Oversight Analyst Resume Samples

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J Keeling

Jefferey

Keeling

7402 Savanah Square

Detroit

+1 (555) 504 8342

7402 Savanah Square

Detroit

Phone

p +1 (555) 504 8342

Experience Experience

Phoenix, AZ

Ibor Oversight Analyst

Phoenix, AZ

Dibbert-Morar

Phoenix, AZ

Ibor Oversight Analyst

Undertake technical reviews of the daily client reporting and key reconciliations to ensure client records and systems are accurate
Working closely with other relevant operational peers to ensure that process risks are minimised
Develop strong, pro-active relationships with all internal and external customers including client, offshore partners, client service and middle office teams
Play a role in future migration tranches
Investigation and resolution of complex queries and client queries in a timely manner
Lead internal calls across production sites in India and Warsaw on a daily basis to monitor performance and delivery to clients, and ensure issues are identified and resolved
Attendance at client calls

Phoenix, AZ

Cio-liquidity Risk Oversight Analyst

Phoenix, AZ

Robel LLC

Phoenix, AZ

Cio-liquidity Risk Oversight Analyst

Participate in the development and build-out of the liquidity risk management process and infrastructure
Provide liquidity risk analysis including liquidity stress tests, scenario analyses and ad hoc reviews of market or internal developments
Work with Treasury and Risk groups to develop and maintain liquidity risk reports and limit monitoring tools
Provide commentary on liquidity risk reports
Produce key risk analytic reports for senior Treasury management, business partners, various Risk committees and regulators
Knowledge of liquidity risk management guidance and banking regulations and practices in Asia
Analyze market and behavioral assumptions for liquidity stress testing

present

Philadelphia, PA

Operational Risk IT Policy Oversight Analyst

Philadelphia, PA

Shanahan and Sons

present

Philadelphia, PA

Operational Risk IT Policy Oversight Analyst

present

Provide subject matter expertise within ITRM on Online Banking Customer Security, Identity and Authentication Management, Fraud, and Information Security
Conduct/ support the various Regulatory and Cyber Risk Management assessments (GLBA, FFIEC MFA, etc.)
Uses best practices and knowledge of internal or external business issues to improve products or services
Measures risk and sets operational risk management policies (i.e.: value at risk model for day-to-day exposure)
IT/Information Security Policy/ Standards oversight (review/ challenge; analysis and tracking of exceptions; alignment to Regulatory Guidelines/Framework
May direct the work of other staff members
Evaluates alternative means of reducing the firm's exposure to catastrophic loss

Education Education

Bachelor’s Degree in Business Management

University of Massachusetts Amherst

Bachelor’s Degree in Business Management

Skills Skills

Excellent verbal and written communication skills, with ability to convey complex or technical information in an effective manner
Ability to convert business strategy into action oriented objectives and measurable results
Strong financial background with experience in revenue reporting, operational expense management, modeling and managing change control process
Ability to collaborate while dealing with complex situations
Ability to think creatively and to drive innovation
Ability to effectively communicate goals and business objectives to employees
Ability to effectively delegate work and manage project tasks
Ability to effectively interact with all levels of the organization
Strong organization and time management skills
Proficiency with Microsoft Suite of products (i.e., Word, Excel, PPT, etc.)

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15 Oversight Analyst resume templates

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Kiid Production & Oversight Analyst Resume Examples & Samples

Organise workload to complete tasks in good time to meet regulatory obligations
Support UCITS fund and share class launches / merger / closures from a KIID perspective
Work closely with the Product teams [SPM & iShares], Fund Registration & Listings,
Performance, Fund Accounting, and Legal & Compliance teams to ensure that the KIIDs have appropriate narrative content and that they are aligned with the latest prospectus
Ensure that the KIID documentation is kept up to date and accurately reflects all active and passive updates and triggers
Ensure that the KIID documentation is reviewed and signed-off by the appropriate internal parties within the required timeline
Support the strong governance and control framework in place across BlackRock by adhering to robust processes in place to meet all regulatory and statutory obligations
Work with team manager, stakeholders and technology to streamline processes and improve service levels
Monitor regulatory breaches and ensure these are escalated promptly with the Compliance and Operational Risk teams, and resolved appropriately
Prepare papers for KIID Committee meetings and to Fund Boards
Ability to work effectively and efficiently with large volumes of data
Highly proficient in Excel and MS application skills
Understanding of funds and the investment management industry, with experience working in the funds management environment. Regulatory/ Compliance experience experience relating to KIID or UCITS funds generally would be an advantage
Will ideally have worked in a production area that has been successful at accommodating high volumes and low tolerance for error

NAV Oversight Analyst Resume Examples & Samples

The US Fund Accounting NAV Oversight Associate will lead and assist in all functions related to US Mutual Funds daily accounting, custody, NAV oversight and board reporting
Conduct daily functions using appropriate controls in accordance with the Funds accounting and procedural policies
Participate and lead in the coordination of a products life cycle implementation (fund launches, mergers and liquidations)
Manage custodians, brokers, vendors and various internal departments to resolve operational, valuation and accounting issues
Train team members
Oversee and manage liquidity facilities and daily compliance requirements
Communicating with all levels of management
Complete tasks in an accurate and timely manner
Set or refine priorities as business needs change
Develops broad expertise, capabilities and perspective to lead function
Bachelors degree is required
3 to 6 years of equivalent work experience in the Mutual Fund Industry
Minimum of 3 years experience in Mutual Fund Accounting or Administration preferred
GAAP experience preferred
Knowledge and/or production of board reporting preferred
Vendor oversight required
Mutual fund regulatory and tax knowledge preferred
Knowledge of Mutual Fund security valuations
Ability to interact with all levels of the organization
Excellent computer and communications skills
Security corporate action knowledge preferred

Fiduciary Oversight Analyst Resume Examples & Samples

Establish and manage procedures needed to maintain the investment guideline monitoring process. Work with Technology and the business to ensure that Fiduciary Oversight has the required tools to manage its processes
Identify and interpret investment guidelines from the governing legal documents, internal policies and law, in consultation with Legal and Compliance. Work closely with portfolio managers, legal and compliance to ensure that all fiduciary issues are resolved timely and in accordance with governing rules, regulations and industry best practices
Create and perform tests to validate that the guideline monitoring system is performing with accuracy. Provide accurate information to regulators (OCC and SEC) and auditors (internal and external) when requested
Code, test and implement client guidelines in Charles River, including the review of the initial contract and subsequent updates
Ability to analyze complex products and determine methods to monitor these activities
Expert knowledge with Charles River or equivalent Compliance system
Thorough product knowledge in Investment Management and Banking products including Fund of Funds and Hedge Funds
Ability to review advisory accounts to ensure advisors are meeting regulatory and corporate guidelines as well as client's individual investment objectives
Minimum of 10 years experience
Business Administration or Accounting degree

Transfer Agency Oversight Analyst Resume Examples & Samples

Responsible for the day to day relationship with BlackRock’s Third Party Transfer Agents, acting as a primary contact for both internal and external parties
Responsible for the investigation and resolution of day to day operational queries, issues and incidents
Responsible for the completion of key daily tasks in relation to the provision of accurate cash flow information to Portfolio Managers and EMEA Retail via Aladdin Dashboard monitoring
Responsible for monitoring the performance of the service provider
Completion of oversight checks on specific activities at the TA to ensure compliance with agreed service criteria
Assist with annual due diligence visits to the provider in conjunction with BlackRock’s Risk and Compliance functions
Management of issues and incidents, conducting root cause analysis and ensuring appropriate remedial steps are clearly defined and assigned to mitigate risk
Candidates are likely to have gained experience of a Dealing/Box Management of dual and single priced funds within an asset management or fund administration environment
Ideally some professional experience after graduation and/or a post-graduate degree in a related field
A strong working knowledge of FAST and AWD, and or other Transfer Agency platforms would be desirable although not essential
A sound working knowledge of MS Office products is essential
Experience in using Outlook
Degree or equivalent in a related field

Gf-remedial Management Oversight Analyst Resume Examples & Samples

Work closely with the Global Remedial Region Head and in-country remedial teams in managing the criticized/ classified portfolios of countries in the ASEAN region
Responsible for Cost of Credit analysis (actual/ plan/ forecast)
Responsible for coordinating and follow up of High Risk Reviews
Responsible for gathering, analyzing portfolio data, rapid portfolio review and stress testing exercises, Double Jump and Lessons Learned, working with in-country Independent Risk teams
Responsible for assisting in the implementation of MCA and Global Remedial standards in the countries
Handle smaller remedial accounts with OSUC ranging from US$1MM to US$2.5MM as the need arises
Work with more experienced members of the Remedial Team on Special Mention Assessments, FAS 114 analyses, CCR preparation/ reviews and special projects
Excellent analytical skills (with associated proficiency in Microsoft Office Suite or equivalent). Credit analysis skills including collateral analyses, real estate appraisals, equipment valuations and asset searches are an added advantage
Excellent execution and implementation skills
Paramount communication, negotiation and presentation skills with ability to synthesize arguments in a logical and rational manner
Ability to work well under pressure in an ever-changing environment
Bachelor’s degree with 5+ years of Banking experience. Stints in Risk and/ or Remedial capacities preferred

Cio-liquidity Risk Oversight Analyst Resume Examples & Samples

Support assessment and control of liquidity risk for all legal entities in a number of countries in APAC
Provide commentary on liquidity risk reports
Provide liquidity risk analysis including liquidity stress tests, scenario analyses and ad hoc reviews of market or internal developments
Work with Treasury and Risk groups to develop and maintain liquidity risk reports and limit monitoring tools
Produce key risk analytic reports for senior Treasury management, business partners, various Risk committees and regulators
Analyze market and behavioral assumptions for liquidity stress testing
Participate in the development and build-out of the liquidity risk management process and infrastructure
Interact and partner with Lines of Business and other corporate functions in order to obtain data, understand and analyze potential liquidity risks implications
Contribute to responses on regulatory requests regarding liquidity risk
Minimum 3 years experience in risk management: liquidity/treasury risk, market risk and/or trading of fixed income products
Eager to learn and able to quickly understand new and complex issues
Ability to handle multiple projects at once and deliver results under tight time constraints
Understanding of stress testing and experience with stress construction
Understanding of the governance and controls surrounding treasury functions and liquidity risk monitoring
Knowledge of liquidity risk management guidance and banking regulations and practices in Asia

Fiduciary Oversight Analyst Resume Examples & Samples

Provide accurate information to regulators (OCC and SEC) and auditors (internal and external) when requested
Compliance and compliance systems experience within banking / asset management·
Knowledge with Charles River or equivalent Compliance system
Thorough product knowledge in Investment Management and Banking products, including Fund of Funds and Hedge Funds
Ability to review advisory accounts to ensure advisors are meeting regulatory and corporate guidelines as well as client's individual investment objectives. ·
A good understanding of risk and control framework. Attention to detail, with some regulatory background, both securities and banking environments. ·
Must be able to work effectively in a demanding, fast-paced, fluid environment, handling multiple tasks and projects concurrently while maintaining the highest standards and exceptional attention to detail. ·
Good administrative and business writing skills. ·
Minimum of 7-10 years related experience. ·

Servicing Oversight Analyst Resume Examples & Samples

For each of the processes identified in the Vendor Oversight Procedure, assess the vendor’s key controls by reviewing the applicable policies and procedures and create / expand process test scripts as needed
Perform testing of key processes for compliance with the applicable policies and procedures, regulations and contractual agreements
Identify and detail any discrepancies in the appropriate work papers
Monitor quality findings and their resolution with the vendor. Conduct follow-up to ensure receipt of required support and appropriate response to identified exceptions
Escalate relevant problems and issues identified to management
Prepare timely documentation and reporting of test script results
Recommend efficient and effective processes for managing risk
Bachelor’s degree or equivalent mortgage servicing experience
Minimum 5+ years’ experience in the mortgage servicing industry
Strong understanding of Residential Mortgage Servicing, including Loan Administration and Default Management
Experience in creating and executing test scripts required
Knowledge of the regulatory environment relating to Mortgage Servicing preferred
Ability to work independently with attention to detail
Proficient with Microsoft Office Suite of products (Word, Excel, PowerPoint)
Good Communications skills both verbal and written

Discretionary Oversight Analyst Resume Examples & Samples

Assists with new account / Investment Policy statement review
Identification of guidelines to be added to the oversight monitoring system
Handle escalations arising from daily, weekly and quarterly procedures managed by team, including alert and guideline management, and escalated exception reports requiring review and action to ensure compliance with program, firm and regulatory policies
Alerting Investment Officer or FA team responsible for violations. Gathering, when necessary, notes outlining why the holding is out of parameter and filing
Monthly and quarterly reports that are compiled and sent to product teams monthly and senior managers quarterly for various Committee meetings
Liaise with PAS Investment Committee as it relates to new account approvals
1-3 years of financial services experience required with strong knowledge of Wealth Management and the advisory business
Strong work ethic and detail orientation with an ability to multi-task and handle multiple priorities
Strong written, verbal and interpersonal skills, including the ability to interact effectively with Legal, Risk, Audit, as well as Financial Advisor teams
Flexible attitude with the willingness to expand, create and institute new projects and ideas
Self-motivated, with a high level of initiative and ability to work efficiently and independently
Specific experience in Risk, Compliance and / or Audit a plus
Significant expertise using Microsoft Excel, Outlook, Word and PowerPoint
Paralegal degree/experience preferred
Series 7 and 63 required, willing to take and pass the Series 66

Securities Settlements Oversight Analyst Resume Examples & Samples

A detailed understanding of, and exposure to, a wide range of markets, products and stakeholders from previous experience of working in an investment bank or broker/dealer environment
A strong sense/awareness of market developments and initiatives
Excellent written and oral communication skills enabling the individual to liaise effectively and share information with Nomura senior management and other key stakeholders throughout the industry
Confidence to represent the department at any relevant internal or external meetings
Ability to provide oversight to extended teams as required to facilitate control/change/improvement
A self motivator who is able to work proactively to identify opportunities for process improvement and/or and realising cost save
A strong sense of customer service and the abilty to prioritise workload and the expectations of internal clients
Must have good analytical skills and a strong attention to detail. The ability to question existing practises/procedures, ensuring efficiency and recognition of streamlining opportunities are all key
Strong skills in Word, Excel and PowerPoint preferred

Dividend & Income Control Oversight Analyst Resume Examples & Samples

Strong technical knowledge of front to back dividend processing and the workings of all cash components of a dividend
Demonstrated track record of managing risk across all aspects of dividends/income
Experience in risk management processes
Experience of managing offshore teams and processes
Are proficient in front to back processing of divided/income events, be able to risk manage events and process the event from event capture to final reconciliation. Candidate should be able to recognise risk and escalate where necessary to senior management
Have strong interpersonal skills, ability to communicate at all levels
Control - exhibits an appreciation of the risk impact of actions undertaken. Strong risk management focus
Displays a high attention to detail
Ability to anticipate problems and potential risk
Experience processing dividends at an Investment Bank
A team player with a high level of commitment and enthusiasm
A strong front to back process understanding and the control environment and the associated risks
Good analytical skills and the ability to develop effective solutions to support new business initiatives, market and regulatory changes

Ibor Oversight Analyst Resume Examples & Samples

Daily reviews of MI and KPI’s to ensure accuracy and timeliness are being maintained. Ensure negative trends are identified and actions and plans are implemented to resolve
Lead internal calls across production sites in India and Warsaw on a daily basis to monitor performance and delivery to clients, and ensure issues are identified and resolved
Investigation and resolution of complex queries and client queries in a timely manner
Play a role in future migration tranches
Attendance at client calls
Actively look for efficiencies across all of the production sites
Develop strong, pro-active relationships with all internal and external customers including client, offshore partners, client service and middle office teams
An in depth knowledge of the daily operations process
Relevant systems knowledge including Multifonds and Excel
Experience of analysing data and reconciliations
Quality assurance/checking
An understanding of our clients businesses and our impact on them
Highly numerate and accurate
Financial understanding and analytical skills

Operational Risk IT Policy Oversight Analyst Resume Examples & Samples

Evaluates alternative means of reducing the firm's exposure to catastrophic loss
Measures risk and sets operational risk management policies (i.e.: value at risk model for day-to-day exposure)
Implements risk valuation models
Informs traders and other specialists on local and global risk exposure
Takes a new perspective using existing solutions
Ability to work independently and solve complex problems with minimal guidance
Background and/ or experience in one or more of the following areas; Online Identity, Authentication, Fraud, Risk Management, Information Security, IT Audit
At least 5 years of experience directly related to the area of online banking, information or cyber security, Identity Management, Authentication and Fraud, preferably in the financial services industry. IT Audit experience in the areas described would also be acceptable
Excellent relationship management skills and problem resolution
Experience in managing and prioritizing multiple tasks in an effective manner
Ability to work independently without daily direction
Strong Project and Program Management skills
Experience with Online Banking or eCommerce functions and controls
Good understanding of Information Security controls throughout the various layers of the IT infrastructure
Good understanding of emerging Information Security risk including risk posed by malicious actors
Experience conducting GLBA Risk Assessment a plus

Portfolio Oversight Analyst Resume Examples & Samples

Portfolio risk monitoring and reporting, preparation of customized portfolio analytics
Ownership of oversight and quality assurance of data management processes
Ensuring compliance with regulatory requirements; support periodic reviews and compliance audits
Conduct financial analysis of asset classes and of strategies used by active managers
Interest in statistical modeling and its application to finance, portfolio optimization, analysis of active managers
Ability to program in high-level languages (such as Matlab, R and XL/VBA)
Able to work in a fast-paced and challenging environment; a team-player
Strong verbal and communications skills
A Masters’ degree in Financial Engineering/Computational Finance
Ability to be self-motivated and a desire to learn new skills and products
Series 7 and 66 required or obtain within 120 days of hire; CFA desired but not required

F-fighter Maintenance Oversight Analyst Resume Examples & Samples

5+ years of experience with fighter aircraft maintenance practices
Experience with providing oversight on security
Related projects or policies
16 unit deployments
16 aircraft maintenance

F-maintenance Oversight Analyst Resume Examples & Samples

Experience with active duty military personnel
Experience with F
BA or BS degree in a related field preferred; MA or MS degree a plus

Market Oversight Analyst Resume Examples & Samples

Carry out daily operational tasks relating to open interest and position reporting to the Exchange by its Members
Preparation of reports analysing trading patterns and behaviour
Assisting in the compilation of evidence for formal investigations
Data analysis for ad hoc projects
Advising Members and clients of Exchange Rules and Procedures as required

Central Review Unit IPS Discretionary Oversight Analyst Resume Examples & Samples

New account / Investment Policy statement review
Assists with creation of attestations if needed
Effective written and verbal communication skills, including the ability to interact effectively with Legal, Risk Audit, and Financial Advisor teams
1-3 years of industry experience

Risk Oversight Analyst Resume Examples & Samples

Establishing and overseeing the application of risk oversight framework and governance processes for Collections and Acquisition
Independently validating the implementation of credit risk policies and working with stakeholders to improve practices and controls
Ensuring policy adherence and risk mitigation programs offered
Periodical testing of policy adherence across all areas of credit life cycle through SAS based exceptions reports and sample based checks
Manage periodical governance forums across all areas of credit life cycle
Liaising with business stakeholders primarily product in-business control, compliance, product risk managers and credit operations for implementation of controls and mitigating measures to prevent risk policy breaches
Review of internal and external audit reports to assess the strength of risk oversight framework
Other business jobs or responsibilities as defined by the manager
Minimum of 2 years in a similar role (Oversight/Quality Assurance/Operational Risk/Audit)
Ideally 3-5 years relevant experience in Financial Services with track record of success
Knowledge of Consumer lending preferred
Analytical, problem solving and critical thinking skills
Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas
Ability to present to and facilitate discussions at stakeholder level
Execution oriented with strong attention to detail
Ability to work under pressure and manage to tight deadlines or unexpected changes in expectations or requirements
Proven track record of operational process oversight/assurance

Capital Projects Oversight Analyst Resume Examples & Samples

Knowledge of the services provided by King County and Washington State public works contracting
Best practice knowledge and experience with project planning, management, and construction
Conducting complex quantitative and qualitative analysis, best practice research, and developing practical findings and recommendations for project managers and decision-makers to improve outcomes on capital projects
Writing and reporting that effectively communicates information to decision-makers and the public
Adaptation to diverse work styles, promoting teamwork, and facilitating group discussions
Working on multiple complex projects and using effective time management, with minimal levels of supervision
Facilitating constructive working relationships with elected officials, executive branch staff, and other stakeholders in situations that may be sensitive, high risk, and publicly visible

Lead Oversight Analyst Resume Examples & Samples

Ensure the Quality, Training and Knowledge Management functions performed by the delegated entity are in accordance with the established metrics through the facilitation of regular business reviews
Collaborate with delegated entity to oversee short and long cycle continuous improvement loops – systemic reviews for immediate change from user feedback and quality observations (improving Knowledge) and longer term change regarding skills development and curriculum management (improving Training)
Oversee the development and maintenance of training curriculums and documentation. Ensure all training program activities, training objectives, and new hire performance goals are met within given timeframes
Sponsor a portfolio of initiatives derived from Quality, Training and Knowledge Base feedback to promote continuous improvement
Oversee third-party surveying for first call resolution (FCR) and Customer Satisfaction
Oversee improvement efforts for Member Touch point Measures (MTM): First Call Resolution, Inquiry Timeliness and Inquiry Accuracy. Monitor the program, review all potential errors for appeal, and sponsor corrective action plans, as necessary
Responsible for divisional-level Risk and Compliance practices and reporting, including but not limited to: NCQA reporting, CMS Medicare Part C and Part D dissatisfaction call reporting, Enterprise Risk Management risk portfolio reporting, Compliance Policy & Procedure reviews
Minimum Education and Experience
Bachelor’s degree in Business Management, Business Administration, Finance, Economics or related field; or an equivalent combination of education and experience
Seven to ten years of experience in a combination of operations, training and knowledge management, learning and development and vendor management
Experience managing training and knowledge management process for contact center
Experience in health insurance
Experience implementing and supporting knowledge management program
Proven record of quantifying risk and financial exposure
Experience working within vendor-client relationship model
Strong financial background with experience in revenue reporting, operational expense management, modeling and managing change control process
Ability to collaborate while dealing with complex situations
Ability to think creatively and to drive innovation
Ability to effectively communicate goals and business objectives to employees
Ability to convert business strategy into action oriented objectives and measurable results
Strong and effective decision-making skills
Proficiency with Microsoft Suite of products (i.e., Word, Excel, PPT, etc.)
Ability to effectively interact with all levels of the organization
Ability to effectively delegate work and manage project tasks
Excellent verbal and written communication skills, with ability to convey complex or technical information in an effective manner