in interactions with operations to validate data being supplied that drives to board level reporting
Proficient with Microsoft Excel with a strong aptitude to independently reproduce technical calculations
Ensure that the risk measures are being reported within data dictionary standard
Strong organizational skills, attention to detail and interpersonal skills
Develops sound relationships with internal risk partners as well as Operations, Ops Control, Compliance and Internal Audit
Resolves or escalates issues timely, communicate difficult information or resolve challenges or risk
Excellent communication skills with partners, both verbal and written to ensure continued engagement with all stakeholders
Proficient in Office programs to include Word, Excel, PowerPoint and Project
Prompt and punctual for all meetings

Operational Risk Analyst Resume Examples & Samples

Production of reports enabling Operational Risk Management (ORM) to proactively assist in managing operational risks through risk assessment, anticipation, mitigation and recovery
Support the development of model risk management reporting initiatives through definition of key model risk related data/metrics and establishing reporting standards that can be applied consistently
Support implementation of effective control processes to ensure accurate and timely reporting for our clients
The ideal candidate will have a BS or BA and 1-5 years of work experience in finance or a related control discipline (e.g. Risk Management, Reporting, Financial Control, Audit, Operations, etc.)
Keen analytical skills to interpret, validate, and analyze data
Self-starter who can take initiative and work independently
Excellent communication and interpersonal skills with the ability to work with counterparts in different areas of the organization
Advanced technical knowledge of Microsoft Excel and PowerPoint required, familiarity with Business Objects and MicroStrategy is preferable

Operational Risk Analyst Le Resume Examples & Samples

The candidate will ensure all work in relation to Loss Data, Metrics (data collation, generation and analysis of key Global/ Regional Operational Risk (‘OpRisk’) metrics reports for key OpRisk governance forums within the Bank), and OpRisk Reporting Systems/Projects is delivered
Responsibility for working with stakeholders to ensure delivery on data collation, generation and analysis of key OpRisk metrics/Loss data reports at the Bankwide, Divisional, Legal Entity and Regional levels
Involvement in the enhancement of metrics/loss reporting under the OpRisk US Legal Entity Program
Liaison with report owners, metrics/loss data providers in business areas across the Bank and other stakeholders to implement metric report changes as required
Analysis of metrics data and provision of appropriate challenge to business areas to identify potential risk and control issues
Enhancement of report production processes, tools, controls, including assistance in the development of strategic system solutions to support OpRisk metrics/loss reporting, to improve efficiency and control
Work on other project deliverables impacting the RFDAR OpRisk Reporting team

Operational Risk Analyst Resume Examples & Samples

Creating MI reporting on regular basis to assist management in assessing trends in key controls statistics
Maintaining the SharePoint by uploading key documents to the site
Assisting with the month end process around open Operational Risk and Audit items
Performing data analysis on Operational Risk data to identify anomolies and provide solutions for remediation
Assisting in the semi-annual ICAP process
Preparing management information packs for Senior Management
Contacting with Clients to discuss their requirements

Operational Risk Analyst Resume Examples & Samples

Work with all levels of management across multiple locations and/or lines of business to execute the operational risk program in alignment with corporate standards and objectives
Assist in performing risk self-assessments. This entails determining process objectives, working with the process owner(s) and other specific subject matter experts to identify risks, identify the existing controls, rank the residual risk/exposure (based upon likelihood and impact), and review and monitor the execution of action plans that are deemed appropriate to reduce the risk/exposure to an acceptable level. May facilitate or assist in RSA workshops
Assist in implementation and monitoring of Key Risk Indicators (KRIs). This is accomplished through gathering an inventory of current metrics, determining the most significant risks that require monitoring, establishing KRIs for the most significant process, and gathering data (when required) so that reporting can be completed for KRIs
Assist in recording/monitoring the Operational Risk Database. This entails capturing pre-defined financial, operational, inefficiency and increased reputation losses across multiple locations and lines of business, and, under certain circumstances, developing and deploying action plans to mitigate/eliminate a reoccurrence of the loss
Assist in quarterly/periodic operational risk reporting
Representation on certain operational risk related activities and cross divisional meetings, committees, etc
Bachelor degree in related field (accounting, finance, risk management) or equivalent operational experience
2-5 years of audit experience or equivalent required
Financial Risk Manager (FRM), Professional Risk Managers’ International Association (PRMIA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA) or Certified Public Accountant (CPA) certifications preferred
Strong facilitation and communication skills, strong understanding of financial services and/or insurance industry
Ability to manage multiple priorities and work independently. Solid project management skills
Comfortable with change in a fast paced environment

Operational Risk Analyst Resume Examples & Samples

Transaction Services experience , a plus
3+ year’s experience with Risk and Control processes (CoB, Records, Supplier)
Develop and maintain strong relationships with clients through teamwork
Control monitoring/reporting and identification of emerging risks
Superb written and verbal communication
Excellent organizational and time management skills a must
Experience in CoBTrac, a plus

Operational Risk Analyst Resume Examples & Samples

One to three years of risk management, auditing, and/or operations in a financial or banking institution
Planning, organizing, directing and controlling
Med to advanced Excel and PowerPoint skills

Operational Risk Analyst Resume Examples & Samples

Bachelor’s degree required – as a minimum
2-5+ years relevant financial and/or risk experience
Strong PC skills (Microsoft Office with emphasis on Access is mandatory)
Willingness to question/challenge existing processes and ensure a satisfactory outcome
Strong organizational skills with the ability to multi-task
Excellent communication and relationship skills across all management levels
Experience with systems and project management, a plus
Advanced/Intermediate English

Operational Risk Analyst Citi Market s Risk & Control Resume Examples & Samples

Assist in assessing current status of Dodd Frank related controls
Recommend control enhancements as needed
Identify best practices to be shared with global Markets businesses
Develop and maintain tracking metrics for management reporting and escalation
Develop internal relationships and provide support for various Trading and Sales desks
Establish a rapport with Business Managers, Compliance, Internal Audit and Legal
Knowledge of Dodd Frank regulations
Series 7, 24 a plus but not mandatory
Experience with Microsoft Access databases, including design, developing queries, reports and macros in a dynamic environment would be helpful
Experience with Citi systems is a plus

Operational Risk Analyst Resume Examples & Samples

End to end management of incident management process
Manage incident system to ensure it continues to meet business requirements
Manage incident detail data integrity
Manage incident reporting for all business requirements
Support the business in investigating and documenting incidents
Support business in the use of the incident reporting system
Facilitate the business in the implementation of control improvement plans
Provide Operational Risk administration support
Excel skills to an intermediate level
Ideally current experience within Financial Services
Good understanding of asset management

Senior Operational Risk Analyst Resume Examples & Samples

5+ years in the financial services industry
Good presentation and communication (verbal and written) skills
Knowledge of WM-CA’s products, processes and organization

Securities, Ficc, Operational Risk, Analyst Resume Examples & Samples

Ensure transparency of risks to traders and senior management by summarizing and reporting risks
Perform risk analysis and liaise with trading desks to understand business activities, workflows and existing policies and controls
Review the Division’s trading activity and compliance with policies and controls
Lead implementation of various risk related regulatory initiatives
Monitor market and economic activity to identify risks and potential business implications
Up to 3 years’ experience in a trading / control environment
Broad knowledge of financial markets and the drivers of market moves
Enthusiasm and genuine interest in financial markets
Detailed knowledge of some asset classes and instruments preferred
Experience with electronic trading in any asset class preferred, or alternatively with prior software development experience in similar systems
Confident interpersonal skills due to the high level of senior management liaison
Excellent communication skills; able to communicate concisely and accurately

Operational Risk Analyst Resume Examples & Samples

Provide actionable intelligence, in order to identify and proactively address key Control issues
Perform thematic analytical reviews of a Global nature to determine trends and emerging risks
Understand key risks within the Business and operational processes relating to Global Business partners
Conduct specific data analysis and present conclusions of analysis to Senior Management
Facilitate the execution of the Centralised Controls Test Plan covering Global OTRC sites
Oversight of Global report generation, obtaining metrics from various systems to monitor the Control environment and effective communication and escalation of key controls
Perform Key Data Management including, Data Processing, Consolidation and Reporting, creation of Feed Dashboards
Ad-hoc reporting-ability to design and build customized reports based on Stakeholders / Business requirements
Develop and research new methods of managing and maintaining business Control processes
Facilitate the transition to visualization reporting for manually collected Metrics
Monthly Controls MIS decks, data analysis reports to be prepared and shared, capturing any issues, themes or exceptions
Perform any other ad-hoc process reviews or tasks as warranted by business requirements
Be fully up to date and familiar with relevant Citi Policies and standards
Knowledge of ICG Operations businesses and associated processes
Analytical inquisitiveness and problem solving, ability to ask insightful questions, work through complexity and identify issues/exceptions clearly
Experience with Metrics required
Ability to convert large volumes of data into high quality PowerPoint decks, presentations, dashboards
Understanding of Program/Project Management standards
Good at brainstorming. Needs to communicate complex ideas simply and compellingly
Excellent written and verbal communication skills required to influence and negotiate
English language proficiency required (written and verbal)
Willing to work in a Global environment
Strong MS Office - Excel, Word, Power Point

Operational Risk Analyst Resume Examples & Samples

Lead the and further grow a team of operational risk analysts in the ongoing maintenance and further development of the Group Operational Risk Scenario framework across various jurisdictions (incl. policies and procedures required to meet regulatory and best practice standards)
Lead the ongoing integration and linkage of the Operational Risk Scenarios framework with other elements of the Operational Risk Framework (e.g. Risk and Control Self-Assessments, Metrics, Control initiatives etc)
Lead the preparation (incl. training of business experts) and governance (incl. facilitation) of the annual scenario processes across various jurisdictions
Support the communication to senior management within Risk Management department and Business divisions, the various governance groups as well as the regulatory bodies
Support the Operational Risk capital process (incl. macroeconomic stress testing) across the various jurisdictions
Excellent organisational skills and ability to work under pressured timelines

Operational Risk Analyst Resume Examples & Samples

Proficiency with Microsoft products; SharePoint, Visio, PowerPoint, Access, Word, Excel
Familiarity with common mortgage operations technology platforms (e.g.: loan origination and servicing systems, imaging systems, default servicing systems, valuation systems, property management, customer service systems)
Strong creativity, problem solving skills, and the ability to automate data processes using available tools
Self-starter who can find technological solutions on a timely basis as needed
Ability to devise strategies and translate objectives into tactical execution plans
Experienced with multiple full development lifecycles from business concept to final delivery
Minimum of 3-5 years analytical experience
Strong quantitative, analysis, and organizational skills
Strong database development skills including creating, managing, supporting; queries, tables, stored procedures, functions, triggers, forms, web interface tools, macros, VBA, SQL, query tools, etc
Familiarity with common reporting platforms such as Business Objects
Strong data analysis, data cleansing, data integrity, data governance procedures and concepts
3 years+ of business analysis/MIS experience in consumer lending, preferably mortgage originations and/or servicing
Ability to review large data sets and present trends and/or suggested improvement to stakeholder partners
Highly developed analytical, numerical, and reasoning abilities to analyze data and business processes, challenge assumptions, develop analytical methodologies, present and defend conclusions and recommend action plans
Must be organized and work within prioritization framework to meet tight deadlines, and offer solutions where efficiency may be challenged
Strong communication skills and presentation skills
Bachelor's degree in related field of study with Masters preferred
Ability to coordinate and communicate across various business segments and technology disciplines
Ability to work both collaboratively and independently

Corp Sector Risk-ctc Operational Risk Analyst Resume Examples & Samples

Familiarization with the operations within the business and business processes
Proactively analyzes operational risks and ensure effective communication and escalation with key stakeholders across sub-LOBs and functional teams
Assisting in the Risk & Control Self Assessment process in the CTC Risk organization, including identification of key processes and controls
Review and challenge business unit’s documented operational risk assessment processes and procedures
Stay abreast of industry news and regulatory developments to facilitate a more proactive approach to risk identification and mitigation. Review root cause analysis on internal operational risk events and those that occurred externally in the industry
Coordinate activities to ensure the effective execution and convergence of the elements Operational Risk Management Framework (ORMF) including: Risk and Control Self Assessments, operational loss data capture and reporting, structured scenario analysis and capital allocation and maintenance of strong governance and culture of transparency
Oversee risks associated with new business initiatives and other programs (i.e. User Tools) within the business and challenge the control environment within these programs
Participating in operational risk structured scenario analysis, including interviews and workshops with senior management to identify extreme but plausible operational risks across CTC activities
Contributing to developing and managing operational risk governance, policies and procedures
Lead, or participate in, other operational risk initiatives as assigned
Bachelor’s Degree in business administration, finance or related field
Experience in financial services industry, with specific experience in Operational Risk, Finance, Business Management, Audit, Compliance or other controls related area preferred
Strong organizational, planning, documentation and project management skills; track record of building strong partnerships across teams and operating through influence
Ability to partner with individuals across all LOBs/ Functions and at all levels of the organization
Experience with Risk tools (e.g., Phoenix) systems and Microsoft office skills is plus

Operational Risk Analyst Resume Examples & Samples

Operational Risk - Adopt and implement Group Operational Risk policy and methodology in the Asia region by coordinating entities in identifying and assessing operating risk (including risk assessment, scenario analysis and loss data collection). This position also acts as key point of reference to local companies as support for operational risk
Liaise and support Marketing and Corporate Communication department to assess Reputational Risk by providing Group methodology in bridging the gap between local peculiarities and group standards
Functions as the interface for compliance risk and operational risk in respect of regulatory change, policy change, both internal and external
Point of coordination between First Line of Defense (Business Units, mostly with I.T.) and Third Line of Dense (Internal Audit) to ensure that group guidelines are understood; operational risks are identified, assessed, monitored and communicated
Support the implementation of the Risk Management Policy and other risk-related policies and support local Risk Management Committees
Coordinate annual Risk Report (ORSA Report) with local companies and other Group reporting requirements
Bachelor degree in accountancy, finance or business related discipline
3+ years of experience in Operational Risk, Internal Control function, Compliance or Internal Audit in Financial Service Sector
Basic technical knowledge of regulatory requirements and international best practice in operational risk and risk management
Certificates preferred: CPA / ACCA or equivalent, CIA, CISA, FRM / PRM
Strong communication and presentation skills that able to communicate technical topics in ordinary language to broad multicultural audience
Good analytical abilities including root cause analysis
Ability to work independently and proactive to propose solutions and new ideas

Operational Risk Analyst Resume Examples & Samples

The Quality Manager is responsible for the preparation, development, due diligence, reporting and approval of Know Your Customer (KYC) and associated documentation in partnership with Customers, Relationship Management and Compliance. The role focuses primarily on ensuring the process completeness based on timely and effective processes for the relevant client groups
Supervise areas or functions in which the department supports the Global Consumer Business: preparation, development, due diligence and approval of the Customer Acquisition Due Diligence (CitiKYC)
Ensure the quality, timeliness and accuracy of all processes and services provided by multiple departments across the Global Consumer Bank (Onboarding, Scheduled Reviews and Feedback Loop are some examples) and at the same time proactively manage risk and control issues to ensure compliance with company policy
Act as an agent of change to provide guidance in process improvement, right placements and migrations into the department
Career management, coaching and mentoring for all team members
Lead the migration of new business and responsibilities into the area
Oversee adherence to standards across Quality reviews
Oversee adherence to sampling guidelines across all Quality review populations
Coordinate with various partners to ensure Quality results/recommendations are implemented into BAU processes
Deliver training where appropriate based on corrective actions
Conduct periodic walkthrough or processes as needed and identify process improvements
Collection and assessment of audit, compliance testing and regulatory deliverables
Coordinate with Audit and Exam managements, and assist in drafting of audit and exam responses
Track corrective action plans to closure and validate effectiveness of control enhancements
Keep high standards of VOC and VOE
Ensure appropriate hiring
Major degree preferably in Business/Finance, Math, Economics, Engineering, Optimization, or Law. (Licenciatura)
5+years experience in the financial industry/examination field/internal audit
5+ years experience with laws and regulations applicable to money laundering, including the Bank Secrecy Act (BSA), The USA Patriot Act, OFAC requirements, and Suspicious Activity Report (SAR) requirements
5+ years experience in examination roles and in depth understanding in test methodology, risk and controls analysis and business process mapping
Strong presentation, program, and relationship management skills
Strong technical, analytical, organizational, and interpersonal skills
Ability to conduct job responsibilities effectively with minimal supervision
High proficiency in Microsoft Word, Excel and PowerPoint
Ability to multitask and work effectively under pressure to meet deadlines
General understanding of KYC, Senior Political Figures, Money Service Businesses, and other high risk customer segments preferred as well as compliance with those business segments
Advanced use of Microsoft Package
English C2
Advanced Microsoft Excel skills (data manipulation, pivot tables etc.)
Advanced Microsoft Power Point
MIS and metrics and efficiency analysis skills
Experience in control/risk or Compliance (AML/KYC) functions
Excellent oral and written communication skills and ability to facilitate discussions up to senior stakeholder level
Ability to present to senior levels of management (e.g. Director, MD)
A good knowledge of the techniques for planning, monitoring and controlling programs and resources
Ability to work independently, multi-task, and take ownership of various parts of a project or initiative
Integration

Operational Risk Analyst Resume Examples & Samples

Serve as a senior analyst for TPU risk analysis activities handling the most complex suppliers or business relationships
Provide strategic support to Citi businesses for the execution of third-party risk management activities, including
Bachelor’s Degree required; advanced degree preferred
Detail oriented, pragmatic problem solver, forward thinker with ability to act independently

Operational Risk Analyst Resume Examples & Samples

BA/BS or equivalent experience
8-10 years of work experience in Client Service, Business Risk, Compliance, or other related experience
Knowledge of Banking and Securities related Regulations and Citi Private Bank Policies and Procedures and a proven ability to manage projects and conduct training
Strong interpersonal, verbal and written communication skills as well as organizational and analytical skills
Bi-Lingual Skills English/Spanish
Ability to quickly adapt to change, multi-task, work independently with little supervision
Moderate to advanced experience using the standard suite of MS Office products in addition to comfort using Web-Based systems in general is also preferred
Licensing preferred

Operational Risk Analyst Resume Examples & Samples

Assist the TPU Operational Standard manager with implementation of TPU Operational Standard program at the TPU Costa Rica site
Support the implementation of the TPU Book of Work at the TPU Costa Rica site in a multi-year, multi-phased environment
Oversee TPU Costa Rica site adherence to the TPU Global Operating Standards, inclusive of compliance with operating procedures, standard tools utilization, and reporting artifacts
Lead the TPU Costa Rica site development and adaptation of interim tools as needed, including tools to document, store, and report on activities performed, including Supplier relationship scorecards, Process activity scorecards, and TPU Performance scorecards
Lead the efforts to ensure that the TPU activities performed out of TPU Costa Rica site are completed in accordance with applicable regional and / or local laws and regulations, conducting researches if required and interacting with Compliance and Legal colleagues as needed
Support the development and maintenance of global standards for TPU Quality Control Program to be carried out for each activity at each TPU site
BS/BA degree required
Ability to draft detailed operating procedures, training materials, and tools
Strong control, process, and project management skills with the proven ability to influence and drive results from a diverse team of functional stakeholders
Excellent analytical skills and the ability to present information in a succinct format

Operational Risk Analyst Resume Examples & Samples

Support the ESC TPU Global QA Manager to liaise with the TPM Office Governance team and the ESC Controls & Governance team to ensure alignment with risk and control strategic programs and requirements
Execute monthly spot audits on select TPU activities globally to ensure established controls are functioning as intended at each TPU site
Ensure all operational risks are assessed and mitigated, and control / audit issues are actively managed to full resolution
Report control breaks identified and recommend control enhancements to TPU Site management teams
Collaborate to the development of TPU operating procedures and processes to ensure appropriate controls are established and documented
Support the ESC TPU Global QA Manager to liaise with TPU Site Heads globally to ensure sound and effective control activities are integrated into the TPU day-to-day operating activities
Support ESC’s global CoB program requirements specific to TPU sites and activities
Support requests from regulators globally specific to the TPU activities
Support ESC’s MCA Program and manage the execution of TPU MCA activities globally across all TPU activities and sites in alignment with the Third Party Management (TPM) Office’s MCA standards and guidelines
Support Third Party Management governance committees, as required
Minimum BS/BA degree. Preferred MA/M.Sc./MBA degree

Operational Risk Analyst Resume Examples & Samples

Provide support to Citi businesses for the execution of third-party risk management activities, for example, coordination of:◦Information Security Assessments with third parties and
Citi business stakeholders
Documenting termination plans and off boarding of third parties
Execute common, standardized third-party risk management processes, managed centrally by the TPU, for example:◦Support third-party selection process through evaluation of bid responses against specific risk and control criteria

Operational Risk Analyst Resume Examples & Samples

Northern Europe
Western Europe
Central Europe
Middle East and North Africa
Russia CIS/Turkey/Israel
Development of the Country Level Operational Risk Framework including Risk and Control Self-Assessment (“RCSA”s)
Delivery of the Framework across EMEA countries

Operational Risk Analyst Resume Examples & Samples

At least 5 years’ experience at internal audit or business / control function
Strong interpersonal skills, including the ability to sway opinion and negotiate successfully at a senior level
Experience in Audit, Risk Management, Compliance, controls or other support functions aimed at promoting safety and soundness within the financial system would be beneficial
Excellent leadership, influential and teamwork skills
Strong inter-personal/relationship skills
Ability to sift through complexity and see issues clearly
Drive and determination – high energy level, but dispassionate and independent
Ability to work in various projects at the same time and under the pressure of tight deadlines
Excellent communication skills – verbal & written ability to work with tight deadlines and under pressure

Operational Risk Analyst Resume Examples & Samples

Working closely with GRC functional management with the aim to: identify operational risks within the function and ensuring that these are appropriately evaluated and documented, ensure that appropriate remediation actions are taken and lead the analysis where appropriate
Ensure that there is effective coordination across GRC functions with appropriate escalation and reporting to senior management and governance forums
Facilitating the functional processes relating to formal operational risk certifications including SOX 302 and SOX 404; contributing to specific risk analysis and reviews of targeted areas within GRC functions
Driving the preparation of Risk COO dashboards for the GRC Operational Risk Oversight Committee; and discovering and collating information from across UBS to support ongoing assessment of risks impacting GRC

Operational Risk Analyst Resume Examples & Samples

Reporting, both formally and informally
Interfacing with all Operations teams and the senior management team in Risk and Compliance
Working with first and third lines of defence to ensure a robust and consistent ORM framework is present within the business
Management of mitigants and business continuity where appropriate
Ensuring the trade and business lifecycle processes are robust from a risk perspective
Providing independent advice and oversight to the Operations team, regardless of level

Operational Risk Analyst Resume Examples & Samples

SPECIALISED SKILLS/EXPERIENCE
Management/Supervisory
Ability to handle pressure
Accountability and teamwork
Integrity
Learning
Accomplishment

Operational Risk Analyst Resume Examples & Samples

Identify process risks and highlight impact on various business areas (people, organization, processes, metrics and systems, controls etc.)
Undertake analysis of various data points to prevent the operational issues and to identify business opportunities
Increase internal business performance by further development of reporting framework and creating management sound analysis
Maintain a strong SOX and internal control framework to strengthen general control oversight and to drive process efficiencies by taking part in Design Effectiveness Testing assessment, SOX testing, End of Year Sign-off
Remediate & close SOX/operational incidents and support various business stakeholder
Identify, document and disseminate new procedures, controls and processes
External and internal Client relationship management for audit purposes
Adhere to listed practices
That position will allow gaining experience in multinational corporation under CFO Department. Working for Credit Suisse gives also opportunity for international mobility

Operational Risk Analyst Resume Examples & Samples

Manage end-to-end operational risk identification, assessment and quantification, aggregation reporting, and monitoring for assigned businesses
Assist in coordinating the operational risk program within the context of the broader TCF enterprise risk management framework, including TCF’s risk appetite statement
Use professional knowledge, skills, and experience to influence and guide, monitor, and credibly challenge the first line business units as they manage operational risk and make risk decisions
Determine if management action is needed to strengthen operational controls or reduce residual risk to align with risk tolerances and the risk appetite
Manage operational risks for assigned business units, supporting processes, and supporting departments
Assist with coordinating the operational risk program efforts with TCF’s stress testing, modeling, comprehensive periodic risk assessments, and regulatory reporting standards and expectations
Develop presentations appropriate for senior level audiences and external regulators
Will be fully conversant with TCF’s risk appetite statement and how both the risk appetite statement and how both the risk appetite statement and the operational risk program apply to TCF employees
Bachelor’s degree in a business-related field (e.g. accounting, finance, economics, etc.) or equivalent experience
3+ years of previous relevant experience within the financial services, risk management, insurance or consulting industries
Possess a strong acumen for the following skills
Organized with good follow-through skills and ability to manage multiple projects and deadlines
Strong communication skills (written and verbal) with the ability to effectively interact with all levels of the organization, vendors, external partners, and regulators
Leadership, teamwork, accountability and demonstrate integrity in all aspects of job duties
Relationship management and interpersonal abilities
Self-motivated, articulate and independent thinker
Strategic, analytical, qualitative, and quantitative abilities

Senior Operational Risk Analyst Resume Examples & Samples

Oversee effective end to end operational risk identification, assessment and quantification, aggregation reporting, and monitoring
Assist in coordinating the operational risk program, including risk and control self-assessments and scenario analysis, within the context of the broader TCF enterprise risk management framework, including TCF’s risk appetite statement. May provide guidance to less experienced staff
Centrally manage the operational risk program, including risk and control self-assessments and scenario analysis, across all TCF lines of business, supporting processes, and supporting departments
Build and maintain relationships with bank and industry experts, including understanding and applying required operational risk standards
Coordinate the operational risk program, including risk and control self-assessments and scenario analysis, efforts with TCF’s stress testing, modeling, comprehensive periodic risk assessments, and regulatory reporting standards and expectations
Establish relationships with business and risk partners to enable collaboration and alignment across key risk objectives
Will be fully conversant with TCF’s risk appetite statement and how both the risk appetite statement and the operational risk program, including risk and control self-assessments and scenario analysis, apply to TCF employees
Bachelor’s degree in a business-related field (e.g., accounting, finance, economics, etc.) or equivalent experience
5+ years’ previous experience including risk and control self-assessments and scenario analysis within the financial services industry
Demonstrated proficiency with the following skills
Highly organized, excellent follow-through, and the ability to manage multiple projects and deadlines
Demonstrated Leadership to promote effective team dynamics, and accountability for timely deliverables
Highly self-motivated, articulate and independent thinker
Expert knowledge of utilizing Microsoft Office products (Excel, PowerPoint, Word, Outlook)

Senior Operational Risk Analyst Resume Examples & Samples

Builds and maintains loss data collection policies, procedures, processes, methods, and all related documentation
Coordinates the loss data program within the context of the broader TCF enterprise and operational risk management frameworks, including TCF’s risk appetite statement
Centrally manages the loss data collection program across all TCF lines of business, supporting processes, and supporting departments
Builds and maintains relationships with external data consortiums, including understanding and applying required collection, documentation, and reporting standards
Facilitates and oversees the collection and reporting of operational risk data (e.g., events, KRIs, etc.), including reporting and analysis of internal, external, and industry loss data trends
Coordinates the operational loss collection efforts with TCF’s stress testing, modeling, comprehensive periodic risk assessments, and regulatory reporting standards and expectations
Establishes relationships with business and risk partners to enable collaboration and alignment across key risk objectives
Will be fully conversant with TCF’s risk appetite statement, how it applies to loss data analytics, and how both the risk appetite statement and loss data analytics apply to TCF employees
Bachelor’s degree in a quantitative field (e.g., accounting, finance, economics, statistics, math, etc.) or equivalent experience
3+ years of relevant previous experience within the financial services industry combined with 2+ plus years of Loss Database Management experience is required
Working knowledge of SAS or similar (Sequel Project or other database management system). Demonstrated proficiency with the following skills
Leadership, teamwork, accountability, respect, and integrity in all aspects of job duties
Highly self-motivated, independent thinker, and articulate
Expert knowledge of utilizing Microsoft Office products (Excel, PowerPoint, Word, Outlook

Operational Risk Analyst Resume Examples & Samples

Provide support in several initiatives related to key control projects
Manage and improve daily control reporting processes
Review and reconcile various exception reports to improve data quality
Develop internal relationships and provide support for various Trading / Sales Desks
Gain the trust and confidence of the Citi Markets Trading and Sales Desks
Establish a rapport with Business Managers, Compliance, Internal Audit, Financial Control and Middle Office
Experience extracting data from disparate sources in a manually intensive environment and transforming/standardizing it into meaningful information to a variety of senior global stakeholders
Experience with databases, including design, developing queries, reports and macros in a dynamic environment. Working experience in Visualization and Business Intelligence tools such as Qlikview, a plus
Communication - Excellent oral and written communications skills; Must be articulate and persuasive
Change Agent - Ability to drive change to business practices by working effectively. Self-starting with the ability to multitask and prioritize
Teamwork - Must be able to work in a team environment, listen and work well with others; Team-oriented, client-focused and open to different ideas/viewpoints
Organizational Skills – Capable of prioritizing and multi-tasking in a dynamic fast paced environment
Strong analytical skills with follow-up and problem solving capability
Ability to analyze a process and recommend ways to improve quality, controls, and efficiency

Operational Risk Analyst Resume Examples & Samples

Support WM ORM Head, Programs mandate as part of central resource function for WM ORM. Assist WM ORM in maintaining focus on management and execution of key platform deliverables to fulfil EORM and platform directives. Ensure new EORM Operational Risk directives/requirements are disseminated to WM ORM Team and WM Management as appropriate. Develop monitoring and reporting capabilities therein
Execute essential processes and controls to deliver robust and timely Risk Reporting and Operational Risk Appetite Reporting as required
Support WM ORM Globally by maintaining informational linkages with applicable internal Centres of Governance [“CoG’s”], EORM, other RBC ORM teams and essential Infrastructural areas supporting WM
Help ensure applicable Enterprise-wide responsibilities are addressed within WM, and relevant learnings/best practices available from CoG’s are communicated clearly to all WM-ORM teams
Support WM ORM Globally in providing governing principles and standard practices in the presentation and evaluation of Key Risk Indicators [KRI], Management/EORM Reporting and Operational Risk Appetite [ORA] information
Execute quality control steps to support integrity of WM OR Team processes
Execute Risk & Control Assessment steps, as well as Special Projects, mandated by the WM ORM Program Head
Assist in the co-ordination and planning of Team meetings and periodic Global Team teleconferences
Recognized Industry Qualifications – Industry Securities / Options / Futures courses or equivalent
5+ years in a combination of knowledge, skill and background in either operational risk practices, audit or compliance functions, securities operations or one or more businesses in WM
Maturity level and skill/judgment to be able to deal effectively within WM ORM Team/peer group
Presentation and communication (verbal and written) skills suitable for senior management engagement
Strong problem solving, analytical (including qualitative analysis), research, and quantitative skills are essential
Excellent knowledge of WM and RBC’s products, processes and organization
Excellent PC skills (e.g. High degree of knowledge and comfort with Microsoft Office, Excel, Powerpoint)

Operational Risk Analyst Resume Examples & Samples

To enhance the control environment within the Private Bank and to maintain processes to address the variety of internal and external control policies the business has to comply with
Assess the business needs, design appropriate control processes and implement and manage continued compliance with those processes
Support the business with client reporting, especially with local tax and regulatory requirements
Support to the execution and delivery of key Information Security activities, including reporting of IS Incidents, liaison with Group IS function, co-ordination of IS Risk Assessments
Support to the execution and delivery of key Continuity of Business activities, including co-ordination of the Business Continuity agenda for the Private Bank
Support to the execution and delivery of the Records Management agenda, including liaison with Group function, co-ordination of records management work programs
Support to the Fraud Management program oversight, liaison with Group Fraud function, reporting of Fraud Incidents
Execution and oversight of the Private Bank’s Risk and Control Self Assessment processes
Execution and oversight of controls testing activity across a variety of processes for the Private Bank
Execution and oversight of the Key Risk Indicator and Key Operational Risk processes
Causal analysis and remediation of control weaknesses or errors identified through the risk and control assessment processes or through operational losses or risk events
Oversight of material areas of risk and control, including KYC, AML, Sales and Suitability
Support to the co-ordination of the broader control function risk management agenda, working closely with partners in Legal, Risk and Compliance
Working closely with Bankers, Business Managers and Senior Managers to embed a robust culture of internal control
Supporting the commercial implementation of all Citi wide policies and procedures in the Private Banking business
Monitoring and tracking corrective actions plans, overseeing appropriate and on-time remediation of risk issues
Support to the business with internal reports (BI or other system reports) to automate universe/samples
Control of CIL opened and closed accounts to identify Spanish resident client reporting requirements, maintaining client’s reporting related data in OneSource
Generation of reports issued on behalf of clients to deliver them to clients and/or to the different regulators
Bank of Spain – ETE client reports
Ministry of Commerce – D5, D6, D8, etc
Tax related – Self-retention 117 report, 720 and ITS reports
Execution and oversight of the CNMV Recommendation/Suitability rules, that include
Management of the Spain IOS Letter Delivery Process, including IOS Exception and IOS letter delivery tracking
Management of the Spain CNMV Recommendation Letter Process, including controls testing activity
Execution of Signature Verification and Call-back to clients to cover MIFT requirements
Delivering process and control deep dive review activity as required by the Head of Business Risk and Control
Experience in implementing operational risk management tools, frameworks and processes
Experience in Internal Audit, Compliance or Risk Management
Experience in Private Banking / Wealth Management or Asset Management business and/or control management
Awareness of relevant Spain / EU regulation and regulatory frameworks would be beneficial
Ability to work well in a cooperative, high energy, matrix managed business
Ideal candidate will have the combined experience of business, process and risk management in financial services
Experience in Spanish legal and tax matters related to Spanish investors in foreign countries Skills
Language skills: Native Spanish speaker and fluent in English, written and spoken
Awareness of Information Security practices
Business continuity planning skills
Strong stakeholder management (building relationships, influencing and challenge)
Project management skills for the implementation of complex business solutions
Ability to deal with regulatory institutions
Ability to establish an environment where client facing staff are aware of regulatory requirements
A professionally recognized controls based background in compliance, financial control, internal auditing, Risk Management or similar
A sound understanding of processing within a complex systems environment
Graduate calibre

Operational Risk Analyst Resume Examples & Samples

5-8 years of successful operations, product and/or project management experience within the global finance industry
In-depth knowledge of TTS Operations and products
Understanding of Citi policies and the controls environment
Experience in adhering to company policies within a controls environment
Strong analytical skills, including hands-on project management experience and preparing senior management presentations are required
Exceptional verbal and written communications at all levels of management
Strong time management skills to meet various deadlines
Ability to research and identify a continuous improvement approach
Participation in cross-functional teams
Influence skills
Strong proficiency in Excel, PowerPoint and Access required

Operational Risk Analyst Resume Examples & Samples

Act in the Loss Event Data collection process as a collector of information, ensuring that all the events are accurately represented in the HQ reporting system. This include the recognition, understanding, analysis, and reporting of OpRisk events and their corresponding impact on the business
Working on the Risk & Control Self-Assessment task, including Interview with team representatives, outcome documentation and analysis of main operational risks and controls in place
Helping the OR Manager in establish primary Key Risk Indicators for the Pole, and define and monitor related metrics
Collaborate in the monthly production of Asset and Liabilities metrics, ensuring data validation and timely reporting to the regulators
Analytical Skills - must be able to analyze information and identify implications
Excellent interpersonal skills - Effectively interact with various business functions
Proven ability to work effectively & meet deadlines
Clear thinker, with passion for controllership and processes simplification
Fluent in English and Italian, both written and verbal
Systems skills: Microsoft Office, in particular, strong Excel and Access skills. Business Object will be a plus
Proven problem solving skills and ability to improve existing processes
Records retention experience
Ability to utilize written and verbal communication skills within a fast paced professional business environment
Easily adapt to changes in direction and remain focused in environment of incomplete information
Build individual relationships both internally/externally and effectively work with individuals at all levels of an organization
Demonstrated ability to complete accurate work and maintain a high level of detail
Strong verbal and written communication skill
Demonstrated ability to prioritize workload and multi-task to ensure production timeframes are met
Active participation in professional associations
Experience using Record Management & Operating Systems like: Siebel, Workflow, Documentum, EKIP, Maxiwin
Paralegal experience

Cbps-operational Risk Analyst Resume Examples & Samples

Ability to multi-task and manage multiple requirements and initiatives
Ability to liaise and interface with all levels within the organization and across all functions
Team player and has customer/client-oriented focus

Operational Risk Analyst Tprm Resume Examples & Samples

Strong knowledge of policies, procedures, systems and flows across multiple businesses. This position will support Third Party Risk Management
Proven ability to make sound business decisions
Strong performance management abilities
Solid leadership skills and ability to direct and motivate staff and interact with others with integrity and ethics
Strong execution skills with a focus on clear, realistic action steps and timelines
Strong communication and diplomacy skills
Demonstrated ability for independent judgment and oversight
Strong process ownerships skills and accountability to manage the outcome and target dates
Solid PC skills, including Microsoft Office (Excel, PowerPoint, Visio and Word)
Strong analytical, problem solving and time management skills in order to filter, prioritize, and validate potentially complex and dynamic material from multiple sources
Ability to work effectively in the face of ambiguity, shifting priorities and multiple deadlines
Ability to think E2E (both tactically and strategically)

Operational Risk Analyst MSD Business Control Resume Examples & Samples

Focus on technology related projects to improve efficiencies
Implementation/enhancements to front end systems to comply with regulatory requirements and other external examiner/auditor recommendations etc
Work closely with other members of the team on Audits, MCA testing, Regulatory Requests
5+ years in a technology or business controls organization
5+ years of experience in Municipal Trade process, pricing, risk, settlement process and systems
3+ years in a project management lead
1+ year in a business control, compliance, operational risk or audit function
Project leadership spanning across multiple teams and work streams: Front Office, Risk, Finance, Business Control, Technology, Risk Technology, Compliance
Knowledge of various transaction structures including loans, bonds, ETF, derivatives and credit products
Strong analytic skills with ability to write programs for data analysis purposes
Experience with managing remediation projects specifically related to technology projects
Knowledge of fixed income products – securities, bonds, derivatives, exchanged traded instruments (Eurodollar Futures, ETFs)
Systems/database design and management including ticketing, order management, and multi-platform distribution
Business and Technology Project Management and Development
Lead team by partnering and collaborating with stakeholders to deliver results
Understand business control processes, MCA testing, and current regulatory environment including Dodd-Frank, Volcker, and transaction reporting
Understand regulatory differences between banks, broker dealers, and broker dealers functioning on a bank legal entity
Demonstrate good communication skills
Ability to work with, influence, partner and collaborate with others to achieve common goals
Microsoft Products (Outlook, Word, Excel, PowerPoint, Access)
Sales & Trading ticketing and processing systems
Product Processors feeding Books & Records

Senior Operational Risk Analyst Resume Examples & Samples

Degree and preferably with (or a preparedness to study for) a relevant professional qualification in risk management (e.g. IRM, ACII, CISI, ACA, ACII or PRMIA1)
Well-developed understanding of operational risk management in the Financial Services industry with plenty of experience
Good awareness of recent industry developments and trends in enterprise and operational risk management in general and framework aspects in particular

Operational Risk Analyst Resume Examples & Samples

4-5 years cross-function experience in operations, preferable markets operations
Business presentations to management, preferred
Appreciation of policies in general
Good inter-personal and negotiation skills
Able to interpret/apply policies to banking processes
Good communication skill - able to write in clear/concise language
Pro-active risk identification and solution orientation
Business/Accounting degree

Operational Risk Analyst Resume Examples & Samples

Support key Operational Risk related deliverables including the Managers Control Assessment (MCA), Fraud Risk Assessments and Scenario Analysis
Review and opine on new / updated policies and procedures and consult with MSS businesses and support functions to help ensure proper implementation
Support key control projects and processes, including NPAC, DSPP and Reg W
Provide support for ICAPS (control/issue) management
Support key control related attestations – including the quarterly statement of accountability, disclosure committee questionnaires, TRA Sanctions and Conflict Minerals processes
Manage and improve control metrics processes and reporting
Develop internal relationships and provide support for various Trading / Sales Desks and Security Services Businesses
Gain the trust and confidence of MSS businesses and provide strong control related support
Establish a rapport with Business Managers, Compliance, Legal, Internal Audit, Financial Control, Operations, Technology, Middle Office and Risk functions and leverage best practices
Develop a broad and detailed understanding of the organization’s landscape, culture and core risk and control functions
Understand the various markets, applicable regulations and key policies
Bachelor’s degree in Business Administration, Economics, Finance or Accounting
Prior Control, Audit or Operational Risk experience
Knowledge of Qlikview a plus
Strong understanding of key control processes, risks and controls, how to identify control gaps, and recommend areas for improvement
Understanding of Key Firm and ICG Policies impacting MSS
Strong Desktop/PC skills which include working knowledge of Excel and PowerPoint
The ability to manage projects, multi-task and prioritize to deliver results and provide value added service to the business

Operational Risk Analyst Resume Examples & Samples

3 years of third party or operational risk experience
Bachelor's degree in business, or related field
3 or more years of experience of quality control or quality assurance testing
Excellent communication, partnership and persuasion skills required
Ability to utilize sound logic and reasoning to conduct thorough and comprehensive testing and reach accurate conclusions
Strong Microsoft Product skills – Excel, Word and PowerPoint

Operational Risk Analyst Resume Examples & Samples

Manage incident system to ensure it continues to meet business requirements; functionality is adequate, updates rolled out
Manage BWise data integrity
Support and train business users in the use of BWise
Assist senior staff in presentations
Facilitate the business in the implementation of process and control improvements
Assist in production/development of reports to enable trend analysis, reporting & management of incidents
Provide Operational Risk Management support
Ideally some experience within Financial Services
University degree or equivalent or relevant work experience
Good communication skills at all levels

Operational Risk Analyst Resume Examples & Samples

Play a key role in the implementation of new Group ORM initiatives as they arise
Develop appropriate framework reports to meet internal and external governance requirements
Lead various high level assessment of Operational Risk and Business Risk, and the Operational and Business Risk scans, reported to Group
Develop and embed revised approach to Risk Self Assessments
Bring the end to end process to life to support Risk Management in the 1st line
Developing detailed test plans to assess the effectiveness of the relevant controls
Minimum of 5 years' experience working in a similar risk/audit related role
Working knowledge of process management and improvement within a control environment
Ability to foster communications between risk disciplines and regional lines of business
Strong MS Excel / MS Access skills

Senior Operational Risk Analyst Resume Examples & Samples

Partner with the enterprise corporate functions to ensure sound controls are implemented as part of new processes and projects, as well as business as usual enhancements. Reviews, analyzes, and makes recommendations to the design and implementation of the operational risk management framework/measurement methodologies, in coordination with BNP Paribas’ Group Risk Management – Operational Risk, as adapted to the U.S. retail banking environment
Provides leadership in the planning, development and implementation of operational risk frameworks/measurement methodologies, policies, standards and procedures
Analyzes and documents various processes and products, existing or new, by working with the units to identify key processes as described by the Operational Risk framework (process documentation, risk assessment, controls documentation and testing implementation)
Works with management and staff in areas of the organization affected by alterations in practices to ensure understanding and implementation of new operational risk policies and procedures
Accomplishes operational risk assignments within stipulated schedules
Banking products knowledge
Banking laws, regulations, accounting pronouncements, and SEC regulations
Trust and fiduciary activities
Business Environment and Internal Control Factors (BEICF)
Identify enhancements for program tools and support and improved reporting. Develops new tools, defines requirements, identifies data sources, analyzes data, and prepares reports as needed to effectively provide workable solutions or respond to requests for information from Senior/Executive Management, Regulators, and/or BNPP
Provides subject matter expertise related to program questions. Promotes operational risk awareness. Performs periodic ad-hoc reviews/testing to determine if program is operating as designed
Supports quality assurance sampling and secondary reviews as required
7 or more years combined Risk Management experience
Support the development of consolidated Risk Control Self Assessments (RCSAs) which conform to the Operational Risk Framework as defined by the Bank
Provides leadership in the planning, development & execution of Operational Risk policies, standards and measurement methodologies
Will often be included as part of a project team and will be expected to interact with the team on a regular basis
Must be able to work independently and proactively to take initiative to solve problems quickly
Strong skills with various data bases, automated tools and desktop products

Rohq-mbcs-operational Risk Analyst Resume Examples & Samples

Provide backup to Citi Markets Business Controls and Supervision in North America
Generate daily reports, analyze data and develop/maintain tracking metrics for management reporting and escalation
Oversee compliance with internal or regulatory initiatives
Review and reconcile various exception reports
Support control initiatives, audits and self-assessment testing for assigned businesses
Develop internal relationships and provide support for various Trading/Sales Desks
Experience in Controls and Operational Risk Management is an advantage
Knowledge in advanced financial products such as derivatives, credit default swaps, etc. is an advantage
Experience with databases, including design, developing queries, reports and macros in a dynamic environment

Rohq-mbcs-operational Risk Analyst Resume Examples & Samples

Support control initiatives, audits and self assessment testing for assigned businesses
Bachelor’s degree in Computer Science, Business Administration, Economics, Finance or Accounting
MBA and/or CPA is an advantage

Operational Risk Analyst Resume Examples & Samples

Develop in-depth knowledge of Consumer ORM framework requirements, policies, and procedures
Gain understanding of Retail Bank, Cards, and Mortgage businesses and support functions within Consumer Operations and Technology
Assists in the development and implementation of methodologies, as well as quantitative and qualitative effectiveness measures, to assess the effectiveness of Consumer ORM oversight execution
Drive appropriate development and update of Consumer ORM procedures
Support annual review of Key Operational Risks and Key Risk Indicators
Assist in the annual policy attestation process by Consumer Independent ORM and ensure a streamlined and efficient process
Support the aggregation of all risk monitoring indicators including Key Risk Indicators at a Global Consumer level
Support coordination and organization of ad-hoc deliverables
Maintain administrative tools (e.g. calendars, trackers, etc.) to monitor progress of deliverables and stated objectives ensuring effective communication of progress as needed
Promote continuous improvement to monitoring processes being used within the Oversight team to ensure consistent framework implementation
Assist in preparation of agenda, timeline, and deliverables for monthly and quarterly ORM reviews
Participate and assist in risk reviews/analysis to identify and mitigate potential risks before they materialize into operational losses
Assist in preparation of regular updates to regulators and senior governance forums including GCB Global BRCC, GCCF, CRO Regulatory updates, CBNA Risk Committee etc
Support ORM infrastructure development UAT activities as needed
College degree and 3+ years of work experience
Knowledge of financial markets
Knowledge of Consumer Retail products across geographies is a plus
Knowledge of regulatory and operating environment of Consumer Retail businesses is a plus
Prior experience in Risk and/or Control functions is a plus
Strong organization skills with the ability to handle multiple deliverables
Superior communication especially with various levels of management
Ability to function effectively in a matrixed organization
Ability to perform at a high level in a dynamic and constantly changing environment

Operational Risk Analyst Resume Examples & Samples

Provide operational risk support for the department
Support BCP and related initiatives as per the headquarters and work with relevant stakeholders on implementation
Support ORM activities related tp operation data collection and analysis requested by headquarters
Any ad-hoc projects with relation to operational risk and internal contrl
Relevant degree in business adminiatration, finance etc
At least 2 years of relevant working experience in Operational Risk Management/ Internal Control area of Banking industry

Temporary Operational Risk Analyst Resume Examples & Samples

Management of the control monitoring program for the Manager's Control Assessment process (MCA) for both the Citi Trust business and CPB Operations units); identifying and escalating actual/potential control breaks, trends and root causes through testing and/or ad hoc evaluations of business processes/controls and formulating, documenting and tracking Issues and CAPs as appropriate within the iCAP system
Bachelors Degree – preferably in disciplines such as law, accounting or finance
A strong Business Risk Management / Compliance / Legal/ Audit background is preferable (minimum of 5 years experience)
Strong understanding and appreciation of the local regulatory environment and of international compliance and risk management best practices and initiatives
Professional Qualifications/Certifications/Designations such as STEP, Compliance/AML Diploma, ACAMS or CPA would be beneficial
Experience in the management of staff would be considered an advantage
Excellent Analytical, problem solving and time management skills
Excellent interpersonal, communication (written & verbal) as well as leadership skills
Ability to work under pressure with tight deadlines and minimal guidance

Operational Risk Analyst, Team Lead Resume Examples & Samples

Subject matter expertise in AML, EDD and KYC regulatory requirements
Bi-lingual (Spanish preferred)
Minimum 1 year of Operational Leadership Experience including delivering in a high-volume, goal-based production/operations-based environment

Operational Risk Analyst Resume Examples & Samples

Preparing reports for Senior Management, Boards and regulators
Identifying, researching and reporting on internal and external incidents
Assisting the team in responding to requests and requirements from various stakeholders including regulators, auditors and Macquarie senior management
Supporting annual user access reviews across RMG Operational Risk systems
Helping the global team to implement the Operational Risk Management Framework at Macquarie

AML Operational Risk Analyst Team Lead Resume Examples & Samples

Minimum 5+ years of Financial Crimes, AML Investigations, High Risk Account Underwriting or Operational Risk experience
Exercises full leadership and supervisory responsibility while leading between 14-16 Analysts in an AML Operations department
Communicate and evaluate Teams expectations around Department strategies, roles and responsibilities
Provide guidance to Team and hire top talent
Recommend, create and facilitate implementation of new processes and procedures
Monitor Teams caseloads, productivity, quality, initiatives, and projects

Operational Risk Analyst Resume Examples & Samples

Exposure to control environment and processes via External Audit, Operational Risk or Operations experience. Broad knowledge and understanding of the financial services industry would be desirable
Ability to exercise initiative and be able to follow through on issues with minimal supervision
Independence of mind and ability to escalate issues where appropriate
The ability to make high level judgments and work closely with management
The ability to manage/ execute tasks within set timeframes
The ability to independently analyse processes/ issues and not accept at face value
The ability to write/ present clear and concise reports
The ability to identify gaps in controls and opportunities to improve risk framework
The ability to prioritise and manage multiple and competing deadlines

Operational Risk Analyst Resume Examples & Samples

Assist in conducting risk and control self assessments for EMEA
Assist in managing EMEA segment of annual SSAE 16 engagement
Assist in managing operational risk incident process including documentation and workflow administration
Assist with information security and business continuity planning projects
Assist in EMEA operational risk coverage in collaboration with the EMEA management, US team and firm operational risk team
Buy side experience in operational risk
SSAE 16 or other management control reporting
Experience working across global functions is desirable

Operational Risk Analyst Resume Examples & Samples

Management of Regulatory & Audit Reviews
Control Governance & MCA
Ensure adherence to Policy
Management of Operational Risk Events/Loss reviews
Ensure that identified Risks are being proactively documented and dimensioned via formal Issues/CAPs
Act as a shared owner of audits; issues are managed in a timely and appropriate manner. Ensure factual accuracy of issues and responses
Ensure appropriate validation of Issues/CAPs takes place before closure
Advise Ops team on all aspects of MCA governance. Continually review content of MCA to ensure key risks are included and tested
Recommend and establish Key Risk Indicators (KRI), continuously monitor against established thresholds
Drive metric reporting and own / contribute to the fulfilment of reporting, disclosure, and attestations requirements
Monitor weekly operational break reporting and work with the business on an ongoing basis to facilitate clearance of aged items
Ensure all relevant policies are understood and adhered to. Partner with Ops team to implement new policies, and ensure team is aware of changes in Policy, including identification of training as required
Create Policy interpretation documentation
Partner with Ops team to capture, track, learn from and minimize losses and near miss events. Identify event themes, share, and implement ‘lessons learned’ with Ops Management and document Corrective Action Plans (CAPs)
Develop and Conduct Thematic reviews across Ops teams
Strong leadership; effective written and verbal communication skills; able to influence others
Results oriented and tenacious; ability to challenge the status quo
Minimum of 3 years’ experience in identifying and/or implementing Operational Controls
Minimum of 3 years’ experience in Securities processing (Custody Operations experience preferred)
Audit experience a plus

AML Operational Risk Analyst Resume Examples & Samples

Regulatory and Sanction Screening Experience for Consumer/Business
Ability to work independently and use of judgment
CAMS/CFE certification preferred

Lead Operational Risk Analyst Resume Examples & Samples

Conduct monitoring and surveillance activities as directed by the Chief Operational Risk Officer and as directed by manager
Identify, monitor, and resolve exceptions related to applicable Operational Risk Systems (e.g., Event Collection, Governance Risk Compliance (GRC), etc.)
Assist with data analysis and scenario development to support the Operational Risk Scenario’s required for CCAR
Manage quality assurance activities related to enterprise Operational Risk processes (e.g., GRC)
Complete risk data analysis, manage standard reporting and develop customized operational risk trend reporting related to risks, controls, findings, etc. Distribute reporting to Operational Risk Team with insights and recommendations
Manages Event Collection Subject Matter Expert recorder activities
Manages the Regulatory Change Process for Operational Risk which includes evaluating the applicability of changes to regulations, laws, rules on applicable business units and operational risk processes within Key, conducting gap analysis and working with business units to create Management Self-Identified Findings as applicable and associated remediation plans to address findings
Works with LOBs to develop Process Flow Charts of core processes, identifying risks, controls and gaps requiring remediation. Responsible for ongoing maintenance and up keep of process flows, and associated heat maps identifying gaps, remediation plans and target SLAs
Escalates promptly to appropriate operational risk team member, senior management (LOB and/or Operational Risk) any material breaches of applicable laws, rules, policies, tolerances, appetite, standards, tolerances, SLAs, etc
Follow through with LOB management and/or appropriate operational risk personnel to ensure appropriate corrective action is taken to sufficiently address findings/issues to prevent ongoing systemic issues
Effectively and professionally interact with senior management, regulatory agency personnel, internal legal counsel, internal risk review personnel as well as other Operational risk peers
Effectively collaborate with the LOB and senior manager to identify suitable internal controls to ensure compliance with laws and regulations; identify gaps in internal control effectiveness
Timely escalate issues and exceptions to management in accordance with procedures and/or based on sound judgment
Create and update regulatory risk registry as necessary to reflect changes, impact and necessary actions
Continuously evaluate risks and controls within the compliance program and recommend revisions as needed
Keep abreast of new rules and regulations as well as current surveillance techniques
Assist with review of the line of business policies and procedures, provide guidance to ensure effectiveness, ensure procedures are aligned with Key’s Standard Operational Procedure Guidance
Manage development and update of Enterprise Operational Risk Procedures/Policies and program documentation
Maintain responsibility for Operational Risk KeyNet Homepage, K-Drive and SharePoint sites. Including access control management
Assist with internal and external audit, examination, regulatory inquiry and investigation requests for information. Also, assist in the evaluation of audit and examination findings, implementation of corrective action and needed responses
Attend various Compliance and line of business meetings; participate in LOB committees as appropriate
Assist with other asks as required to ensure team objectives are achieved, even where outside usual area of responsibility
1-3 years of compliance, operational risk, data analytics, audit, or industry-related experience
Proficient in Microsoft Office tools such as Excel, Access, and the proven ability to learn how to use other unique technologies
Candidate must possess the wherewithal and flexibility to undertake new functions/tasks as the Operational Risk and line of business evolves and grows
Proven ability to work in a team environment
Sound decision-making skills; able to make decisions independently
Solid written and communication skills
Sound understanding of operational risks
Understanding of internal control frameworks
Strong research skills coupled with strong problem solving/analytical skills and ability to effectively summarize findings
Organizational skills and attention to detail

Operational Risk Analyst Resume Examples & Samples

Identify and evaluate operational risks for specific product lines, based on the product and process
Ongoing understanding of the business to ensure all risks are appropriately captured, identified and updated by pro-actively partnering with and building relationship with operations management
Independently and objectively assess the effectiveness of controls and determine the potential impact of any control failure to evaluate for materiality
Test key controls which have been identified for each product line and document results
Liaise with business and line control officers on any deficiencies or control gaps
Implement and execute Corrective Action Plan (CAP) for management of control issues
Minimum of 5 years in Financial Institution environment and product specific knowledge around products such as FED Intercompany Processing, P&S, International Settlements, Tri-Party, CRMS, MBS Allocations and Cash Management and experience in identifying and implementing Financial or Operational controls
Strong analytical skills both quantitative and qualitative
Excellent organizational skills, ability to multitask and adapt to change
Project management skills. - Excellent organizational skills, ability to multitask and adapt to change. - Strong MS office knowledge including Excel and Word

Senior Operational Risk Analyst Resume Examples & Samples

Provides leadership in the planning, development and implementation of operational risk frameworks/measurement methodologies, policies, standards and procedures specific to the needs of the business which are aligned with the Bank's Operational Risk Program
Analyzes and documents various processes and products, existing or new, by working with the business units to identify key processes as described by the Operational Risk framework (process documentation, risk assessment, controls documentation and testing implementation)
Support the design and implementation of operational risk governance model for the business.Performs necessary monitoring and oversight functions to ensure effective management and compliance with company-wide program requirements. Monitor to ensure key program requirements are being met through analysis of metrics and data. Escalates issues to appropriate levels within the organization

Business Management & Operational Risk Analyst Resume Examples & Samples

Cultivating and maintaining effective relationships with all areas of the business
Analysing and evaluating incidents; monitoring emerging issues and making recommendations for changes to policies or processes when necessary
Managing ongoing reporting requirements for the business, including market benchmarking and deal analysis
Supporting the COO with analysis, communications and strategic objectives
Participating and assisting in the co-ordination of the Operational Risk Self Assessment process
Assisting in execution of the Operational Risk Framework across the business
Providing support under guidance to offshore locations on Operational Risk matters

Senior Operational Risk Analyst Resume Examples & Samples

Fully conversant with TCF’s risk appetite statement and how both the risk appetite statement and the operational risk program, including risk and control self-assessments and scenario analysis, apply to TCF employees
Bachelor’s degree in a business-related field (e.g., accounting, finance, economics, etc.) or equivalent experience. A combination of education and experience may meet requirements
5+ years’ previous experience including risk and control self-assessments and scenario analysis
Practical knowledge of compliance and compliance processes, and applicable techniques for implementation of regulatory, compliance and legal requirements and compliance processes
Demonstrated leadership to promote effective team dynamics, and accountability for timely deliverables

Senior Operational Risk Analyst Resume Examples & Samples

Maintain enterprise RCSA program to ensure compliance with Policy and Procedures
Coordinate, facilitate, document and analyze RCSA activities and results for assigned areas of responsibility
Support RCSA tool development and implementation, including business requirements, functional specifications and technical design, UAT, training and on-going system administrator responsibilities
Conduct analysis of business line risk profiles and KRIs for purposes of Enterprise reporting
Complete risk assignments as requested by manager
3 years of relevant financial institutions experience with exposure to general risk management programs and practices
3+ years of relevant financial institution experience with responsibilities related to Operational Risk Management programs and practices

Operational Risk Analyst Resume Examples & Samples

Leads the work of others and provides training in more advanced risk management techniques
Manages client relationships
Performs advanced data analysis in support of risk management project activities
Prepares risk mitigation plans for strengthening the effectiveness of controls in assigned business processes
Facilitates presentations and workshop sessions on process analysis, risk identification, assessment, control and mitigation
Supports the development and execution of key operational risk management activities, including: evaluation, reporting, and root-cause analysis of internal loss events; analysis of loss events that have occurred at other firms to evaluate internal preparedness if similar events were to occur at Raymond James; capture, evaluation, and reporting of key risks, mitigation strategies, and risk metrics across the enterprise; facilitation and evaluation of risk and control self-assessments (RCSAs) completed by core business lines
Advanced concepts, practices and procedures of risk management (including Operational Risk Management and Enterprise Risk Management)
Provide coaching, mentoring and technical training to others
Develop relationships with all levels of management
Maintain currency in risk management policies, procedures and methodologies
Bachelor’s Degree (B.A.) in Finance, Accounting, Business or related field with a minimum of five (5) years of risk management, internal control, audit, or information security experience

Operational Risk Analyst Resume Examples & Samples

Strong experience in operational risk
Open to backgrounds and experience in Private Banking / Institutional Banking / Wealth and Insurance / Retail Banking / Funds
1-2 weeks' notice period maximum
Ability to hit the ground running

Operational Risk Analyst Resume Examples & Samples

3-5 Years relevant experience in Private Banking, Business Risk, Compliance or other related experience
Project Management and detail oriented
Ability to work independently Ability to quickly adapt to change, multi-task, work independently with little supervision
Excellent verbal and written communication skills Strong interpersonal, verbal and written communication skills as well as organizational and analytical skills

Operational Risk Analyst Resume Examples & Samples

Strong working experiences in banking risk control and operations areas
Solid knowledge banking operations, and good inter personal skills
Good understanding of local regulations and banking policies / procedures
Aggressive, ambitious and keen to create business needs and follow up on assigned missions
Good command of Chinese and English in both oral and written communications

Operational Risk Analyst Resume Examples & Samples

Point of contact for Operations staff for Control related activities
Provide guidance in evaluating risks and implementing appropriate controls, including ensuring appropriate remedial actions are in place where deficiencies are identified
Proactive review of Operations, and Finance related control processes and reporting
Participate in evaluating; Strategic and Tactical Change; Policy and Process updates; Regulatory requirements etc
Support and interface to Internal and External Control organisations ( Internal/external audit, Reg, control self-assessment, Compliance, IS, Finance etc.)
Support the wider operations control strategy
Promotion of a control culture within the Operations division
Ensuring that significant Risks are identified and escalated in a timely manner via Control Governance Channels
Practical Operations processing experience in an ICG product line - Margin / Collateral, FX, OTC Derivatives, Equities, Fixed Income, or operations control. If no Operations control experience, the candidate must be able to demonstrate a significant understanding and track record of control within their line experience
Strong Business knowledge
Audit/control experience

Operational Risk Analyst Resume Examples & Samples

Experience of managing a complex project portfolio, with variable stakeholders and tight deadlines. Prior experience in Project Management is an advantage
Banking/Operational Risk experience is an advantage
Strong MS office knowledge including Excel, Word and Power Point. SQL skills is an advantage

Operational Risk Analyst Resume Examples & Samples

Review of online financial press/journals
Summarize regulations, journal articles etc
Assist in the production of Risk & Control documentation (Bulletin, Int’l TA & Global Monthly Reports)
Review and update of Policies & Procedures
Review and maintenance of Global Risk & Control Intranet sites
Maintain the Regulatory Submissions, 3rd Country Payments, Fraud and Risk Event Logs
Perform the annual review/updates of the BCP Quick Reference Guides
Maintain/approve CAP requests and liaise with Global Sourcing to identify/investigate any exceptions
Arrange quarterly Risk Brainstorming Sessions and manage creation of Risk Workbooks
Ability to exercise independent judgment consistently and seek out course of action outside established guidelines when necessary
Ability to establish and maintain co-operative working relationships across multinational internal business units and external parties
Advanced Microsoft Excel, Word, PowerPoint and SharePoint skills
Ability to work with minimal supervision, maintain confidentiality
Strong organizational and prioritization skills
Ability to work with senior levels of management
Excellent time management skills and ability to meet deadlines
Ability to solve routine problems of limited scope and complexity with guidance from Management
Ability to research/leverage resources that may not be readily available to resolve problems
Ability to make independent decisions on a daily basis
Ability to think logically and critically
Educational Qualification: Bachelor’s degree
Overall Years of Experience:6-8 years of total work experience with 2-4 years of exposure to risk management/Ops risk processes
Mandatory skills
Proven expertise to process complex work types
The position needs to closely coordinate with senior levels of management/Global sourcing team in multiple locations and hence candidate is expected to have strong written & oral communication
Ability to work independently/autonomously
Professional development growth opportunities through in-house classes and over 150 Web-based training courses
Personal accident insurance for protection of employees and their families

Operational Risk Analyst Resume Examples & Samples

Analyze operational risk data (typically losses, metrics or assessment results) and other sources of data/information to identify areas of excessive/high risk and also to ensure past mitigation efforts are having the desired effect
Identify trends and themes, that indicate emerging operational risks
Determine proper actions to mitigate those risks
Select representative, high value, operational risks or businesses for root cause analysis and conduct deep dives of significant operational losses (“events”) to determine (inter alia) sequence of events, control weaknesses, errors in judgment, policy or technical deficiencies. Then, work with all constituencies, to review and where required develop Corrective Action Plans
Understand how the losses were incurred, and apply that knowledge to avoid or mitigate future events e.g. by applying the Corrective Action Plans to all similar situations and mandate changes in product programs, procedures, etc, so as to either avoid or reduce future losses from similar events
Coordinate and conduct deep dives on near misses, issues that may hurt the firm's franchise or pose a risk going forward. Deep dives often involve complex issues and may span multiple management groups
Analysing operational risk data (typically losses, metrics or assessment results) to identify areas of excessive risk and also to ensure past mitigation efforts are having the desired effect
Investigating what is causing metrics to deviate from trend and escalating situations that pose excessive risk
Indentifying root causes of major internal losses and ensuring similar businesses around the world are aware of risks and recommendations
Identifying exposures in planned new products and services and ensuring mitigating steps are taken to prevent losses upon implementation
Using the tools in CitiRisk to compute risk appetite under alternative scenarios for existing or proposed products, and businesses. Where the projected risk exceeds appetite, use the model to mitigate or to recommend changes to the product
Undergraduate degree (majors in Economics, Finance, Industrial engineer or related areas are preferred, but different majors are also of interest if other experience demonstrates analytical skills)
Knowledge of internal control; work experience
Good knowledge of advanced Excel to make metrics and presentations properly
Excellent written and oral communication skills in English and Spanish
Essential to have at least 2 years of experience in operational risk
Minimum 2 years of experience in control aspects
Analytical inquisitiveness and problem solving ability; an ability to ask insightful questions, break analytical challenges into workable components and draw meaningful conclusions
Ability to “connect the dots:” - to take seemingly disparate or unconnected information and put it all together to form a complete picture of operational risk
Provides well-reasoned, balanced assessments of risk/return trade-offs
Good at brainstorming; can conceptualize new approaches quickly
Willingness and ability to challenge the status quo and BAU to promote improvements/enhancements that will mitigate risk
Flexible, team-oriented, with excellent interpersonal, communication, and follow-up skills, with a strong attention to detail and ability to multi-task
Ability to interact with senior management (Committees, Directors, etc.)

Senior Operational Risk Analyst Resume Examples & Samples

Support team leader to proactively identify potential risk exposures within new technology solutions being designed and implemented, and partner with Business Technology and Information Security Program Office to monitor appropriate solutions to mitigate exposure
Monitor and track compliance with information security policies and standards
Support team leader in conducting and/or monitoring qualitative IT risk assessments (e.g. RCSA, GLBA ) and ensure proper alignment with enterprise risk management methodology and regulatory expectations
Aggregate, analyze risk assessment results and provide quality assurance
Utilize available risk management tools (e.g. Archer) in conjunction with other environmental changes to proactively monitor the Technology control environment and identify and address potential weaknesses and/or gaps in a timely manner
Provide quality assurance and effective challenge regarding IT risk reporting including KRIs, incident reporting, committee/sub-committee and executive reporting
Conduct subject matter research in technology risk, controls, compliance, and information security best practices
Bachelors Degree (Or) equivalent work experience
4-6 years of relevant experience with Information Security/IT
CISSP and other information security related certifications

Operational Risk Analyst Resume Examples & Samples

Manage the execution of the RCSA program, ensuring adherence to assessment timelines and compliance with the Bank’s methodology
Function as the Subject Matter Expert for RCSA tools and practices
Provide risk management support and guidance to RCSA Leads / Risk Liaisons, in the first line of defense, in completing RCSA deliverables, (e.g., process flows, risk/control assessments, self-identified issues and reporting, etc.)
Develop strong relationships within the 1st, 2nd and 3rd lines of defense and promote consistency across risk assessment activities
Proactively support the Enterprise Risk Management (ERM) team, as required
Maintaining the RCSA program documentation, including updates to the methodology, procedures and templates/forms
Working with the Functional Group RCSA Leads and Risk Liaisons to maintain an implementation schedule
Tracking and reporting progress on the roll-out of the RCSA program, including providing inputs for updates to Functional Group Leaders, ERM management, Bank Executive Management, and other relevant oversight groups
Partnering with the ERM Archer team to identify, document and define business requirements
Ensuring feedback from RCSA Leads and Risk Liaisons regarding the transition and tools are incorporated into the new system
Performing User Acceptance Testing to ensure the system performs as required
Developing and delivering individual or group training sessions on the RCSA methodology
Providing best practices on how to create required deliverables (e.g., process flows, risk/control assessments, remediation plans, etc.)
Assisting in creating materials for management reporting and committee presentations, when necessary
Understanding the similarities and differences for all other risk assessment activities across the organization and working to harmonize these assessments
Working with various teams in each line of defense to promote common sets of tools for risk assessments across the organization (i.e. organization views, definitions, rating scales, etc.)
Support other aspects of the ERM program, such as the Risk Inventory, Risk Issues tracking and reporting and Risk Appetite
As needed, contribute, as part of a cross functional project team
Candidate must have exceptional interpersonal and communication skills plus the ability to work independently and as a part of a team. Must be extremely detail oriented and able to manage multiple complex tasks concurrently. Discretion with confidential information is also necessary
Microsoft Office (Excel, PowerPoint, Word, Outlook)
Webex
Bachelor’s degree,
1 to 5 years financial services industry experience
Prior risk assessment experience preferred
Communications and/or training experience

Operational Risk Analyst Resume Examples & Samples

Limits exposure due to risk such as those resulting from human error, transaction, processing failure, external events, threats to information systems, data integrity and fraudulent activities
Undertakes assessments of business unit exposures, identifying risks, evaluating their potential impact and reviewing the strengths and weaknesses of the firm's existing controls
Administers defined procedures, analysis and report preparation
Bachelor's degree in Management Information Systems, Operations Management, Accounting, Finance, or related field required
1-2 years of experience preferred, including experience in risk management, data analytics, database development/management, project management, internal audit, or other applicable financial institution experience that offers a broad understanding of banking systems and processes
Working knowledge or ability to quickly learn operational risk management framework, principles, and practices
Ability to understand analyze data and develop scenarios which could result in operational losses to the organization
Skill in developing and maintaining Microsoft Access databases and familiarity with VBA programming to automate tasks
General knowledge of the banking environment and businesses
General knowledge of scenario analysis program design and execution
General knowledge of internal controls and other tools to mitigate risks identified through scenarios
Skill in documenting scenario workshops and judgements made in developing scenarios
Skill in developing and conducting presentations and training to senior management
Skill in creating executive reporting under the direction of management
Skill in creating and writing program documents under the direction of management
Skill in developing working relationships
Skill in using Microsoft Office Applications and Visio

Field Management Operational Risk Analyst Resume Examples & Samples

Assist the Field Management Operational Risk Officer to prepare relevant materials for Risk Control Self- Assessment documents and monthly risk reviews which includes soliciting monthly metrics and key risk indicator updates from support teams
Conduct data analysis on branch exam, internal audit and other loss incident data
Create and maintain collateral materials for team’s risk meetings
Coordinate and maintain the Business Continuity Program documents
Work extensively within Excel to pull data metrics
1-3 years of experience working on data analysis preferably within financial services
Attention to detail, project management and organizational skills will be key in balancing deadlines
Ability to work in a small team environment, building and maintain a network of contacts and coordinating with a large number of stakeholders

Operational Risk Analyst Resume Examples & Samples

Bachelor’s Degree in business or quantitative field
Knowledge of Risk and Control Self Assessments. Internal expertise of the Manager’s Control Assessment (MCA) Standards and Procedures, the Operational Risk Management Policy, financial reporting constructs (DSMT) and CitiRisk is an advantage
Strategic thinker, strong analytical skills; both quantitative and qualitative

100

Operational Risk Analyst Resume Examples & Samples

Support and collaborate with staff who study and review business processes in assigned business unit; examine documentation and flow of work through systems
Where required by internal policies or external agencies, develop documentation of business processes and safeguards. May prepare reports for inclusion in larger mandated report(s)
Self-motivated, eager to learn
Highly attention detailed
Ability to review information and identify gaps against policies, procedures and guidance
Experience with the data quality processes is a plus

101

Operational Risk Analyst Resume Examples & Samples

Capture Operational Risk events and losses, including follow up and resolution, in line with the companies' established Operational Risk framework and Event Policy
Consultative Involvement in the New Product Approval process
Assist with the identification and quantification of material risks and scenarios for each business unit, in order to determine Operational Risk Pillar II requirements as part of ICAAP
Assist with the production of Operational Risk Management reports
Assist in the co-ordination and planning of the annual Disaster Recovery test report

102

Operational Risk Analyst Resume Examples & Samples

Experience with risk-based testing
Sound knowledge of operational risk management and understanding of the ORMMF
Excel and PowerPoint presentations skills
Experience with business assurance or audit

103

Operational Risk Analyst Resume Examples & Samples

Knowledge of Mortgage Finance, specifically Capital Markets
Ability to support development of remediation activities in response to identified issue
Ability to multitask, working on various projects at one time
Ability to support the identification of key risk, performance and control indicators

104

Operational Risk Analyst Resume Examples & Samples

Reporting - including Incident/Loss, action tracking, Exco and Board Reporting
Responsible for scheduling, planning, notifying, collating the various packs, minutes and action tracking. Also responsible for provision of key reports
Certificate IV or Diploma level qualifications in commerce, finance or business; or equivalent work experience
Financial services background including a number of years experience in an operations or analyst role
Experience preparing complex management reports to tight deadlines
Experience liaising with multiple stakeholders at various levels
Advanced MS Office skills, including Excel, Word, Powerpoint
Ability to aggregate and correlate data from multiple sources
Knowledge of retail banking products and processes

105

Senior Operational Risk Analyst Resume Examples & Samples

Promote an appropriate culture of awareness of and attention to operational risk events throughout the company
Act as an advisor for operational risk within business lines, providing training & awareness sessions and on-going support as necessary to various people across the business
Build and utilise strong relationships with business lines to be aware of business developments and their impact on the operational risk profile
Collate and validate internal operational risk event data, providing analysis of same and using information to complete both internal/external reporting requirements within required timelines

106

Wealth Management Risk Operational Risk Analyst Resume Examples & Samples

3+ years’ experience in financial industry
Ability to use desktop tools to perform analyses and develop presentations for senior management. Working knowledge of MS Office, particularly Excel and PowerPoint
Strong listening and verbal/written communications with ability to tailor message to audience
Proven ability to work across departments to influence others and build strong relationships
Demonstrated leadership in setting strategy and driving an agenda
Ability to manage delivery/execution of a wide range of tasks and initiatives
Ability to work independently and possess a strong sense of accountability/ownership

107

Operational Risk Analyst Resume Examples & Samples

Study and review business processes in assigned business unit; examine documentation and flow of work through systems
Plan and facilitate presentations and workshop sessions on process analysis, risk identification, assessment, control and mitigation. May use formal process improvement methodologies to assess and improve operating procedures in work unit(s)
Measure and analyze performance improvement results in a business or corporate unit. Support overall IT control practices, and remediation action plan execution, and integration and systems development life cycle testing and systems certification
Demonstrated experience with all aspects of an operational risk assessment (i.e., develop process maps, reviewing governance documents, assessing risks and controls, evaluating impact, recommending remediation, etc.) (Required)
Perform analysis of risk assessments, reported Operational Incidents, governance violations, and other data to identify operational risks and trends. (Required)
Strong project and change management skills (i.e., planning, scheduling, etc.) and ability to work collaboratively with other teams. (Required)
Strong written and oral communication skills, including the ability to prepare reports and presentations for senior management. (Required)

108

Global Risk & Analysis Group Operational Risk Analyst Resume Examples & Samples

Experience analysing internal audit’s risk findings
Experience working in an operational risk capacity within an Investment management environment
Previous experience reporting on vendor spend
Interest in financial services
Highly developed interpersonal skills
Self-motivated and a team player
Fluent in Microsoft Office applications
Fluent in other languages is desirable

109

Operational Risk Analyst Resume Examples & Samples

System entitlement profiles and reviews for the entire LFG US (Conduct all system entitlement reviews across LFG)
Information security management and training
SIRTS Management
Tech savy
Proficient in Microsoft Office – Excel, Power Point, Word
Strong Social and communication skills

110

Operational Risk Analyst Resume Examples & Samples

Oversight and challenge of product and functional businesses as well as second line assurance to ensure adherence to Control frameworks
Facilitation of and reporting on RCSA
Maintenance of Key Risk Indicators for each business and function used to monitor and challenge risk profile
Ensure adherence to OR Policy and procedures
Administration of the OR system
Monitor IT and Business incidents to ensure they are appropriately recorded in the Op Risk system with comprehensive root cause analysis and action tracking
Reconcile losses recorded in Op Risk system with Finance (provisions), Legal (claims), CMM, and incidents
OR ad-hoc tasks, deep dive reviews and projects
Experience in the Financial Services industry ideally in an Operational Risk role
Understanding of key Risk Management principles, controls, functions and interdependencies
Excellent analytical and problem solving skills, good attention to detail
Self-starter with a positive work attitude

111

Operational Risk Analyst Resume Examples & Samples

To support ORC Leads in implementation of Operational Risk Framework in Global & EMEA Operations
To assist with coordination, training, communication, and support of the Global Operations Risk Governance effort, including but not limited to NPA governance
To provide an independent challenge EMEA and Global Operations KPIs and Risk Metrics in order to ensure all risks are understood and mitigated or accepted
To partner with Risk Managers and Line teams across Operations in order to ensure consistency and adequacy of control standards
To perform deep dives and generate risk reports and analysis for Global & EMEA Operations management
Support the execution of the Global Operations NPA Governance
Participate in ad-hoc risk reviews and generate risk reports
Bachelor's Degree preferably in accounting, economics, finance, statistics or related disciplines
Experience in Risk/Control/Audit functions
Good understanding of key Operational Risk precepts such as escalation principles, segregation of duties, information security disciplines, and supervisory reviews
Strong analytical skills, including root cause analysis
Experience in preparing and communicating management reports using PowerPoint
Collaboration and teamwork skills and experience, including strong interpersonal skills

112

Operational Risk Analyst Trainee Resume Examples & Samples

Ensuring the Operational Risk Governance Process for EMEA, including the clear definition, production and distribution of reportings which identify the key risks, action plans and progresses
Ensuring the efficient escalation of key risks or incidents to Senior Management, together with timely follow up and reporting of mitigating actions
Managing the implementation and ongoing cultural acceptance of all Operational Risk Management concepts, tools and processes in EMEA region (Incident and Loss Reporting, RCSA, Scenario analysis, KRIs, Governance,), in line with Global standards
Managing the definition, production, analysis and consolidation of the dashboards for all GBIS EMEA Operational Risk Committees. Ensure follow-up on key risks identified and resulting action plans (including Audit and Compliance recommendations
Reviewing, challenging and design assistance for the overall control infrastructure for FIND in the UK/ EMEA
Supporting and ensuring compliance to the incident escalation and investigation process for UK/ EMEA for significant incidents
Assisting in identifying risks or operational losses and mitigating action plans
Follow-up and ensuring adherence to the Group and GBIS loss reporting policy
Working closely with SAFE BCM and FIS to integrate risk assessments, and efficiently ensure a targeted common approach to key risks
Working closely with other departments such as Compliance and Audit to ensure a holistic view of risks and impacts

113

Operational Risk Analyst Resume Examples & Samples

Perform analysis and provide management with insights on data to maintain an effective operational risk management framework
Create operational risk scorecards which are provided to senior operating committees as well as the Risk Management Committee of the Board of Directors
Develop insightful reporting for Business Lines as well as Operational Risk Management to aid in their oversight management of operational risk
Create management dashboards which include a summary of the Analyst’s evaluation of results
Oversee the implementation and ongoing management of the Tools Risk Framework throughout Operational Risk Management
Provide oversight for updates to the Operational Risk Management Intranet site including appropriate branding and timely updates
Review Business Line compliance with key operational risk management framework elements such as procedure review, key indicator reporting, etc
Perform quality checks of Operational Risk reporting that is provided to senior management prior to distribution
Engage with risk category owners and business line risk organizations; develop rapport and credibility in order to drive improvements
Support ad hoc reporting requests from ORM, Senior Management, internal auditors, and regulatory examiners ensuring they are composed in a manner that is appropriate for each audience
Support the coordination and oversight of other key operational risk management framework elements that may include but are not limited to, policy framework, concentration risk oversight, and data governance compliance
Well developed analytical skills relative to evaluating risk metrics and assessment results
Advanced Excel skills, proficiency in PowerPoint
Demonstrated ability to work in a large corporate environment
Advanced knowledge of operational risk management
Access and Essbase experience a plus

114

Operational Risk Analyst Resume Examples & Samples

Prepares risk mitigation plans for strengthening resiliency and / or the effectiveness of controls in assigned business processes
Supports the development and execution of key operational risk management activities, including, business impact analysis, recovery plan / strategy development, emergency response, loss event analysis and reporting, operational control analysis, data privacy analysis, and / or business process engineering
Facilitates presentations and workshop sessions on process analysis, risk identification, assessment, control, mitigation, and / or resiliency

115

Operational Risk Analyst Resume Examples & Samples

Develops internal relationships within USBHM and partners with CBSS Risk, Corporate ORM and other Risk/Compliance/Audit (RCA) Consultants, and RCA Managers to create, implement, maintain, review or oversee an effective operational risk and compliance framework
Involvement in Enterprise Compliance Risk Assessment (ECRA) & Risk Control Self-Assessment (RCSA) frameworks
Support Compliance Control Documentation (CCD) Project and Investor and Government Programs control identification and documentation
Perform gap analysis and control and control matrices
Independently assess the effectiveness of controls and determine the potential impact of any control failures and recommend control enhancements or corrective actions as needed
Identifies risk and control gaps/weaknesses analyze root cause, and develop robust and practical corrective action plans to improve the quality and effectiveness of the control environment
Participates in projects and/or activities that ensure compliance with applicable federal, state and local laws and regulations
Proficient computer skills, especially Microsoft Office applications including MS-Excel
Solid understanding of the business line’s operations, products/services, systems, and associated risks/controls
Considerable knowledge of Risk/Compliance/Audit competencies
Previous financial services and/or mortgage industry experience a plus
Internal audit experience
Professional certification (CIA, CCS, CCSA, ORM, PMP, AMP, CMP)

116

Permanent Control & Operational Risk Analyst Resume Examples & Samples

A de-concentrated organization, adapted to each business
Constant discussion with the businesses to advise and challenge them on their risks
Provide a fast, complete and reliable information on our risk profile
Offer high quality risk management expertise to the Group’s stakeholders
Foster risk anticipation and position RISK as a prospective watchtower
Prepare the Group for high and higher regulatory expectations
Make a direct contribution to RISK Function‘s operational permanent control framework in accordance with the Bank’s Internal Control Charter
Implementation and support of Operational Risk and Permanent Control activities
Relevant business/accounting degree, accounting qualification or equivalent
Experience of operational risk/ audit or production management
Experience from working in investment banking within front middle, back office and support functions ideally in a risk department
Experience and knowledge gained from market risk, credit risk and IT backgrounds
Work in partnership across teams and functions and able to develop strong relationships
Ability to interact with management and staff at all levels
Tenacity and intellectual curiosity to identify and resolve the root causes of issues
Adopt a positive approach, rising to the challenge of stretching objectives and requirements, striving to achieve them within agreed deadlines, budgets and standards
Act on own initiative; actively seek to find and implement solutions to problems
Demonstrate self-development - keeping abreast of initiatives and developments within the Bank and also permanent control and operational risk developments across the industry
Good capital markets, derivative product and credit knowledge is important as well as an understanding of the risks involved in these activities
Clear and concise communication skills (both verbal and written) are necessary components of the role, as is an ability to work in a demanding environment, to a tight timetable to meet deadlines
Excellent understanding of standard desktop tools

117

Operational Risk Analyst, Senior Resume Examples & Samples

Undertakes transversal & vertical assessments of exposures, identifying risks, evaluating their potential impact and reviewing the strengths and weaknesses of existing controls. For assigned Control Programs, such as 3rd Party, Information Security, Business Continuity, Records, Fraud, etc. acts to maximize benefit of program components
Work with other risk functions to develop and implement controls that mitigate risks
Assigned responsibility for specific areas of the Bank's Corporate Operational Risk Management function. Under a senior leader, role may include design of standardized risk taxonomy, risk management processes, and/or templates used across the company (Operational Risk Department)
Directly responsible for a key segment of LOB/support function OR activities in accordance with the Bank's operational risk management policies. Under a senior leader, role may include design of standardized risk taxonomy, risk management processes, and/or templates used across the company (Business Group Operational Risk Support)
Within assignment has a broad range of independence ensures the Operational Risk Program is working effectively to report on the LOB/support function's risk posture and rein in excessive risks/risky activities
Bachelor’s Degree- IT, Security, Risk Management or related field (Required)

118

Operational Risk Analyst Resume Examples & Samples

Coordinates, revises, and authors test cases and scripts
Manages peer review and quality of test cases
Assists in data staging tasks for test execution
Executes test scripts
Ensures consistent communication of test execution status
Manages defect entry activities and defect mgmt. cycle
Attends daily calls to address any data needs, test planning, and execution
Test execution tracking and facilitates project reviews
Ensure/enforce accurate use of Test Execution and Defect Mgmt tool
Manage and adhere to execution milestones
Help with implementation of best practices, process improvements and enforce the adherence to these
Collects, analyze and develop action plans to address lessons learned
2-4 years of experience in business systems analysis and UAT
Bachelor degree or equivalent experience required
Position requires strong background project management, quality assurance, and testing Experience with action plans to be executed by the business, involving other supporting areas as needed (operations, technology, and/or compliance)
Broad experience with creating, reviewing and executing test scripts
Experience in AML or other regulatory project is desirable
Prior sound test experience on complex projects with multiple users is required. Position requires a global mindset
Must be able to execute under pressure, many of the projects will have very tight timelines
Must be able to follow projects that require very detailed analysis due to the impact to the businesses

119

Operational Risk Analyst Resume Examples & Samples

Identifying, anticipating, measuring, mitigating and reporting Citi’s operational risk exposure
Bachelor’s Degree in business, finance or quantitative field
Minimum of 2 years experience of managing a complex project portfolio, with variable stakeholders and tight deadlines. Prior experience in Project Management is an advantage
Advance MS office knowledge including Excel, Word and Power Point

120

Operational Risk Analyst Resume Examples & Samples

Ensures strategic objectives of the Banking & Payments Operational Risk program are met including the management and execution of Line of Business-driven risk and security initiatives, risk assessment activities, coordination of ongoing program reporting and communications
Manage and drive all communication routines and channels for the Operational Risk program (e.g. managing internal and external meeting routines, presentation materials and speakers / coordination of semi-annual Risk Liaison conference / management of Risk wiki-site content, usage, and enhancement)
Interprets requirements of emerging risk areas, develops corresponding action plans and documents progress. Key steps to include
Excellent verbal and written communication skills to technical and non-technical audiences of various levels in the organization (e.g. executive, management, individual contributors)
Excellent problem solving and time management skills managing multiple deadlines, may require a significant amount of overtime at critical times
Knowledge and proficiency in wiki platforms (namely Confluence) favorable, but not required
Advanced proficiency in MS Suite preferred
Ability to provide information to a variety of audiences and deal effectively with issues that are confidential and sensitive in nature

121

Fixed Income Operational Risk Analyst Resume Examples & Samples

Document, investigate and analyze operational incidents impacting the portfolio management process, for root cause and business impact analysis. This includes incidents that are self-identified through Operational Risk reports and analysis, and incidents that are reported by business partners. Investigation and root cause analysis requires thorough and comprehensive understanding of portfolio management process, interviews with impacted parties, and understanding of the control environment to identify and assess gaps. Complete analysis includes calculation of the financial impact to assess impact to fund's NAV, performance and necessary reimbursement
Identify appropriate and sustainable action plans to improve operational processes and mitigate key risks to the front office, with consideration to developing/maintaining consistent global processes. Influences other business partners (IMG investment support teams, technology teams) to implement these improvements and on the desired outcome from a risk perspective. These action plans result from operational incidents that have occurred, and self-identified areas for improvement based on the control environment
Executes risk assessments to understand the impact of future state IMG and front office initiatives, including but not limited to new product assessments, changes to trading strategies (new instruments, new fund and account launches), targeted risk reviews and fundamental business changes. Uses operational risk management framework to document findings and recommendations. Presents to more senior team members for full impact assessment
Undergraduate degree or equivalent combination of training and experience. (Degree in a business discipline preferred)
Minimum of 3 or more years related and progressive work experience. Experience working within Front Office/Investment Management environments a plus
Broad knowledge of mutual funds, investment operations or investment systems
Knowledge of equity and/or fixed income order management systems preferred
Demonstrated professionalism in managing multiple priorities and performing complex analysis under tight deadlines
Demonstrated ability to deal with ambiguity and rapid change
Sound business judgment, ability to influence others, and ability to apply practical thinking
Strong verbal and written communication skills needed to interact with portfolio managers and other internal clients
Expertise in MS Office applications

122

Operational Risk Analyst Resume Examples & Samples

Perform quality assurance reviews to validate that data entered into risk management tools and the content of risk management deliverables are in compliance with the requirements defined in policies, standards, and procedures
Oversee work completed by junior analysts, prioritize work assignments, review final work product, and escalate issues
Analyze data, perform root cause analysis, and identify themes and trends across large data sets
Communicate quality assurance results to various stakeholders in a professional, concise and constructive manner
Develop and facilitate training
Define metrics and document procedures
Experience with execution of quality assurance reviews, both independently and in teams
Experience training and overseeing the work product of junior team members
Attention to detail in both execution of tasks and in writing
Self-starter with a continual focus on identification and implementation of process improvements
Strong knowledge of Microsoft Office Suite
Prior risk management experience is a plus

123

Operational Risk Analyst Resume Examples & Samples

Monitor HRSS Balance Sheet accounts to ensure that accounts do not go past due and minimize risk of write=offs
Management) experience
Strong knowledge and experience of internal control principles
Good interpersonal skills and ability to develop strong partnership with stakeholder
Degree or postgraduate degree qualifications in Accounting/Finance

124

Senior Operational Risk Analyst Resume Examples & Samples

Prepares and delivers written and oral presentations
Assists with facilitating presentations and workshop sessions on process analysis, risk identification, assessment, control and mitigation
Partner with others to accomplish objectives
Develop relationships with various levels of management
Manage multiple tasks with changing priorities to meet deadlines in a fast paced environment with constant interruptions
Solve moderately complex problems
Bachelor’s Degree (B.A.) in Finance, Accounting, Business or related field with two (2) years of risk management, internal control, audit, or information security experience

125

Rohq-mbcs-operational Risk Analyst Resume Examples & Samples

Provide backup to Asia Markets Business Controls and Supervision
Generate daily MIS reports, analyse data, develop and maintain tracking metrics for management reporting and escalation
Analyse operational errors, control gaps, formulate corrective action plans and communicate to business stakeholders
Oversee compliance with internal Citi Policy or regulatory initiatives from a regional perspective
Review and reconcile various exception and policy breach reports
Coordinate with Business Unit Managers and other Control groups to achieve business objectives
Coordinate the drafting, completion and distribution of responses to client requests for information
Establish a strong rapport with Business Managers, Compliance, Internal Audit, Financial Control and Middle Office
Gain the trust and confidence of the Markets Trading and Sales Desks
Develop a broad and detailed understanding of the organization’s landscape, culture and technology
Understand the various markets and the applicable regulations which govern the markets
Experience in Operational Risk Management or Internal Controls is an advantage
Experience with databases, including design, developing queries, reports and macros is an advantage
Compliance or audit experience is also very useful

126

Operational Risk Analyst Resume Examples & Samples

3 – 5 years of relevant experience in Private Banking, Business Risk, Compliance or other related experience
Consultative / advisory skills
Some influence / conflict resolution skills
Able to interpret and apply policies, standards and procedures
Understanding of the operational risks that are inherent to a business
Program management skills
Strong problem solving, risk management and internal controls skills.

127

Operational Risk Analyst Resume Examples & Samples

Make sure the Creation of the KYC form in the CitiKYC system sourcing information from internal and external sources by the agreed deadline
Ensure the CDA Identifies and agree with the business the scope 120/90 days in advance population of CINS renewing
Be able to show reduction in NAM CCB BSU cycle time, by reducing interactions with the Relationship Manager
Increase client satisfaction and overall client experience
Optimize the whole process by standardizing questionnaires, scripts and SharePoint
Ensure the CDA document the call/email and lists the items and the expected delivery date agreed with Client. The CDA email these details to end user / Client
Interact proactively with relationship management teams and risk analysts to assure system update with information until final approval of the CitiKYC
Make sure the CDA validates the information collected from the customer and CIP documents to ensure alignment and compliance with current policies and procedures (Company/Entity Formation, Ownership, Management, Market Reputation etc)
Take responsibility for providing accurate and complete information to the risk analyst in order to complete and approve the KYC record
Complete checklist and CD Workflow to demonstrate work carried out during the process
Report workflow progress to supervisor and develop efficiencies in the process
Meet establish daily targets for CitiKYC review and completion within Service Level Agreement timeframes
Ensure the Update of workflow database regularly throughout the day
Highlight any discrepancies to Relationship Managers and Risk analysts
Escalate any situation to the Relationship Managers and Risk the will potentially represent an incomplete KYC record
Assist in departmental quality reviews as appropriate (MCA, Quality reviews, etc.)
3 - 5 years total customer experience as Team Lead/supervisor in charge of customer service roles, banking related services, etc
Bachelor degree in Business administration, Economics, Engineering or related field
English C1. Excellent oral and written communication skills
Ability to develop good professional relationships
Strong web research skills
Knowledge of local regulatory KYC/AML requirements. (Advantage)
Experience in control/risk or Compliance (AML/KYC) functions. (Advantage)
Knowledge and experience of the technologies and processes used in Citi. (Advantage)
Proficient use of KYC applications. (Advantage)
Experience in corporate or consumer banking services.(Advantage)
Ability to control multidisciplinary groups

128

Operational Risk Analyst Resume Examples & Samples

Defines and documents business functions and processes
Consults with functional unit management and personnel to identify, define and document business needs and objectives, current operational procedures, problems and input and output requirements access
Identifies opportunities for improving business processes through information systems and/or non-system driver changes; preparation of proposals to develop new systems and/or operational changes
Assists in developing an overall change management strategy
Conducts change impact analysis to assess the potential implications of changes and documents business rules (where applicable), functions and requirements
Directs or participates in studies of new and existing programs and special projects to determine feasibility, resolve problems including organizational, procedural, technical and fiscal research and analysis; develops process and procedures to improve efficiency, cost-effectiveness, and/or improve internal and external customer service; develops information system documentation to support efficient operations; prepares reports and written findings and recommendations; monitors changes
Partner with internal stakeholders and liaise with matter experts regarding instructional design
Ability to effectively communicate the changes identified to the teams impacted by those changes
Ensure a constant communication with Global BSU counterpart, AML and Compliance
English studies are a plus
Bachelor degree in English studies, Business administration, Economics, Engineering or related field
Experience in writing and delivering policy and procedure programs across multiple geographies
Very Strong business interpersonal and communication skills (written and verbal)
Knowledge of various Citi ICG businesses and products desired
Language skills in addition to English a plus (e.g., Spanish, Portuguese, Japanese)

129

Operational Risk Analyst Resume Examples & Samples

Develop and deliver global training solutions for NAM CCB BSU and coverage organization via live or virtual classroom settings
Constant review with management in training opportunities and development
Experience in writing and delivering training programs across multiple geographies

130

Senior Operational Risk Analyst Resume Examples & Samples

Partner with the technology related areas across the Bank to ensure sound controls are implemented as part of new projects and business as usual enhancements. Reviews, analyzes, and makes recommendations to the design and implementation of the operational risk management framework/measurement methodologies, in coordination with BNP Paribas’ Group Risk Management – Operational Risk, as adapted to the U.S. retail banking environment
Collaborates with other business areas to study and investigate operational risk issues/ incidents and, where necessary identify and implement solutions
Supports the need to identify and execute technology related assessments within stipulated schedules
Responsible for staying current in operational risk management techniques related to technology driven operational risks, industry best practices, and regulatory requirements. Assist with making recommendations when necessary to safeguard the position of the Bank
Rich understanding of Technology Control and disclosure systems
Reporting and Analytics
Process Flow and Documentation
Access Management/Security Administration
Patch Management Lifecycle
7 or more years combined Risk Management experience; 3 or more years experienced working in technology/Digital Channels/eCommerce Risk Management
Support the develop of consolidated Risk Control Self Assessments (RCSAs) which conform to the Operational Risk Framework as defined by the Bank
Must demonstrate strong analytical thinking and communication skills including the ability to research and understand complex processes, technology controls, and effectively communicate them to management

131

Operational Risk Analyst Resume Examples & Samples

Business Group Operational Risk Support – Undertakes assessments of RISK’s exposures/risk events, identifies risks, analyzes and evaluates their potential impact and reviewing the strengths and weaknesses of existing controls
Works with RISK to identify and document key processes as described by the Operational Risk framework (process documentation, risk assessment, controls documentation and testing implementation)
Ensures the functions within RISK agree/respond to findings, partners in development of remediation and other corrective actions based on Exam, IA, RCSA and other reviews
Supports the implementation of Control Programs, such as Third Party, Information Security, Business Continuity, Records, Fraud, etc. within RISK
Works with other RISK functions to develop and implement controls that mitigate excessive Operational Risks
Performs continuous monitoring to ensure control compliance and recommends improvements to ensure that risk exposures are kept at acceptable levels
Supports management in the supervision over the implementation of outstanding Audit, Compliance and Risk (ACR) related issues and Credible Challenge of ACR
Minimum of Bachelor’s Degree in Related Field – Business Administration, Economics, Finance, or Accounting
Master’s Degree Preferred

132

Operational Risk Analyst Resume Examples & Samples

New Activity memos review – to ensure operational risks arising from new products and/or business, migrations, etc. are properly considered
Exercising credible and effective challenge as a second line of defense, strengthening the risk framework and its individual components
Conduct business training and raise awareness of the operational risk framework, their roles and responsibilities
Respond to client inquiries about operational risk
Identify, maintain and analyze risk measures
Establishment and maintenance of a qualitative/quantitative business level operational risk appetite/tolerance with associated metrics, monitoring, triggers, escalation and mitigating actions
Contribute to developing the firm's operational risk framework including the design and project management for strategic platform enhancements
Strong verbal and written communication skills – able to present with impact and influence
Self starter, work independently and proactively, proven track record of delivery
Product Knowledge – Knowledge of the IBD business and associated processes
Technical Skills - Demonstrates strong technical skills required for the role, pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate financial/analytical skills
Client and Business Focus - Effectively handles difficult requests, builds trusting, long-term relationships with clients, helps the client to identify/define needs and manages client/business expectations. Known as a trusted advisor and can maintain/handle confidential information
Teamwork – Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute and acknowledges others' contributions
Communication Skills - Communicates what is relevant and important in a clear and concise manner and shares information/new ideas with others Judgment and Problem solving - Thinks ahead, anticipates questions, plans for contingencies, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues

133

Rohq-mbcs-operational Risk Analyst, Manager Resume Examples & Samples

Preparation and presentation of the Asia Regional Controls forum deck and risk dashboard to the Regional Markets and Securities Services Head and Chief Administrative Officer
Preparation and distribution of Country and Product Controls and Risk Dashboards to Country Markets Heads and Regional Product Heads
Support business and countries in preparation for Audit and Compliance Testing
Facilitate compliance of Manila Business Controls and Supervision to Citi’s policies, laws, regulations and local risk and control requirements and initiatives as the resident Manila BCS risk and control officer
Help the Manila Business Controls and Supervision Business Unit Head with matters of administration, cost control and planning
Help Manila Business Controls and Supervision management properly gauge capacity by facilitating collection of data, preparation and presentation of capacity reports on a timely and regular basis
Help open, track and report issues and the corresponding corrective action plans to address control gaps in Manila Business Controls and Supervision
Help track open projects, initiatives and management requests
Coordinate with ROHQ senior management, compliance, Business Unit Managers and other Control groups to achieve the business objectives of Manila Business Controls and Supervision
Experience in Project Management and Administration is an advantage
Experience in Operational Risk Management or In-Business Controls is an advantage
Strong presentation skills and an analytics insights and reporting mindset is an advantage
Strong Desktop/PC skills which include working knowledge of MS suite of applications, specifically Excel and PowerPoint
Experience with databases, including design, developing queries, reports and macro in a dynamic environment is an advantage

134

Operational Risk Analyst Resume Examples & Samples

Coordinate, facilitate, document and analyze RCSA activities and results for assigned areas of responsibility. Track risk treatment plans and provide accountability to business partners
Assist in coordinating the operational risk program within the context of the broader TCF enterprise risk management framework, including TCF’s risk appetite statement. Will be fully conversant with TCF’s risk appetite statement and how both the risk appetite statement and the operational risk program apply to TCF employees
Use professional knowledge, skills, and experience to influence and guide, monitor, and credibly challenge the first line business units as they manage risk and make risk decisions
Determine if management action is needed to strengthen controls or reduce residual risk to align with risk tolerances and the risk appetite
Partner with GRC personnel to maintain the RCSA program with the MetricStream tool and add incremental value over time
Build and maintain relationships with bank and industry experts, including understanding and applying required operational risk standards (e.g. Basel III, COSO, ISO 31000). Establish relationships with business and risk partners to enable collaboration and alignment across key risk objectives
Assist with coordinating the operational risk program efforts with TCF’s Dodd-Frank Act stress testing (DFAST), modeling, comprehensive periodic risk assessments (CPRA), and regulatory reporting standards and expectations
Develop presentations appropriate for senior level audiences and examiners or regulators
Bachelor’s degree in a business-related field (e.g. accounting, finance, economics, etc.)
2+ years of previous relevant experience within the financial services, insurance or consulting industries, or in a risk management capacity at a major firm
Leadership, teamwork, accountability, and demonstrate integrity in all aspects of job duties
Self-motivated, articulate, and independent thinker
Master’s Degree in similar business-related field or related certification (CPA, CFA, CIA, etc.)
Previous experience including administering risk and control assessments
Knowledge of BASEL III Operational Risk standards, COSO, ISO 31000
Audit or Program Management experience would be beneficial
Familiarity with Governance, Risk, and Compliance systems, especially MetricStream
Prior experience working with data sets, databases, or light programing

135

Senior Operational Risk Analyst Resume Examples & Samples

The Senior Analyst Operational Risk Analyst is responsible for assisting the Manager of Operational Risk Management in implementing quantitative and qualitative measures of Operational Risk Management. This role is expected to be able to work independently, with minimal supervision, under the direction and support of the Manager of Operational Risk Management
Assist the Manager of Operational Risk Management in the implementation and maintenance of the SC Operational Risk Management Framework and Appetite that supports SC in its business and risk governance strategies, SC Policy Framework and standards, and regulatory requirements
Develop and maintain the operational Risk Management Risk Control and Self-assessment framework for SC includes processes, New products/business activities
Quality Control (QC) testing, with respect to operational risks associated with losses and assisting with the maintenance of related reporting
Working with SC employees including other Operational Risk Management department members in supporting a culture of strong operational risk management
Assist in the maintenance of policies, process flows and procedures at the program level for the company
Responsible for producing and maintaining departmental reporting including the Weekly Escalation Report and Risk Event Status Reports
Responsible for collecting, recording and reporting on Corporate Control Indicators on a monthly basis within strict deadlines
Assist in the performance of ad hoc reviews of business areas identified by Management ensuring controls are operating as intended as well as working with the business area to remediate any control deficiencies
Stay abreast of industry news and regulatory developments pertinent to the industry
Assist in the assessment of new business initiatives
Help promote and instill a culture of operational risk management and operational excellence across the business
Complete special projects as assigned by any member of the Operational Risk Management supervisory team

136

FRM Operational Risk Analyst Resume Examples & Samples

Performing an analysis of hedge fund businesses with the goal of identifying key risks that the business and fund investment poses to potential/current investors
Frequent on-site interaction with senior hedge fund operational leadership members (i.e. COOs, CFOs, GCs, and CCOs) as part of the initial and on-going due diligence process
Overseas travel to perform the on-site interactions
Reporting back findings in a timely manner to all members of FRM's research team in an open discussion forum
Documenting due diligence findings in a comprehensive report, ensuring key risks are understood, documented, mitigated or resolved prior to the completion of due diligence
Assisting in the structuring of investments across FRM's managed account platform

137

Operational Risk Analyst Resume Examples & Samples

Conduct periodic risk assessments of operational areas to identify areas of risk, including the documentation of risks, identification of risk owners, measurement of risks, and facilitation of appropriate risk treatment plans
Work with process owners within business functions critical to day to day operations to document key processes and quickly recognize controls and gaps along with ability to quantify risks associated with gaps
Work with other risk managers to develop and improve risk assessment and measurement techniques and tools, including use of Risk and Control Self-Assessments (RCSA), group sessions, statistical modeling software or other methods of improving overall quality of Operational risk reporting and accuracy
Assist the Enterprise Risk team on operational risks that may lead to enterprise level risks
Support the use of tools within the Operational Risk Management team to maintain and improve the accuracy of risk information and efficiency of the team including maintaining the risk register and periodic reporting of the status of tracked risks
Bachelor's or Master's degree in one of the following areas: Management Information Systems, Computer Science, Accounting, Finance or related degrees and may be accompanied by relevant additional work experience in audit or risk management
Candidate be progressing towards a professional certification such as CPA, CIA, CISA, CISSP, CISM, CRISC or other relevant audit or risk management professional certification
1-4 years of experience in risk management, audit, consulting, or related compliance/risk role; large public accounting firm audit experience is a plus!
Proficient with Microsoft Office suite (Excel, Word, Power Point)
Highly motivated, team player, self starter and able to work independently

138

Operational Risk Analyst, Shanghai Resume Examples & Samples

Daily qualitative review of risk data including internal/external incidents and Issues to identify risk themes and data quality issues
Working in a team to coordinate and reengineer an effective and efficient data quality assurance process
Assisting the production of fact pack and analysis for the senior coverage teams
Extracting and analyzing various operational risk data, such as incidents, metrics, issues and actions, scenarios, key controls and Risk Control Self Assessments (RCSA)*LI-SC2
0-3 years of working experience in international financial institutions or consulting firms. Entry level fresh grad is also accepted
Bachelor’s degree with analytical discipline preferred. Master’s degree is a plus
A general understand of regulatory capital frameworks, such as Basel 2 and Basel 3. Hands-on experience with RCSA and Scenario Analysis is a plus
Advanced user of PowerPoint and Excel with strong VBA skills
Excellent English communication skills, both verbal and written

139

Operational Risk Analyst Resume Examples & Samples

Works with Risk Management & Compliance Group management in
6 to 10 years of experience in Financial Services or Retirement Plan recordkeeping risk management, with increasing responsibilities and diverse experiences
Applied knowledge of operational processes and industry best practices of internal controls to minimize operational losses in a Financial Services or Retirement Plan recordkeeping environment
Strong leadership, collaborative and facilitative skills, including relationship building skills

140

Operational Risk Analyst Resume Examples & Samples

College degree in accounting, business, economics or IT
Ability to communicate results effectively, both in writing and orally, to the team, stakeholders, and Single Family business partners
Strong writing skills, including ability to summarize results, creation of presentations, management reporting and other deliverables required by the team
Proficient in PowerPoint, Excel, and Word

141

Senior Operational Risk Analyst Resume Examples & Samples

Working with Executive leaders and managers within the organization to develop a culture that fosters self-identification of business and operational issues
Plan, manage and conduct periodic risk assessments of operational areas to identify areas of risk, including the documentation of risks, identification of risk owners, measurement of risks, and facilitation of appropriate risk treatment plans
Review new projects and initiatives to help with the identification of emerging risks, potential impact on existing risks and controls and act as an advisor on risk mitigation strategies
Work with business process owners to develop key risk indicators that lead to prediction of change in risk factors within Operations areas
Work with other risk managers to develop and improve risk assessment and measurement techniques and tools, including use of Risk and Control Self-Assessments (RCSA), group sessions, statistical modeling software or other methods of improving overall quality of risk reporting and accuracy
Coordinate with the Enterprise Risk team on Operational risks that may lead to enterprise level risks
Support the use of tools within the Risk Management team to maintain and improve the accuracy of risk information and efficiency of the team including maintaining the risk register and periodic reporting of the status of tracked risks
Develop and maintain productive relationships with business and process owners to support the audits and value-added initiatives
Lead, coach, and supervise staff and ensure optimal performance; Provide timely and effective feedback
Obtain an understanding and knowledge of Vantiv and the payment processing, financial services and fintech industry
Candidate should possess or be progressing towards a professional certification such as CPA, CIA, CISA, CISSP, CISM, or other relevant professional certification
Previous experience in risk management, audit, consulting, or related compliance/risk role; large public accounting firm audit or consulting experience is preferred but not required
Demonstrate and apply strong project management skills, inspire teamwork and responsibility with team members, and use of technology and tools to enhance the effectiveness of the risk management process and deliverables
Demonstrates ability to display a positive business presence and sound judgment with management and external personnel
Must be proactive in identifying potential concerns and following-up to resolve such issues
Strong organizational and research skills; proven attention to detail
Highly motivated, team player, self-starter and able to work independently

142

Operational Risk Analyst Wholesale Banking Risk Management Resume Examples & Samples

Act as a point person for Wholesale Banking Operational Loss and Customer Reimbursement Program. Coordinate the operational event identification process, ensure events are proactively identified, completely vetted and appropriately tracked in the system of record
Maintain Business Line and desktop procedure for all elements of the issue management and operational event program
Seven or more years of experience in operational risk management, compliance, or internal audit
Ability to function independently with little supervision

143

Operational Risk Analyst Resume Examples & Samples

Requires general knowledge of job area typically obtained through advanced education combined with experience
Prior relevant experience preferred
Experience in commercial banking preferred
Strong Microsoft Office Skills (Excel, Access, Project, Visio, WORD, and Outlook)

144

Consumer Operational Risk Analyst Resume Examples & Samples

Identify new or emerging risks to which the business is exposed
Remain current on business drivers, regulatory and industry changes impacting the business
Awareness of consumer compliance related risks, controls and regulatory requirements
3+ years of relevant experience working in Consumer Finance
Strong organizational skills (project management experience a plus)
Attention to detail required

145

Operational Risk Analyst Resume Examples & Samples

Assist the Operational Risk Management Group with implementing aspects of the operational risk management framework which includes the identification, assessment, and measurement of the Bank's risk and control environment. Examples include: risk and control self-assessments, special risk assessments, scenario analysis, operational risk events, operational risk model, risk and performance metrics
Assist in administering the self-assessment of operational risk and internal controls with the business units
Assist in the collection and analysis of operational event data that meets internal and regulatory reporting needs and requirements
Assist in preparing and analyzing data and trends in operational risk metrics
Assist in monitoring the implementation of action plans identified from operational risk events and risk assessments
Assist in the preparation of operational risk reports for business line units, Risk Committee, and Risk Oversight Committee of the Board of Directors
Assist in monitoring of risks and controls utilizing the Bank's Governance, Risk, and Compliance system

146

Operational Risk Analyst Resume Examples & Samples

Gather and complete the required information for MCA and populate monitoring results in the system
Gather relevant Key Risk Indicator (KRI) metrics from business areas and populate metrics in the system
Maintain records and follow-up on mandatory training for staff
Prepare the monthly Client Complaint metrics for CPB
Maintenance of ICAPs issues in the system
Monitor GIFT and Mandatory Absence
Assist the Business Risk Manager as appropriate
Generate the Offshore Wealth Services monthly GAP report and follow up the supervision team as appropriate
Assist with ad hoc analysis to support the Policy, Framework, & Core Processes
For audits and regulatory reviews, assist Business Risk Manager to prepare and organize deliverables
Maintain a high degree of technical and policy understanding with respect to business risk process
3 or more years of experience in banking compliance, risk management, legal or other control-related function in the financial services industry
Advanced skills in the use of Excel, Access and PowerPoint
Communication skills (spoken and written) in English. Spanish or Portuguese beneficial, but not mandatory

147

Operational Risk Analyst Resume Examples & Samples

Risk and Control Self-Assessment (RCSA) support for SAS Business Areas
Business Coverage for Audit & Business Action Plans
Establish relationship and open lines of communication with Businesses to ensure guidelines and initiatives are understood
Develop reports and templates to provide senior management with summary view of Risk environment
Overall Program Support to provide guidance and leadership on controls, controls substantiation, root cause analysis, etc
Vendor Oversight
Implement new WM Risk Priorities and Projects
Self-starter, high energy and motivated to tackle difficult risk issues
Demonstrated ability to work independently, promote teamwork and execute sound reasoning and judgment
Exemplary interpersonal and client service skills
Ability to take initiative, analyze, summarize, and communicate effectively orally and in writing
Ability to form relationships and build a network throughout the SAS organization
Positive attitude – capable of working well under pressure, solicit and incorporate feedback while delivering on high priority, time sensitive initiatives
Strong attention to detail and ability to self-manage time
Forward thinking and able to anticipate business needs before they arise
Strong working knowledge of MS Office (Microsoft Word. Excel and PowerPoint)
Willing to obtain a working knowledge of the RCSA policies, procedures, and practices
Series 7 licensing preferred

148

Operational Risk Analyst Resume Examples & Samples

Build working relationships with associates within assigned business areas
Provide guidance to FLUs and/or ESUs on the effective execution of the operational risk management framework including
Risk and control self-assessments (RCSA)
New initiative risk assessments
Operational risk/loss events
Scenario analysis
Emerging risk identification
Front line risk assessments including metrics
Assist the Operational Risk Liaison in conducting and documenting independent challenge of FLUs’ and/or ESUs’ execution of the operational risk management framework, including
Working knowledge of enterprise risk and operational risk management framework, principles, and practices
Working knowledge of risk and control self-assessment program, process, and tools
Working knowledge of enterprise metrics program, process, and tools
Working knowledge of operational loss root cause analysis process and tools
Working knowledge of pertinent business groups and support areas and related risk environment
Proficient in ability of performing industry research of risk events and trends
Proficient in ability of conducting and documenting process walkthroughs including process flowcharts
Proficient in ability of developing and delivering presentations to associates
Proficient in developing strong working relationships
Proficient in the use of Microsoft Office and Visio

149

Operational Risk Analyst Resume Examples & Samples

Support Risk oversight across the broker dealer vehicle
Interact with Businesses that are present in the Broker dealer supporting control and regulatory initiatives
Provide support on MCA process and testing
Continually focus on improving processes that offer operational and productivity efficiencies and proactively engage with businesses to assess their risk and control environments
Drive Sustainability of corrective actions - Event Response – Enhanced oversight, challenge by 2nd Line of Defense
Provide support to ensure operational risk data quality
Bachelor’s degree in Administration, engineering,
Finance, Accounting or related
Experience in Operational Risk/compliance/controls of 5+ years
Knowledge of credit risk and/or market risk is a plus
Familiarity with a wide range of businesses; understands core processes and control frameworks
MCA process and Operational Risk Policies knowledge
Skill to summarize complex matters into core issues and root causes that can be more readily addressed
Able to eliminate chaos and confusion. Prioritizes high impact potential problems effectively
Builds partnerships across functions and regions; collaborates well with others
Networks regularly and builds relationships across Risk disciplines and with businesses

150

Senior Operational Risk Analyst Resume Examples & Samples

Escalates material issues to appropriate management levels for transparency and active risk management. As assigned within the corporate operational risk framework takes action to maximize effectiveness of Control Programs, such as Third Party, Information Security, Business Continuity, Records, Fraud, etc. as well as changes in management
Monitors and manages control adherence to the third party inventory to ensure that exposures are accurately measured, reported, are managed at appropriate levels
Third Party Risk Management: Assigned responsibility for 2nd line of defense of the bank's third party inventory and management of internal relationships associated with it
Business Group Operational Risk Support Assigned specific LOB. Undertakes complex assessments of business unit exposures, identifying risks, analyzing and evaluating their potential impact and reviewing the strengths and weaknesses of the firm's existing controls. Requires collaboration and partnering within Third Party and Operational Risk Management and across business lines/support groups
Bachelor’s Degree in Business Administration) or the equivalent combination of education and experience - Required
Required License(s) or Certifications in - None
Requires deep knowledge of job area typically obtained through advanced education combined with experience. Typically viewed as a specialist within discipline. May have broad knowledge of project management, technology, banking, and vendor management

151

Operational Risk Analyst Resume Examples & Samples

Responsible for supporting an assigned operational risk program component from end-to-end and serve as a Subject Matter Expert (SME) and resource. This encompasses support for design, process improvements, policy, standards, procedures, templates and tools
Tracking and periodic reporting of assigned IA and Regulatory findings progress and remediation
Perform quality assurance (Q/A) on data and material submissions in a 2nd Line of Defense role
Key individual in coordinating communications between the ORMs and the 1st Line of Defense
Chair the Operational Risk Manager Forum bi-weekly meetings. Prepare agenda, facilitate conversation and compile/post minutes
Periodic support of operational risk management reporting
Bachelor’s Degree and/or equivalent experience/education with strong writing and communication skills, adept at Microsoft suite of products, organized, and resourceful. Required
Requires 7 years minimum prior relevant experience in banking or financial services

152

Operational Risk Analyst Resume Examples & Samples

Plan the research for and development of specialized risk assessment scopes
Collaborate with management and personnel to optimize risk assessment scope development
Identify potential business risks, operational and regulatory process deficiencies and improvement opportunities
Gather and synthesize data; present conclusions and offer risk mitigation, remediation and process improvement solutions to management
Lead/conduct and provide expertise with the administration of specialized risk assessment and testing lifecycles of business activities, processes, policies and procedures for operational effectiveness and compliance with regulatory requirements, federal and state laws, and Navy Federal‘s quality control standards, policies and procedures
Make recommendations for additional controls and corrective action to improve the efficiency and effectiveness of operations and risk mitigation processes
Prepare and present to management and/or affected business unit summaries, operational and regulatory risk assessment reports, trending, and remedial or mitigation solutions
Maintain effective communication with other business units and support teams to remediate errors and assist with implementation of corrective actions related to non-compliance with policies and procedures
Analyze Internal and External Audit reports and recommend enhancements to the risk assessment process
Partner and maintain effective working relationships with management to evaluate the progress of risk assessments and key issues raised during the review process and to facilitate the overall improvement of internal control structures
Research escalated issues; determine or collaborate with team on the resolution
Serves as coach/mentor to lower level staff
Maintain clear and organized risk assessment documentation including data, scope, status, results, reports, corrective actions, and completion date
Identify training opportunities and assist in the development of Operational Risk staff
Develop and help administer optimal data testing and sampling strategies to ensure the most effective risk detection, analyses and control solutions
Develops new and updates Operational Risk policies and procedures
Serve as a resource for and interpret federal, state, NCUA, and other regulations and guidelines that impact the business unit operations
Analyzes the impact of changes to federal and state regulations and makes recommendations for changes to policies, procedures and practices to ensure compliance
Serve as primary point of contact and subject matter expert in meetings, committees, and major projects related to the development and improvement of processes and controls g
Stay abreast of industry and regulatory related news and developments
Bachelor’s Degree in Business Administration, Auditing, or related field or equivalent combination of training, education and experience
Advanced knowledge and understanding of risk-based auditing techniques and methodologies
Working knowledge of applicable federal and state regulations, company policies, and industry best practices
Advanced project management skills
Advanced knowledge of operational and regulatory risk controls concepts and practices
Proven ability to plan, organize and effectively execute risk mitigation and process improvement initiatives
Advanced research and analytical skills
Advanced communication and negotiation skills
Proven ability to influence management decision making
Working knowledge of products, services, processes, requirements, and systems related to the business unit
Ability to comprehend, analyze, interpret, communicate and apply government and financial industry regulations related principles and practices, and company instructions, procedures and policies
Advanced communication and negotiation skills with ability to exercise good judgement and tact in dealing with Navy Federal senior management
Advanced skill at working with and communicating with all with all levels of employees and management within and outside the organization
Experience in collaborating across organizational boundaries and building partnerships across various functions
Advanced customer service focus and relationship management skills
Significant experience in managing multiple priorities independently and/or in a team environment to achieve goals
Advanced skill using innovative thinking to solve problems and facilitate the decision-making process
Advanced word processing and spreadsheet software skills
Advanced presentation software skills
Desired – Advanced knowledge of operational and regulatory risk controls, concepts and practices
Desired – Master’s Degree in related field or equivalent combination of training, education and experience
Desired – NCCO, CRCM, or other applicable compliance certification
Desired – Working knowledge of Navy Federal’s functions, philosophy, operations and organizational objectives
Desired – Advanced knowledge of state and Federal laws; industry regulations, principles, and practices; and company policies that govern the business unit’s products/services

153

Operational Risk Analyst Resume Examples & Samples

Identify process improvement opportunities in the Business Unit key processes
Provide subject matter expertise surrounding the Operational Risk Framework
Identify training needs and educate assigned colleagues on relevant Operational Risk management concepts and policies
Serve as an escalation point for Operational Risk issues
Utilise the risk management system data to influence the BU in developing and maintaining their risk and control environments
Conduct strategic analysis of risk data to drive management decisions and behaviours
Challenge and identified risks/issues ensuring compliance with policy and the Operational Risk Framework
Support the wider Risk team and control Self-Assessment reviews to ensure changes to process have been captured and that controls are adequate, effective, sustainable and appropriate
Providing inputs and commentary into CRO risk reporting

154

Assistant VP, Operational Risk Analyst Resume Examples & Samples

Self-motivated individual who can take initiative and work independently
Capacity to maintain high attention to detail and accuracy are essential while working against demanding deadlines
Advanced knowledge of Microsoft Excel/Access required, familiarity with Business Objects and MicroStrategy is preferable

155

Senior Lead Operational Risk Analyst Resume Examples & Samples

Undertakes transversal & vertical assessments of exposures, identifying IT Governance gaps, evaluating their potential impact and preparing action plans, including ownership and timelines
Work with other business units and IT functions to develop and implement IT Governance framework that meets the Bank’s expectations, and satisfies the BNP Paribas and FFIEC requirements
Oversees the creation and execution of the IT management standards and procedures; developing IT management performance analysis reports; and in establishing management and administrative procedures to ensure adherence to policies and standards
Counsels business unit managers on IT Governance and operational risk management issues
Based on assigned role, prioritizes Operational Risk activities to reduce income volatility for the bank and increase risk transparency while being attentive to increasing the level of customer service and satisfaction
May participate in evaluating new products, changes to the channels through which products are offered, and technology impact assessments for their impacts on the bank's or LOB’s operational risk profile
Master’s/ Advanced Degree- Risk Management or IT (Preferred)
IT, Security, Risk Management or related field required

156

Operational Risk Analyst Resume Examples & Samples

Review and Analysis of operating and information systems in order to provide business support functions in a controlled manner
Identification of issues representing risk to business. Monitor and track issues until corrective actions are completed
Improving the control environment by providing the optimization ideas
Support for O&T and the whole Branch in any Control related inquiries
CAPs development and tracking to ensure root cause elimination and timely execution
Independent review of the processes and transactions to identify control weaknesses and their elimination
Ensure that daily/weekly/monthly/quarterly/annual operational controls and verifications within Operations department and report results to SCOO
Proactively escalate discrepancies/exceptions in the regular control/operational processes and ensure those are noted and brought to the attention of related employees/management
To be involved in revision of policies/procedures related to Operations control, and advise if any modifications are required, assessing products/processes from control/risk point of view within operational control area
To engage in external and internal audit reviews related to O&T
Work closely with employees/management within the bank to make sure they understand control requirements and follow them properly
Make sure that all exceptions and control weaknesses are properly escalated and timely resolved
Be familiar with corporate software systems involved in control processes
Timely implement new corporate and legislative control requirements pertaining to position
Ukraine Country COB Coordinator responsible for ensuring the businesses within Ukraine adhere to Citi COB Policy and Standards and develop robust recovery strategies
Provide direction and support to all local Business Recovery Coordinators and senior management – including the CCO, O&T Head and OTRC Head for Ukraine
Oversight of business unit compliance with local/regional regulations in conjunction with regional Business Continuity Management team; support regulatory exams and interact with IA on matters of COB
Liaise with Technology, CRS and business to ensure technical requirements are included and available at Ukraine recovery site
Coordinate and track application recovery testing (Disaster Recovery) and/or Work Area Recovery tests and ensure compliance adherence for Ukraine in conjunction with global COB Ops teams
Oversight of CoB training awareness program within Ukraine including facilitation of the crisis management exercise
Principal point of contact to provide status updates to the Regional COB Team
Project management of key initiatives as defined by Business Continuity Management leadership
Ensure business recovery requirements are addressed and included in the strategy and planning process, including business impact analysis and business recovery plans
Understanding industry CoB best practice worldwide
Knowledge of Citi business operations with exposure to business at a senior level
Exposure to contacts in all Regions
Exposure to the major global business continuity regulations
Interface with global sector/regional programs
Ability to lead and influence effectively
Ability to communicate effectively at senior management levels
Demonstrable experience of building and sustaining productive business focused relationshipsrisk analysis and problem solving skills
Strong organizational, planning and prioritization skills
Fluent Ukrainian, Russian, English
Experience with or understanding of 2 or more COB program element areas, including risk assessment, training and awareness, recovery planning, testing execution

157

Operational Risk Analyst Resume Examples & Samples

Implementation of new regulations
Remediate issues noted by regulators and auditors
Build controls strategic framework
Change professional in addressing regulatory inquiries, remediation and strategic initiatives
Higher focus on Business Analysis – understanding the regulatory requirements and the business processes, determining remediation approach
Champion upcoming regulations and lead key elements of addressing the regulation
Identify and develop controls to address any gaps in the regulatory reporting framework at Citi
Create and manage the development of individual project artifacts including scoping documents, project plans, score cards, risk & issue trackers, business requirements documentation, functional requirements documentation, traceability matrices, and test plans /scripts
Delivers and maintains a strong communication plan and artifacts among varied stakeholders (e.g. operations, technology, front office, compliance, legal, etc.)
5+ years in financial services experience. Citi experience a plus
Experience in leading initiatives in Middle Office, Operations or Operations Control at a broker/dealer is a plus
Consulting experience with a major consulting firm is a plus
Experience in collecting, defining and documenting business and technology requirements, test plans and other project management artifacts
Experienced in consulting with project stakeholders, including the skills to facilitate compromises and resolve conflicting requirements
Experience in working across technology and business projects and managing inter-dependencies between the two

158

Senior Operational Risk Analyst Resume Examples & Samples

Undertakes transversal & vertical assessments of exposures, identifying risks, evaluating their potential impact and reviewing the strengths and weaknesses of existing controls. Work with other risk functions to develop and implement controls that mitigate risks
Oversees the execution of the operational risk management standards and procedures; developing operational risk management analysis reports; developing approval procedures and guidelines on operational risk limits by type of product and/or transaction (where appropriate); and in establishing management and administrative procedures to ensure adherence to policies
Counsels business unit managers on operational risk management issues
May participate in evaluating new products, changes to the channels through which products are offered, and technology impact assessments for their impacts on the bank's or Banking Services Group operational risk profile
Under LOB/support function Senior Operational Risk Analyst may oversee and participate in First Line Control credible challenge to determine if controls are in place and working as intended (Business Group Operational Risk Support)
Within assignment has a broad range of independence ensures the Operational Risk Program is working effectively to report on the Banking Services Group risk posture and rein in excessive risks/risky activities
Bachelor’s Degree- Business Administration or related field (Required)
Master’s/ Advanced Degree- Business, Finance, Risk Management

159

Operational Risk Analyst Resume Examples & Samples

Data Management
Risk and Finance Calculations and Models
Data Assurance through Reconciliations and month end Controls
Bank -wide Operational Risk Reporting
Production Control Oversight
Conduct Quality Assurance reviews and Ad Hoc reviews of Incidents
Maintain and further develop the functions risk and control register
Participation in projects to ensure controlled deliver with reduced risk appetite and evaluating

160

Senior Operational Risk Analyst Resume Examples & Samples

Undertakes complex assessments of business unit exposures, identifying risks, analyzing and evaluating their potential impact and reviewing the strengths and weaknesses of existing controls
Assists the Operational Risk Manager in the development of business line risk reporting, which includes risk appetite, risk metrics, technology risk profile, risk acceptance and other pertinent data in order to provide a holistic risk profile for CBD
Provides guidance, credible challenge, and consultation for management regarding the Bank’s Operational Risk Program
Communicates/educates others on the business unit and related process
Escalates material issues to appropriate management levels for transparency and active risk management
Works with (as needed) other risk functions to develop and implement controls that mitigate excessive risks
Monitors control compliance and the prevalent risk environment recommending incremental recommendations for improvement to ensure that exposures are kept at acceptable levels
Leads or completes ad-hoc projects to support the Operational Risk Department
Leads/facilitates risk assessment workshops with project managers, product managers, and various process owners
Bachelor’s Degree in Business Administration, Finance or related field
Required License(s) or Certifications (e.g., CIA, CRMA or RMP) - Preferred
7 years of risk management & auditing experience preferably in the banking industry or financial services
The candidate must have solid organizational skills, with the ability to handle complex projects in a multi-tasking environment and meet deadlines with quality results

161

Senior Operational Risk Analyst Resume Examples & Samples

Escalates material issues to various levels of management for transparency and active risk management
Works with other risk functions to develop and implement controls that mitigate excessive risks
Assists in embedding operational risk management into Bank of the West’s culture, through interaction with business line management, the development and execution of education and training, and the implementation and support of the Three Lines of Defense risk model
Required License(s) or Certifications preferred (e.g., CIA, CRMA)
7 years of risk management & auditing experience preferably in the banking or financial services industry
The candidate must have strong working knowledge of Microsoft office suite Word, EXCEL, PowerPoint, Visio etc

162

Operational Risk Analyst Resume Examples & Samples

Experience in Financial Institution environment, internal operational audit role or equivalent experience identifying and/or implementing Operational Controls
General or specific knowledge of Markets related operational functions and processes would be beneficial
Results oriented and tenacious
Strong Microsoft Excel/PowerPoint skills
Knowledge of SharePoint a plus

163

Operational Risk Analyst Resume Examples & Samples

Analyze the completeness and accuracy of the KYC profile completed by the CBSU Analyst. Validate the information within CitiKYC and supporting appendices to identify missing information or documentation
Interact proactively with Closure and Branch personnel to rescind cases as needed and manage exception timelines to ensure the completeness of the client profile
Assist the management team in gathering information for root cause analysis and coaching
Ensure the completed records align with business procedures and corporate policy requirements
Working knowledge of KYC requirements
Excellent written and oral communication skills with the ability to summarize findings and present in a clear concise manner to peers, supervisors and senior level management

164

Senior Operational Risk Analyst Resume Examples & Samples

Support the design and implementation of operational risk governance model for the Commercial Banking Group. Performs necessary monitoring and oversight functions to ensure effective management and compliance with company-wide program requirements. Monitor to ensure key program requirements (e.g. Risk Control Self-Assessments, Loss Data Collection, Key Risk Indicators) are being met through analysis of metrics and data. Escalate issues to appropriate levels within the organization
Business Group Operational Risk Support for Commercial Lending and Cash Management. Undertake complex assessments of business unit exposures, identifying risks, analyzing and evaluating their potential impact and reviewing the strengths and weaknesses of the firm's existing controls. Requires collaboration and partnering within ORD and across business lines/support groups
Identify enhancements for program tools and support and improve reporting. Develop new tools, define requirements, identify data sources, analyze data, and prepare reports as needed to effectively provide workable solutions or respond to requests for information from Senior/Executive Management, Regulators, and/or BNPP
Provide subject matter expertise related to program questions. Promote operational risk awareness. Perform periodic ad-hoc reviews/testing to determine if program is operating as designed
Escalate material issues to appropriate management levels for transparency and active risk management. As assigned within the corporate operational risk framework takes action to maximize effectiveness of Control Programs, such as Third Party, Information Security, Business Continuity, Records, Fraud, etc. as well as changes in management
As needed, work with other risk functions to develop and implement controls that mitigate excessive risks
Once the controls are in place, continue to monitor control compliance and the prevalent risk environment recommending incremental recommendations for improvement to ensure that exposures are kept at acceptable levels
Provide leadership in the planning, development & execution of Operational Risk policies, standards and measurement methodologies
Liaison with the business unit Controls & Governance and business partners on an ongoing basis
7 or more years of risk management and/or auditing operations in a financial or banking institution
Required License(s) or Certifications - Preferred (CPA, CIA, , or CFE,)

165

Operational Risk Analyst Resume Examples & Samples

Directly interface with the Wholesale Banking business line issue owners and issue sources to review and understand key findings, relevant risks, recommendations and impact to the business process
Complete an event root cause analysis when needed, ensure management responses are drafted and coordinated centrally, with appropriate resolution and due dates. Directly interface with the Wholesale Banking Business Line event owners and stakeholders to review and understand key findings, relevant risks, recommendations and impact to the business process
Build strong relationships and collaboration across the business lines, issue sources, and risk oversight groups
Build out the Issues Management Program to integrate with other risk programs
10 years or more experience in operational risk management, compliance, or internal audit
Demonstrate ownership and accountability for assigned tasks and job objectives
Prior experience in internal audit in a financial firm strongly preferred
Knowledge of products and services offered by the Wholesale Banking and Commercial Real Estate business lines

166

Operational Risk Analyst Resume Examples & Samples

Analyze, measure performance, monitor trends, define limits according for Corporate Banking OpRisk exposures in accordance to Risk Appetite
Assist in the ongoing oversight Santanders Corporate Banking Operational Risk (OR) Framework in support of the first line of defense
Contribute to escalation, reporting, communication to Risk Governance Forums,Drive culture of OR awareness and participate in the delivery of business-tailored OR Training
Support the creation, management and development of OR program strategy, policies and models within the Corporate Banking Business
Prior risk-focused role (3-5 years minimum) in large and complex consumer and/or commercial banking businesses
Effectively support complex project execution/delivery
At least 3 years of experience
Ability to multi-task with fast paced, often changing portfolio of deliverables
Excellent communication skills verbal and written
Highly Analytical,Innovative thinking, paired with a track record of strong tactical execution,Integrity, combined with high personal and professional standards
Spanish language skills preferred but not required,Working knowledge of front to back risk management processes, including

167

Senior Operational Risk Analyst, VP Resume Examples & Samples

Coordinates with other operational risk subject matter experts (SMEs), to define and maintain operational risk management program requirements, including policies, procedures and standards in alignment with regulatory requirements, entity-level policies, and industry best practice
Collaborates with other SMEs to determine and communicate the business impact of changes to operational risk management policy and standards. Ensures policy changes and new policies are appropriately communicated to the respective stakeholders
Ensures policies and procedures adhere to enterprise standards and templates, follow the required approval process, are updated as needed, and remain in good standing
Monitors the status of implementation for policy and program changes
Manages the scheduling for policy and procedure reviews and updates
Participates in special initiatives to support operational risk requirements
Stakeholder
Works in close cooperation and collaboration with the Operational Risk Management subject matter experts and the Risk Governance Office, as well as business line risk managers
Participates in industry committees / forums to maintain awareness of trends and best practices
Understands and monitors changes in applicable regulatory requirements to enhance internal plans / strategies / policies / practices on an ongoing basis
Bachelor’s degree in Business, Finance, Economics, Accounting, or related field
5+ years of experience in operational risk management or related field in the financial services industry
Knowledge of operational risk management techniques
Experience in writing policies and procedures
Able to collaborate well with internal and external stakeholders
Able to act as a subject matter expert on operational risk policies and standards
Strong interpersonal skils
Able to build relationships with people at all levels and work with various stakeholders across the organization
Experience in working with regulators and auditors

168

Senior Operational Risk Analyst VP Resume Examples & Samples

Drive a consistent approach to identify, assess, manage and report operational risk events, assessment issues and key risk indicators moving from a qualitative to a quantitative risk management model
Review Risk Control Self-Assessment results conducted by the 1st line to assess whether the proper risks are identified and to verify the effectiveness of the control environment
Maintain non-financial key risk management policies and standards
Work with key stakeholders in the business to operationalize non-financial key risk management policies and standards through expert advice and consultation
Conduct deep dives/risk assessments/gap analyses and document findings
Track remediation plans on material risk events and issues to ensure control gaps are closed
Prepare presentation materials for Mizuho leadership, business partners and regulators
Assist with planning, preparing materials and conducting operational risk scenario analysis workshops
Collaborate and work with ORM team members on new risk initiatives to support the dynamic regulatory environment
Design and implement operational risk reporting solutions that are relevant, impactful, timely and user friendly; automated where possible
Develop risk analytic capabilities to track risk trends and identify emerging risks in the environment
Balance operational risk requirements with the need for efficient business operations
Remain current with industry operational risk trends and regulatory areas of focus
Eligible to work in the US
Bachelor’s or Master’s degree
Understanding of Corporate and Investment Banking as well as Capital Markets a plus
5-10 years of risk management, compliance, or audit experience
2-5 years of operational risk management framework experience desirable
High motivated, self-directed individual with the ability to work independently
Working knowledge of GRC software solutions
Knowledge of regulatory requirements for the financial services industry
Collaborative team player and relationship builder

169

Operational Risk Analyst Resume Examples & Samples

Assist with implementation of Risk Control Self-Assessment program and review results conducted by the 1st line to assess whether the proper risks are identified and to verify the effectiveness of the control environment
Assist in the deployment of Archer as the enterprise Governance Risk & Compliance (GRC) ORM solution
Implement operational risk reporting solutions that are relevant, impactful, timely and user friendly; automated where possible
Aggregate Non-Financial Risk Committee (NFRC) materials and take minutes
Aggregate risk data for regional reporting to senior management risk governance forums
Partner with Key Risk Officers monitoring the various operational risk stripes to provide oversight and credible challenge of the 1st line control environment
Collaborate with the business to develop Key Risk and Key Performance Indicators covering the non-financial key risk domains defined in the ORM framework
Gain a deep understanding of the business’ needs and identify opportunities to strengthen the control environment
Raise awareness in the business lines of the importance of strong risk management practices and the need for effective controls
Contribute to and participate on various operational risk governance forums
Strong project management capabilities with ability to multi-task
2+ years of risk management, compliance, or audit experience desirable
Practical knowledge of risk reporting and development of key risk indicators
Working knowledge of Archer is a plus, but not required
Exemplary business ethics

170

Operational Risk Analyst Resume Examples & Samples

Perform analysis on processes to determine risks and effectiveness of mitigating controls
Coordinate with team members and management on risk program activities and status
Convert data and concepts into information via summaries, reports and presentations
Execute multiple risk program activities simultaneously against established timeframes
Assist with education and training on risk program and requirements
Prepare appropriate documentation to support risk assessments and testing
Utilize internal risk software application for communication and documentation
Bachelor’s degree in Finance, Accounting, Business, or related program required
Prior financial industry experience in risk management, auditing, bank operations or project management required
Knowledge of Key Risk Indictors (KRIs) and tracking
Proficient use of Excel and PowerPoint for presentation and reporting required
Strong analytical and problem solving skills utilizing assessment and mitigation framework
Excellent interpersonal skills and a team player
Well organized and detail oriented to handle diverse and concurrent assignments
Strong aptitude for grasping and using various bank software applications
Must be able to work at a computer for extended periods of time

171

Operational Risk Analyst Resume Examples & Samples

At least 4-5 years experience in a control or similar risk management function
Exhibit strong written and verbal communication skills in English
Strong risk analysis, problem solving, project management and communication skills
Knowledge of business, regulatory and compliance requirements
Able to interpret and apply policies, standards and procedures, and technical requirements
Demonstrated ability to work effectively in a fast-paced, deadline-driving environment
Ability to work on several initiatives concurrently, to cope with changes in priorities with tight deadlines

172

Senior Operational Risk Analyst Resume Examples & Samples

Product knowledge and understanding of business/systems dynamics
Client centric environment and focus
High focus on details
Minimum Accounting knowledge
Banking products
BA / BS Degree with a strong operational/business background
Extensive years of core Banking Operations and Controls
Knowledge of Domiciliation and Trade
Fluent in French, Arabic language would be an advantage

173

Operational Risk Analyst Resume Examples & Samples

Provide process guidance and support to Third Party Officers (TPOs), Business Activity Owners (BAOs) and other business stakeholders on end-to-end Third Party Management requirements
Provide support to Citi businesses for the execution of third party risk management activities. For example, coordination of
Preferred 8+ years of direct, relevant experience in third-party risk identification and management, operational risk management, compliance and/or audit
Ability to interpret and apply policies, standards and procedures
Sound, deep knowledge of risk and control methodology and best practices
Strong attention to detail and excellent analytical, organizational and interpersonal skills
Excellent relationship management skills with ability to build partnerships across various lines of business

174

Operational Risk Analyst Resume Examples & Samples

Perform calculation for the quarterly AMA production process for regulatory and economic capital filing (including Schedule S filing and related vetting process) and the annual and semi-annual CCAR/DFAST filing process
Work with risk managers of various business units and other stake holders to address their requests for additional analysis based on specific needs as they arise
Work with Technology (CPT) on the need to address technology-related issues related to the testing or production in the UAT/Developer environment
2 + years experience in Financial Service industry, preferably in the field of Operational Risk modelling and quantification (direct involvement in the Basel II AMA and/or CCAR/DEFAST process is definitely a plus)

175

Procedure Analyst / Operational Risk Analyst Resume Examples & Samples

Review updates to procedures with analyst, team leads, and managers to identify any possible considerations that management and compliance should evaluate
Breaks down technical process flow charts and translating the data into easy to follow step by step procedures to complete day-to -day activities
Liaison with Training on procedure updates to ensure items are incorporated into the training maternal for new and existing employees
Participates in studies of new and existing programs and special projects to determine feasibility, resolve problems including organizational, procedural, technical and research and analysis; develops process and procedures to improve efficiency, cost-effectiveness, and/or improve internal and external customer service; prepares reports and written findings and recommendations; monitors changes
Liaison with the INC ticket team on items that are not addressed by technology solutions and need to be addressed through procedure or policy updates
Responsible for the development and maintenance of the CBSU Citi Collaborate CBSU Site
Partners with various AML partners for advisement and resolution of policy and procedural issues

176

Business Operational Risk Analyst Resume Examples & Samples

Support the Operational Risk Manager with the management and development of the Financial Controls Framework
Risk management facilitate and challenge on-going RCSA reviews, facilitate/document event reporting, develop controls, design and monitor KRIs and conduct assurance activity
Controls assurance work alongside the Business Operational Risk Manager to manage programme of assurance activity including: monthly balance sheet testing, key controls testing, spread sheet inventory management (EUC) and process flow documentation
Monitoring manage on-going monitoring controls around Control certification and Internal Audit recommendations, providing guidance to owners and escalating where appropriate
Reporting preparation of management reporting content for internal operational risk governance meetings
Project work specific project work to enhance control environment and assist in close out of audit points
Meetings attend relevant meetings and committees and provide relevant feedback/opinion and follow up on actions
On-going ad hoc duties as required to support the Head of Business Operational Risk

177

Operational Risk Analyst Resume Examples & Samples

Monitoring of the Operational Risk Policy implementation and operation in the business functions
Monitors risk databases to ensure consistency, accuracy and thoroughness
Captures and analyzes risk information from business partners across NABU
Captures and analyzes risk indicator data for completeness and evaluates appropriateness of established metrics
Prepares risk reports associated to the quarterly governance cycle
Performs qualitative and quantitative analysis of risk assessment results for quality, trends and themes, and for data that exceeds established escalation thresholds
Assists in the administration of the company’s corporate insurance program
Reviews external industry information for relevant risk related incidents, trends and emerging topics
Must maintain a high degree of confidentiality and professionalism
Strong organizational skills and the ability to handle multiple priorities
Strong project management skills with meticulous attention to detail and methodical, organized approach to managing assignments
Strong relationship management skills and the ability to work effectively with North American Risk colleagues, business area points of contact, and senior management
Strong team player who is also able to work independently
Advanced working knowledge of Microsoft Word, Excel, and Powerpoint
Ability to learn and use department specific reporting software
Ability to travel up to 10% as required
Bachelor’s Degree or equivalent experience and/or education strongly preferred
Insurance or financial services industry preferred

178

Assoc Operational Risk Analyst Resume Examples & Samples

Complete thematic or "deep dive" reviews as identified by Control Officer and agreed with coverage area management, and/or as requested by coverage area management
Significant Control Events – perform root cause analysis; evaluations of control metrics, trends, and related corrective action plans to prevent recurrence or other issues; review and sign-off on operational losses
MCA Program Management – work with the MCA team to assist in the coordination proactive identification of control issues; monitoring of MCA issues; and consistency of MCA execution
Issue/CAP Management – work with staff and Loans Operations management to: identify areas of concern and related risks; develop corrective action plans for significant issues; monitor and report resolution progress including periodic reviews with management; review support and ensure it adequately addresses closure of the issue; and proactive involvement in business meetings and walkthroughs to identify other control issues
Loss/Gain Event Management- Work with Ops mgmt to ensure all events are properly: assessed; documented; supported; and CAPs developed (present to senior mgmt and Independent Ops Risk)
Reporting – prepare reporting necessary to assist management in understanding outstanding risks and control activities and the status of corrective action; provide input for risk/control decks and required signoffs (e.g., Monthly Control Dashboards & Scorecards, Monthly Operating Review)
Ability to adapt to change

179

Rohq-frss-operational Risk Analyst Resume Examples & Samples

Good Presentation skills – Create presentation and comfortable with public speaking
BS Business Administration, Finance or Accounting, or equivalent experience
Ability to comprehend compliance policies, processes and guidelines with proficiency in risk and control related practices
Capable of providing vocal leadership in optimization of control practices for the business as well as and derive solutions to meet RandC framework
Ability to develop new ideas and improving current processes and proactively engages business and functional managers to mitigate risks
Strong knowledge of risks and controls for Financial Services companies
Ability to challenge in a collegial manner the existing conventions within FRSS
Able to identify trends and themes from high volume information sources and synthesize reports for easy consumption of senior business managers
Audit certification a plus
Sound critical thinking and analytical skills
Articulates concepts clearly
Effective communication (written and verbal) and be able to present information to various levels of management

180

Operational Risk Analyst Resume Examples & Samples

Build knowledge of how the Sanctions programs work
Gain knowledge of the policies and procedures that drive the Sanctions programs
Interface with Risk, Compliance, Legal, Business, Operations and Technology for projects
Ensure key risks and issues are identified, mitigated, and resolved
Gather business requirements and functional specifications for projects
Prepare and report project status on a regular basis, including metrics
Closely monitor different program progress and ensure timely completion as most efforts have Audit or Regulatory commitments
Participate in meetings with stakeholders to address issues/Corrective Action Plans
Escalate potential sanctions-related compliance gaps, issues or emerging risks to independent control functions
Understand sanctions compliance risks inherent in the business and the regulatory environment in which the business operates

181

Operational Risk Analyst Resume Examples & Samples

Execution oriented with strong attention to detail, accuracy, consistency and quality of results delivered
Ability to work under pressure and manage to tight deadlines or unanticipated changes in expectations or requirements
Excellent analytical, problem solving and critical thinking skills
Excellent presentation skills
Ability to work in a matrixed environment and partner with virtual teams
Ability to challenge the status quo where appropriate
Ability to build and foster internal relationships
Proven track record in delivery of multiple parallel initiatives is essential
Bachelor’s Degree and/or equivalent AML/ Risk & Controls experience
5-7 years relevant project experience in a Financial services environment with track record of success
Strong Project Management/analytical skills/working knowledge of the techniques for planning, monitoring and controlling programs and resources
Expert level proficiency in the Microsoft tool suite including SharePoint, Excel, Word, PowerPoint, Visio, and Project. Heavy use of Pivot Tables, VLookups and other advanced Excel functions
Knowledge of Consumer / Small Business banking business
Knowledge of Anti Money Laundering, Know Your Customer, Customer/Enhanced Due Diligence (CAMS Certification a plus)
Understanding of regulatory requirements
Valuing Diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organizational success

182

Operational Risk Analyst Resume Examples & Samples

As assigned supports the testing of Control Programs, such as business processes and activities, Third Party, Information Security, Business
Requires minimum knowledge of job area typically obtained through advanced education combined with experience
May have practical knowledge of project management
Requires 1 - 5 years prior relevant experience

183

Operational Risk Analyst Resume Examples & Samples

Meet with the business to create detailed corrective action plans within the Issue Capture Form for new issues
Responsible for entry of issues into issue staging repository (ETA - Escalate, Triage, Administer system)
Assimilate information from multiple sources to effectively document issue detail in the issue management system of record (iCAPs)
Update scorecard and issue system of record (or staging repository if issue is not opened in iCAPs) with closure information
Interface with CBORC peers and management to generate issue awareness, engage with Issue Managers and Control counterparts to build compensating controls, ensure proper issue escalation within CBORC
Direct end to end management of issues of lower severity including technical detail of issue summary, corrective action plans and dates, root cause analysis, obtaining buy-in from impacted groups, detailed status updates, ensuring milestone and CAP dates are met and escalating when necessary
Drive data quality and reporting standards in accordance with the CBORC policy to ensure that all relevant information, including issue definitions, root cause, remediation, and financial impacts, is captured accurately and is understandable to broader audiences
Bachelor's degree required, Masters preferred
5+ years of business experience, financial services industry and program management experience preferred
Risk control and/or compliance experience preferred
Ability to perform root cause analysis
Strong logical thinking

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Operational Risk Analyst Resume Examples & Samples

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