Regulatory Risk Resume Samples

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H Gutkowski

Harold

Gutkowski

62033 Ferry Stream

New York

+1 (555) 103 8884

62033 Ferry Stream

New York

Phone

p +1 (555) 103 8884

Experience Experience

Detroit, MI

Regulatory Risk Group Manager

Detroit, MI

Dicki-Conn

Detroit, MI

Regulatory Risk Group Manager

Creating agendas for, leading and producing minutes for the ten monthly Basel Retail region/business program status meetings
Working knowledge of Basel III credit risk concepts and related RWA calculation
Maintaining and adjusting the program governance structure as the program matures and management priorities evolve
Helping to ensure sufficient governance for the Basel Retail program at the business and region level
Tracking and reporting of corrective action plans to address findings from regulators and internal and external audit teams
Tracking of regulatory and IA requests and follow-ups for Basel retail
Risk Data Governance Council and data quality working group meetings

Philadelphia, PA

Regulatory Risk & Control Specialist

Philadelphia, PA

Lockman and Sons

Philadelphia, PA

Regulatory Risk & Control Specialist

Working with business lines to develop remediation plans, for control issues/deficiencies and track issues to closure
Acting as a role model and promoting a culture of high performance, ensuring effective people management
Conducting root cause and trend analysis around operational issues and highlighting any areas of concern to both operational and control management
Working closely with the Asian and American teams to ensure consistency in approach
Performing focused deep dive risk assessments on specific Technology functions in response to internal and external risk events and pro-active triggers
Producing regular and ad-hoc Management Information (MI), analysis and insight to clearly display progress to targets
Contributing to the development and implementation of mitigation or control solutions

present

Philadelphia, PA

Regulatory Risk Senior Manager

Philadelphia, PA

McCullough, Stanton and Watsica

present

Philadelphia, PA

Regulatory Risk Senior Manager

present

Data analysis – analyzing, validating and documenting system feeds and calculated results
Tracking and status reporting via various processes and to multiple governing bodies
Reporting – creating senior-ready dashboards and risk reports
Partnering with GFTS and FRI to ensure the Operational Risk infrastructure effectively and efficiently supports operational risk processes and functions
Effective management of program management processes to ensure timely and proactive 1) identification of program issues and risks and 2) development and execution of mitigation/resolution plans
Support the PMO by ensuring that all risks and issues are communicated effectively
Familiarity with stress testing methodologies such as CCAR, DFAST etc

Education Education

Bachelor’s Degree in Business

Belmont University

Bachelor’s Degree in Business

Skills Skills

Strong interpersonal skills and the ability to foster a collaborative environment
Ability to work in fast-paced environment with multiple deliverables and ad-hoc requests
Demonstrated ability for problem solving, intellectual curiosity, independent work and attention to detail
Highly motivated with the ability to multi-task productively
Ability to consistently produce high quality work, fine-tuned to the audience
Strong ability to comprehend complex Risk and Financial systems and processes
Excellent presentation and communication skills
Proficiency in all Microsoft Office tools
Develop a strong working relationship with Risk, Finance, Operations and Front Office counterparts across the organization
Excellent written and verbal communication skills including the ability to communicate effectively in a high pressure environment as meetings will involve senior members of each business

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15 Regulatory Risk resume templates

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Accounting, Regulatory & Risk Associate Resume Examples & Samples

Strong PC skills in use of Excel, PowerPoint & in house systems such as Omega, Genesys, Reporting Cubes
Strong Access skills
Experience in project work

Regulatory Risk Senior Group Manager Resume Examples & Samples

Innovation in Analytics and Risk Systems
Ensure Citi’s credit and market risk systems initiatives meet Business, Regulator, Audit and Credit Policy requirements and resolve flagged issues
Perform targeted business analysis to validate, verify and document requirements with the global trading businesses
Work with our Technology partners to develop and maintain both long-term and tactical project plans, identify and communicate key project risks and work with Risk Centers and finance on testing and roll-outs
Improve Stability and Lower Cost through the Analytics and Risk Systems Management Offices
Ensure business and regulatory requirements are delivered, assist with development needs, develop necessary project plans, identify and communicate key project risks and manage open issues to resolution
Support key decisions with detailed market, credit, trade and counterparty analysis
Support more effective and timely decision making across the global Risk Organization and work with all risk disciplines
Coordinate efforts with Risk Methodology teams
Minimum 10+ years of hands on program management experiences in top financial services organizations
Strong project management experience with accountability for delivering cross functional initiatives
Must be well organized and able to direct a small team to meet stakeholder delivery commitments
Advanced degree in quantitative field such as Math, Statistics, Physics, Computer Science is essential

Avp-regulatory Risk Program Manager Resume Examples & Samples

Innovation in Market Risk Systems
Ensure market risk systems initiatives meet Business, Regulator, Audit and Credit Policy requirements and resolve flagged issues
Perform targeted business analysis to validate, verify and document requirements with the global trading businesses
Minimum 5 years of hands on program management experiences in top financial services organizations
Proven analytical and problem solving skills with in-depth understanding of financial models, especially interest rate, FX, Equity, Commodity, Credit Derivatives models and the latest developments in the Basel III, CVA and CCAR
Must be able to communicate and interact effectively with clients, project managers and IT stakeholders
Must be well-organized
Undergraduate degree in quantitative field such as Math, Physics, Computer Science is essential

Regulatory Risk Business Analyst Resume Examples & Samples

Strong analytical skills with the ability to look at and understand large sets of data and utilize the information found in that data to identify problems or resolve issues
Comfortable looking at the details of the data yet able to understand the bigger picture and where this data fits in the larger strategic solution
Background in systems design and integration along with the ability to propose and deliver automated solutions to existing manual processes
Ability to work with business and technology to design, test, execute and deploy technology solutions
Ability to write business requirement documents for technology with sufficient depth and clarity for developers to act on requirements
Understanding of financial and risk reporting and prior regulatory reporting experience desired
Team player with good communication skills, written/verbal skills and ability to work with both small and large teams
Collaborative work style and ability to work with a variety of people/functional areas resulting in high quality and timely deliverables
Highly motivated and self-driven with the ability to multi-task productively and to work independently as well as collaboratively

Regulatory Risk Senior Manager Resume Examples & Samples

More than five years experience in the financial services industry; risk/business/finance experience preferred
Knowledge of traded products with exposure to these risk factors: rates, currencies, credit, commodities, equities
Excellent written and verbal communication skills including the ability to effectively communicate and collaborate with the various CCAR and functional teams (e.g. risk, finance, analytics, technology)
A high degree of competence with Excel, Access and PowerPoint, as well as the ability to work under pressure will be critical

Compliance Regulatory Risk & Controls Resume Examples & Samples

Take a leading role in identifying and mitigating key and emerging areas of conduct risk
Work with colleagues globally, building relationships with senior management across the business
Develop and mentor more junior members of the team
Bring their own insights and ideas to enhance the existing framework; and
Develop their career within a formal structure of career progression
Working with the Head of Thematic Monitoring to ensure on-going and proactive relevance of the monitoring framework and program
Leading on the delivery of core components of the thematic monitoring framework, taking ownership for substantial sections of monitoring program
Preparation, delivery and write-up of regulatory monitoring reviews on a timely basis and interaction with key business stakeholders across the lifecycle of the review
Presentation of findings and recommendations to senior management
Proactive engagement of the business, and coordination with other control functions
Development of periodic Board and Committee reporting
Representing Regulatory Risk and Controls at internal meetings
Supervision and coaching of junior resources in the team
Proven track record of executing deep dive regulatory or compliance reviews at a firm/Big 4 consultancy/regulator
Previous experience of designing and implementing internal control or compliance monitoring frameworks
Previous experience working for an asset manager preferred
Up-to-date understanding and awareness of FCA requirements
Previous experience in developing rigorous Board and committee reporting, and other relevant MI
Adherence to deadlines and ability to prioritize workloads
Ability to work as part of a team in a fast-paced environment

Regulatory Risk Senior Manager Resume Examples & Samples

Data analysis – analyzing, validating and documenting system feeds and calculated results
Reporting – creating senior-ready dashboards and risk reports
Identify and communicate key project risks, define mitigation strategies and manage to resolution
Familiarity with stress testing methodologies such as CCAR, DFAST etc
Highly capable in driving change and innovation to deliver
Willingness to ask questions and challenge existing processes for operational efficiencies

O&t Regulatory Risk Officer Resume Examples & Samples

Manages the EI Regulatory Program responsible for implementation of EI Archer Regulatory Portal as a centralized repository of regulatory data for EI businesses. Partnering with Corporate Compliance EI Regulatory Risk team disseminates regulatory news/changes to EI businesses and works with EI businesses to ensure controls are in place to comply with applicable regulatory requirements
Governs and facilitates Country Regulatory Clearance process for EI Cross Border initiatives, including establishing EI wide guidelines, managing relationship with O&T Data Privacy Office and leading clearance efforts for strategic initiatives
Provides governance for EI Export Compliance program to ensure that all exports and re-exports of technology that occur within EI are conducted in compliance with US Export Control regulations. This role will provide leadership and oversight for regulatory processes within EI, with a specific focus on outsourcing and cross border clearance
Professional Certifications Required or will be expected to acquire: (CISA, CIPP)
Other: Strong knowledge of Citigroup policies/standards

Regulatory, Risk & Controls Business Analyst Resume Examples & Samples

Oversee the status of Compliance and Risk Controls in the Risk and Finance Technology group, ensure that relevant processes are followed by projects and operate teams
Lead, oversee or contribute to projects aiming to apply missing Compliance and Risk Controls in Technology space
Collect, compile and present Compliance Controls updates to APAC Technology Council groups
Provide regular updates on projects and overall status of Compliance and Risk Controls to stakeholders
Engage in the Technology Council work group, provide support for requests related to Compliance and Risk controls for countries in APAC
Lead or assist on audit engagements covering Risk and Finance Technology functions including risk assessments, RFI response, coordination with key stakeholders, control evaluation, and follow-up and verification of issue closure
Proactive coordination/interaction with the Compliance, Risk and Technology teams for on-going request
Communicate risk controls status to management and identify opportunities for improvement in the design and effectiveness of key controls
Accountable for meeting deliverables, adhering to department and professional standards and utilizing consistent methodology
Provide ongoing continuous monitoring and relationship management for certain key Risk and Finance Technology
Be prepared to travel to APAC locations internationally (5%)
At least 5+ year’s of risk and compliance experience or relevant financial services industry experience
Good understanding of information technology space, with focus on Compliance and Risk related aspects
Proven ability to be able to multi task, complete projects on time and on budget, and adjust to changing priorities
Strong analytical skills particularly in regard to assessing the probability and impact of Compliance Control weakness
Proficiency in data analysis and report preparation
Proven ability and desire to learn quickly, be flexible and think strategically
Excellent communication (i.e., verbal and written) and interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change
Enthusiastic, self-motivated, effective under pressure and willing to take personal responsibility/accountability
Minimum Bachelor’s degree in Computer Science or related or related discipline, technology background preferred

Ccar Regulatory Risk Analytics Reporting Resume Examples & Samples

Working with stakeholders to perform gap analysis, and create requirements for business process, capability, and technology-enabled infrastructure changes for FR Y-14A/Q/M reporting of wholesale loan credit losses, AFS-HTM OTTI / OCI, counterparty credit risk
Socializing and obtaining approval for the requirements and prioritization of implementation plan
Ensuring timely and quality development of capability / process / infrastructure support for reporting lifecycle, i.e. data sourcing, aggregation / reconciliation, governance and control checks, substantiation, attestation, review & challenge, assumption / input / results overrides, management briefing / signoff, and documentation
Working with Production Risk Reporting team on transition to BAU
Leading identification and resolution of issue / risk / dependency by promoting collaboration with SMEs and other stakeholders
Enhancing monitoring / control framework for early identification of risk / issues / dependencies, expediting resolution development by promoting collaboration within CCAR program team and SMEs
Staying abreast of regulatory, accounting changes to lead change management
Sharing best practices, collaborating with Risk Octon Data and Analytics, and Scenario Development teams and Risk Project Management to maximize transparency and influence program delivery
Highly analytical and willing to work through root cause analysis on process, capability, and data issues; and to effectively facilitate collaboration on resolution
Experience in data analytics, control, reconciliation and remediation is highly beneficial
Driving excellence in his/her own projects and peers
Willingness to challenge existing protocols, and influencing stakeholders to drive changes
Track record of multitasking and successful delivery on strategic or tactical projects, within Risk, Finance, or Product Control
Credit / Risk management experience
Effective and professional verbal and written communication
Collegial, transparent, and proactive to team building and knowledge sharing

Regulatory Risk Senior Manager Resume Examples & Samples

Should have 5-10+ Years of Risk/Banking experience or similar
Preferably should have 3-5 Years of Business Analysis/ requirement gathering experience
Should have understanding of process related with “Extension of Credit.” This involves initiation of a credit request, analysis of customer and approval of the request
Should have experience in strategic planning, execution and project management. Knowledge of contracting, negotiating, and change management
Experience of managing global teams will be preferable
Should have good communication skills
Should be an expert with Excel and PowerPoint
Should have proven track record in managing in rapidly changing environments, flexible mindset, ability to place substance over form, and work with complex systems with lots of integration points and keeping a mindful of all ends
MUST have experience as test lead with experience in SDLC, test strategy, testing resource management
Should have professional written and verbal communication and interpersonal skills

Sterling Capital Management Regulatory & Risk Management Analyst Resume Examples & Samples

Review, support and document internal regulatory and other risk management controls (e.g., Line of Business Risk Assessment (LOBRA)/Risk & Control Self-Assessment (RCSA) and conduct regulatory, risk management and IT policy reviews for accuracy and appropriateness to Sterling Capital’s business. Plan and direct business analysis and risk modeling, and recommend alternative business processes to mitigate regulatory and financial risk
Apply, maintain and develop applicable risk and financial management policies and procedures, including business risk documentation and appropriate internal controls to ensure compliance with corporate and financial regulatory standards. May be responsible for introducing and communicating, with formal training if necessary, new procedures and revisions to any existing procedures
Support internal and external audits and serve as a point of contact for BB&T Risk Management and Internal Audit (including Archer)
Conduct risk assessments of potential vendors and support vendor management activities and controls (e.g., Hiperos)
Work collaboratively with internal and external cross-functional partners (e.g., Compliance, Risk Management, BB&T Corp, Audit) and other lines of business to understand and address key business challenges as it relates to financial and regulatory risk
Continuously monitor and review changes in the regulatory environment. Interpret and assess existing or recently implemented regulatory policies as necessary and provide feedback to executive and department leaders to ensure that all aspects of business operations are in compliance
Maintain and continuously update a list of open risk and audit issues, and work with all Sterling Capital offices to drive resolution and ensure corporate and regulatory requirements are met
Work effectively in a team environment and communicate complicated material in a clear and concise manner to peers and multiple levels of management on financial, regulatory and risk management matters. Make recommendations for improvements to enhance regulatory and financial risk management
Reassess priorities and meet deadlines in a constantly changing environment. Must be able to provide support for various current projects
Assist in various analyses looking for patterns, trends and failures in internal controls and assist with recommendations for process and procedures to correct identified gaps
Bachelor’s degree or equivalent education, training and work-related experience
Strong understanding of the financial services industry and regulatory/risk management framework
Experience with standard audit methodologies and approaches
Experience in policy and procedure writing
Strong interpersonal skills and written communication skills
Seven years of financial services or related experience
Strong analytical, cognitive, conceptual, critical thinking and organizational skills
Capable of successfully managing multiple projects concurrently
Strong administration skills, including solid organizational and team building abilities; ability to lead, motivate, mentor and train
Strong work ethic, consistent follow through and positive attitude
Experience in business process analysis and risk modeling
General understanding of the registered investment advisor (RIA) industry
Ability to understand and identify ways in which risk presents itself within the RIA framework
Professional designation, such as Certification in Control Self-Assessment (CCSA), Certification in Risk Management Assurance (CRMA), Certified Public Accountant (CPA), Certified Management Accountant (CMA) or Certified Internal Auditor (CIA)

CIB Controls Regulatory Risk & Controls Resume Examples & Samples

Project scoping, impact assessment, initiation & governance; ability to rapidly partner with Compliance, Legal, Finance, Operations & Technology representatives to provide solutions to regulatory requirements & drive project delivery
Interpretation of and impact assessment of regulatory requirements. Impact assess requirements, define & deliver solutions to meet the spirit and detail of requirements
Assess options & provide recommendations, including identifying when strategic solutions can be leveraged & identifying controls and operating models required when tactical solutions demanded
Champion and drive the regulatory projects agenda with the global team, and co-ordinate a globally consistent model
Interlock with partnering workstreams to manage budget & prioritisation of delivery
Definition and execution of a project operating model to ensure efficient & effective delivery across multiple teams in an Agile development environment
Prioritisation of the delivery plan (product backlog management) ensuring multiple disparate teams deliver against our core requirements, and directing the priorities of feature teams as necessary
Definition & execution of regulatory operating model to transition into BAU, taking into account change control and ownership
Delivering on the regulatory commitments
Addressing high profile, high impact, cross line of business regulatory demands
Candidate should have deep background in banking, with a strong understanding of the products and markets in which the CIB operate
Experience working with the regulatory agenda, ideally with Recovery and Resolution, Dodd Frank Act, EMIR and Volker
Leader able to successfully operate across regions, businesses and functions with demonstrable strong negotiation, influencing and relationship management skills
Excellent project management skills with the ability to shape programmes of work and responses to complex issues
Strong delivery track record
Experience of working in controls roles
Able to liaise with senior management, reporting on project milestones, key deliverables and obtaining key stakeholder sign offs
Able to interpret and problem-solve regulatory requirements, & project manage complete, accurate & controlled delivery, taking into account transition into BAU
Able to shape & define projects as well as responses to regulatory issues
Ability to prioritise & gain consensus on competing demands
Excellent stakeholder identification & management skills
Proactive and creative problem solving with business process reengineering experience and tenacity to drive to root cause
Team player with ability build & maintain productive working relationships with colleagues at all levels and across functions in a collaborative manner in order to achieve results, as well as ability to manage prioritization
Ability to build, create and manage virtual teams
Ability to build and maintain effective networks and relationships at all levels
Ability to develop & manage delivery of business cases

Sheffield Regulatory Risk Monitoring Manager Resume Examples & Samples

Design, implement, manage and continuously improve an overall framework of compliance processes, procedures, controls, testing and reporting to support the operation of the Sheffield Financial brand
Gain/maintain expert knowledge of relevant compliance laws, regulations and consumer protection state law requirements related to portfolio servicing
Act as primary liaison/ambassador/point of contact, along with and at the direction of the Chief Operating Officer, for the Sheffield brand on both internal matters (e.g. enterprise-level) as well as external matters (e.g. regulators, outside auditors)
Using a balanced approach, collaboratively facilitate forums, along with and at the direction of the Sheffield Chief Operating Officer, that will serve to
Monitor complaints and complaint management systems for trends, furnish reporting to appropriate Enterprise channels, and proactively work to correct any areas of compliance risk
Participate in cross-functional projects as assigned by the Sheffield Chief Operating Officer
Bachelor's degree in a business-related field, or equivalent education and related training
Eight years of financial institution experience in compliance or lending, or equivalent
Certified Internal Auditor designation or equivalent work experience
Thorough knowledge of consumer compliance laws and regulations, with emphasis on those affecting lending compliance
Outstanding facilitation, rapport building, and written and verbal communication skills
Ability to travel, occasionally overnight
Master's degree in Business (MBA) or Juris Doctor (JD)
Six Sigma, Total Quality Management (TQM) designation or equivalent
Completion of the American Bankers Association Compliance School
Compliance certification

Head of Cro Regulatory Risk Management Resume Examples & Samples

Management of all US regulatory visits involving US CRO departments including setting agendas, briefing key stakeholders before the meetings on key themes and questions, putting together presentations for meetings, answering post-visit regulatory letters and tracking remediation items
Coordination of all ad-hoc information requests from US regulators on US CRO topics including review of final responses for accuracy and messaging prior to regulatory submission
LI-DG1*

Regulatory Risk Officer Resume Examples & Samples

Provide the strategic direction and tactical plans to develop and implement a Regulatory Risk Review Group. The Group will conduct compliance quality assurance on all lending products including mortgages, securities-based loans, and tailored loans prior to loan close
Conduct day-to-day compliance reviews prior to loan closing for loans that have unique characteristics
Oversee a team of at least three individuals who conduct day-today compliance reviews
Monitor regulatory developments and industry trends in compliance and serve as a compliance advisor to the Senior Operational Risk Officer
Develop and implement Management Reporting and Escalation processes for lending compliance
Liaise with lending teams and bank management to address any issues
Coordinate activities with second line of defense compliance team
Undergraduate degree in Business, Finance, or other related field and a Juris Doctor degree
10+ years compliance experience in the banking industry
3+ years managerial experience
Must have substantive knowledge of all consumer lending rules and regulations applicable to consumer lending products, most notably mortgage and securities based lending. A working knowledge of the following regulatory areas is required; Privacy, Fair Lending, UDAAP, SAFE Act, TILA, REPSA, ECOA, HMDA, FDPA, SCRA, FCRA, Reg W, Reg O, Reg Y, Vendor Management and BSA/AML
Strong leadership skills with the vision to design new roles, responsibilities and functions and organizational and project management skills to execute the vision
Highly motivated individual with outstanding record of professional achievement
Strong interpersonal skills and ability to communicate effectively both verbally and in writing across a matrixed organization

Regulatory Risk Group Manager Resume Examples & Samples

Annual updating of Basel Retail program documents
Basel Retail program plan management and reporting
Creating agendas for, leading and producing minutes for the ten monthly Basel Retail region/business program status meetings
Creation and submission of Basel Retail sponsor deck slides
Fulfillment of ad hoc Basel Retail requests
Tracking of regulatory and IA requests and follow-ups for Basel retail
Tracking and reporting of corrective action plans to address findings from regulators and internal and external audit teams
Coordination of the annual Basel Retail IA review and quarterly monitoring
Coordination of the annual Basel Retail regulatory review
Represent the Basel Retail program in or lead monthly forums and ad hoc meetings such as the following
Individual business/region program status review meetings
Meetings with program teams including model development, financial risk reporting , operations support and technology
Region and business governance and attestation meetings
Basel Steering Committee meetings
Program status review meetings with regulators
Basel Retail Change Management meetings
Risk Data Governance Council and data quality working group meetings
Meetings with the Capital Interpretation and Assessment team to determine appropriate Basel treatment for non-standard or complex exposure types
Bachelor degree in finance, management, business administration or a related field
7 to 10 years program management experience required
Knowledge of Basel, CCAR, risk management and related regulations
Extensive experience managing highly complex, global programs
Excellent communication and relationship management skills
Experience interacting with senior management and internal and external examiners
Strong knowledge of retail and wholesale financial product and services a plus
Detail oriented with proven leaderships and program management skills
Proven ability to provide 360 degree support and to manage multiple priorities simultaneously
Strong negotiation and team building skills

CIB Asia Regulatory, Risk & Control Lead-VP Resume Examples & Samples

Be the Asia Control lead for the Global Regulatory Risk and Control teams to ensure change programs are successfully delivered
Actively participate in global programs in the regulatory risk space so that Asia requirements are aligned with global initiatives including strategic architecture for regulatory reporting, regulatory reporting standards, risk assessment (recertification) and deep dives
Partner with regional and local CAO, Ops, Compliance, Technology, Audit and other functional teams in meeting our collective goal to embed a strong and sustainable control framework around regulatory reporting
Leads the design and facilitate implementation of controls within regional functional teams
Oversight and monitor issues and key gaps related to data controls related to regulatory submissions
Work with LOB and functional teams in developing improvements to the reporting process to increase control and efficiency
Participate in working groups to provide input on issues or requirement in relation to new requirements
Partner with line managers to ensure regulatory controls move from a project activity into BAU processes
Strong knowledge of CIB Asia businesses, operational processes and risk /control functions
Solid understanding of the Asia regulatory environment
Strong execution skills and experience in the implementation of control program
Ability to build and maintain collaborative working relationships with various teams to design and assist in the execution of appropriate controls design and monitoring
Ability to negotiate and influence different levels of stakeholders in CIB LOBs and functional areas
Excellent project management skills with the ability to plan, prioritize and deliver against deadlines
Significant knowledge of operational processes and controls and an understanding of risk and quality control and assurance functions
5+ years experience in Banking Industry preferably in operations risk, audit, compliance or controls
Strong experience in designing and implementing global / regional cross-functional programs

VP-cib Asia Regulatory, Risk & Control Resume Examples & Samples

Plan and report project status to senior management, recognize and resolve issues across teams, and provide project guidance to ensure completion of assigned projects
Ensure high quality delivery during all phases of the SDLC and ensure a right balance is maintained between quality, functionality, schedule and cost
Liaise with the technology teams and come up with the right solutions
Identify project risks and issues and propose mitigation strategies
Manage stakeholder expectations effectively, facilitate decision-making by providing right level of information and timely escalation when required
Prepare effective proposals and business case for project opportunities
Team Management - Manage resource planning and efficient utilization of resources
Comply with the JPMC Project Life Cycle and internal processes
Attention to detail. Should be capable of drilling down to project issues (technical and business) and guiding the team to resolve them
Strong negotiation and co-ordination skills to work in partnership with the business users, business analysts and other technology teams
Thorough understanding of SDLC phases and essential documentation in each of these steps
Strong communication (verbal and written) and presentation skills
Minimum bachelor’s degree from reputed University with good academic record
Minimum 10 years of total experience with minimum 5 years as project manager
Exposure to following area will be an added advantage
Exposure to regulatory reporting automation
Understanding of investment bank, trade and treasury products
Understanding of Agile Software Development methodology
Project management certification from reputed institute

Regulatory Risk Senior Manager Resume Examples & Samples

Lead data quality technical releases in a strategic data warehouse
Support preparation & presentation to senior management around data analysis of Basel and RWA (risk weighted assets)
Work with various businesses to understand the impact of various regulatory mandates around Basel, RWA and Risk Capital analysis
Develop a strong working relationship with Risk, Finance, Operations and Front Office counterparts across the organization
Experience in intensive data analysis with the aid of Spreadsheets and Business Intelligence tools like Hyperion, Cognos, Business Objects, etc
Excellent people skills: ability to interact successfully with business partners, operations, technology and finance teams. Able to provide clear direction and influence decisions, regardless of reporting lines
Willingness to take direct responsibility for analysis/deliverables
Perform research to achieve data issues resolution. This also requires SQL database knowledge to facilitate research
Must be able to juggle multiple tasks simultaneously, perform well under pressure and meet strict deadlines
Minimum of 5 years experience of financial services required
Experience with Software Development Life Cycle (SDLC)
Ability to partner with others to optimize results

Regulatory Risk Senior Manager Resume Examples & Samples

Bachelor's degree in business, finance, accounting or related field, or equivalent work experience
Must have at least 10 years of retail risk and management experience
PMP certification a plus, but not required
Proven experience in the design and implementation of cross-functional risk programs, and frameworks and processes across the credit life cycle
Proven experience in governance and cross-functional execution leadership
Can clearly articulate the processes supporting the retail risk function, controls, business priorities, impact on regulatory reporting, issues and risks associated with the IT infrastructure; understands limitations, can identify gaps and proactively help develop solutions
Excellent communication and project management skills

Ccar, Regulatory Risk Senior Manager Resume Examples & Samples

PhD or Masters in Economics or Finance, or solid background in Engineering or Science
At least 3 years of relevant experience in a Financial Institution
Solid understanding of Basel risk capital requirements, stress testing and CCAR/DFAST exercises
Proven experience in banking-book products, risk analytics for retail or wholesale credit portfolios, credit risk capital modeling and risk management or related areas
Ability to meet deadlines for product deliverables in a timely, proactive and entrepreneurial manner
Working knowledge of credit data reliability analysis, quality controls and data processing
Extensive experience with statistical analysis, modeling techniques and numerical implementations (C/C++, VB, Java, SAS, R or SQL)
Experience in developing and maintaining detailed technical documentation for models, model validation, project plans and processes
Excellent written and verbal communication skills, and ability to discuss technical issues with clients, peers, auditors, regulators and senior management

Regulatory Risk & Compliance Manager Plymouth Resume Examples & Samples

Specific job duties of this position
Assists with assignment of gap analyses for significant law and regulation changes, and subsequent monitoring and tracking of analyses and action items
Manages Customer Complaint Policy and Chair Customer Complaint Committee
Responsible for Compliance Reporting Management (provides metrics and reports)
Compliance Policy Management
Risk Assessment and Planning Coordination and Management
KRI/KPI Reporting and Data Management (provide metrics and reports)
Assists Lines of Business (LOB) with annual self-testing plans and procedures and review ongoing reports from LOB
Leads certain Compliance Related Projects (such as GRC system implementation)
Creates Testing/Reviews Related to Non-Consumer Laws and Regulation
Provides data and updates to Risk Department Personnel for Quarterly on Comprehensive Periodic Risk Assessment for lines of business (provide metrics and reports)
Seven years of relevant work experience within a financial regulatory agency or a financial services institution, or a Juris Doctor with three or more years of post-law school work experience is required. Candidates with consumer financial institution in-house experience are preferred
Four-year college degree or equivalent combination of education, training and work experience is required. A Juris Doctor Degree or MBA would be preferred
Working knowledge of laws and regulations covering financial services consumer products and services is required
Must be able to demonstrate the following skills
Ability to research and manage multiple priorities and deadlines simultaneously
Excellent verbal and written communication skills including strong research skills
Strong interpersonal, collaboration and advocacy skills

Cib-regulatory Risk & Controls Resume Examples & Samples

Work in collaboration with the EMIR team lead to be the EMIR CAO representative for EMEA engagements with Compliance, Legal, Regulatory Affairs and business teams
Become a SME in the key elements of the EMIR regulation in order to provide CAO interpretations and act as an global EMIR advisor across the CAO
Design, implement and oversee a robust, globally consistent, effective Operating Model, Control Framework and Governance to aid lines of businesses across the globe in meeting key EMIR obligations
Provide oversight and governance of EMIR, initially focused on trade reporting: propose control design solutions across LOBs and drive implementation, design and review of key metrics, proactive issue management, manage senior stakeholder engagement and escalations, lead governance forums and identify and drive deep dives
Coordinate oversight and governance of EMIR reporting; reporting controls, metrics and dashboards, and monthly governance forums
Drive a program of work to address EMIR controls issues, reconciliation breaks and improve data quality across LOBs
Proactive review of EMIR and other regulatory KRIs and metrics (in conjunction with the wider global team) to identify areas for deep dive reviews
Conduct deep dive reviews into EMIR regulatory issues, ensure findings are properly tracked and resolved to drive reduction in EMIR regulatory risk
Manage key stakeholder and client engagement via production of concise executive updates and escalations and ensuring regular open dialogue with other key LOB contacts
Drive LOB adherence to the CIB regulatory reporting standard and provide oversight to general issue management
Partner with Compliance and Legal to determine severity of issues and manage communication with the regulator
Coordinate and facilitate communication with the Trade Repository and industry bodies to escalate reporting issues
Work with the Trade Repositories, other Industry middle-ware and Industry Trade Bodies on consultations, discussions papers and industry wide interpretation and adoption of the changing regulations impacting EMIR
With the EMIR lead review, impact assess and manage new and evolving EMIR requirements: ensure ownership, management and delivery of ongoing implementations and their controlled transition into production
Drive continuous improvement to the regulatory control framework via collaboration with the wider global Regulatory Controls team
Candidate should have background in banking and a broad understanding of the changing regulatory environment and its impact on the industry
Ideally the candidate will have an understating of some of the specific regulatory requirements that impact the products and markets in which the CIB operate
Ideally have a strong appreciation of Regulatory Reporting and be comfortable in critiquing it’s design & controls
Have experience of working in a control environment and designing and delivering control solutions
Able to operate globally across regions, businesses and functions with demonstrable strong negotiation, influencing and relationship management skills to drive delivery across a variety of teams
Excellent communication skills with the ability to succinctly communicate complex issues
Ability to interpret issues raised, prioritize and communicate to senior management and other key stakeholders regarding resolution plans and expectations
Proactive and creative problem solving with business process reengineering experience
Deals comfortably with ambiguity and uncertainty
Able to demonstrate product knowledge in at least one asset class, including the trade lifecycle from risk management platforms through to settlement and confirmation functions

Cib-regulatory Risk & Controls Resume Examples & Samples

Working with the MiFID I lead, partner with Compliance and lines of businesses to ensure globally consistent MiFID I governance model
Coordinate oversight and governance of MiFID I transaction reporting; reporting controls, metrics and dashboards, and monthly governance forums
Provide oversight of MiFID I regulatory issue management and remediation
Coordinate and conduct deep dive reviews into MiFID I regulatory issues
Drive continuous improvement to the regulatory control environment in collaboration with the wider Regulatory Risk and Controls team including preparation for implementation of MiFID II
Product Owner of the PRISM system which is used for MiFID I transaction reporting; manage the priotisation list and delivery by partnering with the Technology
Candidate should have background in banking, with a strong understanding of the regulatory requirements that relate to the CIB products and markets
Previous experience in Risk Management, Controls or Audit preferred
Strong controls mindset
Attention to detail with the ability to succinctly communicate complex issues
Excellent time management, analytical and problem solving skills
Able to demonstrate product knowledge in at least one asset class including the trade lifecycle
Able to operate globally across regions, businesses and functions
Ability to consistently deliver work of a high standard whilst under pressure
Team player with ability to build and maintain productive working relationships with colleagues at all levels and across functions

Cib-regulatory Risk & Controls Resume Examples & Samples

Ideally the candidate will have an understanding of some of the specific regulatory requirements that impact the products and markets in which the CIB operate
Team player with ability to build, negotiate & maintain productive working relationships with colleagues globally at all levels and across functions in order to influence and achieve results in a time pressured environment
Excellent communication written and verbal skills with the ability to succinctly communicate complex issues
Good working knowledge of MS Excel (pivot tables, v-lookups, etc.) and PowerPoint. Knowledge of Microsoft Project desirable
Prior business analyst , project management and testing experience on projects would be an advantage
Ability to approach complex problems in a structured way, organise, plan and drive through solutions across multiple business and technology teams; with attention to detail and ability to work independently
Deals comfortably with ambiguity and uncertainty and demonstrating how you operate effectively to overcome issues and deliver to deadlines
Have core business analysis skills, strong analytical, data management and problem solving skills

Regulatory Risk Group Manager Resume Examples & Samples

Demonstrated effectiveness in Program Leadership roles in transformational Financial Services initiatives
Substantial experience in regulatory program management in the Financial Services industry. Prior work in Risk Management is a substantial plus
Proficiency in Microsoft Project
Bachelor’s degree with 10 or more years’ experience
Demonstrated management experience in a matrix team environment

Regulatory Risk Senior Manager Resume Examples & Samples

Master’s degree in business, finance, accounting or related field, or equivalent work experience
At least 5 years of experience in retal risk management and/or finance
Strong understanding of key credit risk performance metrics, macroeconomic indicators, and general banking concepts
Experienced facilitator, especially in transitioning or challenged environments
Engages business and functional managers to mitigate risks
Adept at diffusing conflict and working toward agreements
Experience conducting risk information analytics
Solid understanding of data modeling principles
Excellent understanding of key retail credit risk performance metrics, macroeconomic indicators, and general banking concepts
Experience using and authoring reports using Business Intelligence software
PMP certification would be a definite asset
Understanding of data modeling principles would be a definite asset
Understanding of Retail Basel (BCBS Revised Framework for Internation Convergence of Capital Measurement and Capital Standards)- AIRB & Standardized approaches, and related publications would be a definite asset
Understanding of regulatory capital computation and reporting requirements (FFIEC 101) would be a definite asset
Understanding of requirements relating to FRB-mandated CCAR reporting forms (FR Y-14Q, FR Y-14M, FR Y-14A) would be a definite asset
Knowledge of pre-existant Citigroup computer applications used in Retail CCAR and REtail Basel would be a definite asset

Regulatory Risk Senior Manager Resume Examples & Samples

Retail Risk Modeling & Analytics
Retail Risk General Applications
At least 7 years of experience in retail risk management
Excellent understanding of key retail/consumer credit risk performance metrics, macroeconomic indicators, and general banking concepts
Proven experience in the design, implementation and governance of geographically diverse initiatives
Proven experience in the design, implementation and governance of cross-functional risk programs, frameworks and processes across the credit life cycle
Strong project management skills and ability to oversee several reports / projects at once. A PMP certification would be a definite asset
Client relationships/Business partnerships
Retail Risk Data Governance

Regulatory Risk Management Resume Examples & Samples

Providing technical guidance and interpretation of US regulations as they relate to the measurement and management of credit risk
Review and challenge of annual self-assessments against US rules related to all aspects of credit risk management
Management of regulatory visits around credit risk management including setting agendas, briefing key stakeholders before the meetings on key issues, writing presentations, answering post-visit regulatory letters and tracking remediation items
Coordination of all ad-hoc information requests from the US regulators related to credit risk including review of final responses for accuracy and messaging prior to regulatory submission
Analysis of new US regulations related to Credit Risk and alerting key stakeholders to proposed regulatory changes and working with them to identify risks and opportunities
Prepare and participate in regular briefing on regulatory credit risk interactions and commitments with CRO management

Regulatory Risk Group Manager Resume Examples & Samples

Interfacing with IA, Regulators, Management, and a broad range of other stakeholders on the Risk Governance and the Risk Appetite Framework
Mobilizing different parts of the organization to design and execute changes
Providing leadership and representing the overall organization to regulators and IA when responsibility for individual components may be distributed across the organization
Assigning responsibility, tracking progress, and keeping solutions moving on schedule when individual components may be distributed across the organization
Anticipating issues and using judgment in designing solutions that are sufficient for the scale of risk, are practical, and are sustainable
Maintaining an advanced level of understanding of regulatory requirements including Heightened Standards
Preparing presentations for management and the Board
Writing governance documents and policies
Bachelor’s degree or relevant experience required, advanced degree preferred
10+ years of experience with Risk Management including interacting with Regulators (ideally at Citi)
5+ years of experience balancing and driving multiple complex and high profile projects simultaneously
A proven track record of cross-departmental collaboration and project execution
Experience managing a team and building a large network of strong and successful partnerships
Develop deep understanding of internal and external control, audit and regulatory requirements and standards, and manage processes to ensure adherence

Information Risk Governance IS Audit & Regulatory Risk Specialist Resume Examples & Samples

Prepare and advise senior leaders in managing information risk primarily from the regulatory perspective. Prepare them for various regulatory reviews from regulators such as OCC, FRB, SEC, HKMA, MAS
Participate in various management committees and working groups to develop long-range and short-range IS risk management plans
Lead global/cross-sectors working group to manage and respond to various external Cybersecurity risk assessments. Update and refine engagement model as applicable
Interact with various business and technology sectors to lead IS gap assessment against various regulatory rules and regulations
Lead and manage certification and attestation programs such as ISO 27001 and GLBA. Coach and train junior staff/s
6-8 years of Information Technology or Technology Audit experience
Bachelor’s degree in a related field or equivalent combination of education/experience
Previous experience performing internal and/or external audit coordination is an advantage
Knowledge of technology, security risk and compliance best practices such as FFIEC, COBIT, ISO 27001/27002, NIST SP 800-30
Excellent communication, written and oral, interpersonal and presentation skills to technical and business audiences in a constantly evolving environment
Self-motivated, able to manage deadlines in a fast-paced environment requiring strong project management and multi-tasking skills
Professional certification desired: CISA, CISSP, CRISC

Regulatory Risk Senior Manager Resume Examples & Samples

From a Risk perspective, review and interpret new EU / EBA / ECB / CBI laws, rules and guidelines to ensure CEP risk management practices and policies remain in line with regulatory requirements. Conduct gap analyses and recommend appropriate courses of action to CRO, Risk Committee and Board
Act as Risk point person for assessing and interpreting all data and information requests that are received from ECB, CBI or other external stakeholders. Direct the approach to answering questions and involve appropriate Risk functions in CEP or broader Citi team as necessary
Manage and track completion of all risk regulatory deliverables, draft responses, review and provide quality / consistency checks on output, including highly detailed data templates
Be primary Risk contact for on-site ECB / CBI inspection teams
Key member of the Risk Management team responsible for the ECB Asset Quality Review and Stress Testing program. Work extensively with Franchise Risk Architecture, Risk Policy and Senior Credit Officers
Strong familiarity with regulatory landscape facing EU banks. Ideally, have worked in an international bank, regulator or professional services firm
Knowledge of Citi products, systems and risk practices
Superior IT skills, particularly excel / databases / query languages and powerpoint
Third level qualification in Business, Accountancy, Economics, Maths, Computing or Science
Courses in risk management, regulation or relevant computer applications

Equipment Finance Regulatory Risk Monitoring Manager Resume Examples & Samples

Design, implement, manage and continuously improve an overall framework of regulatory compliance processes, procedures, controls, testing and reporting to support the operation of EF, GF and SCFi
Gain/maintain expert knowledge of relevant compliance laws, regulations and requirements related to the EF, GF and SCFi businesses
Act as primary point of contact, along with and at the direction of the EF Chief Operating Officer, for EF, GF and SCFi on both internal and external matters (e.g. regulators, outside auditors)
Work collaboratively and proactively with Corporate Compliance and serve as the accountability network partner for EF, GF and SCFi
Using a balanced approach, collaboratively facilitate forums, along with and at the direction of the EF Chief Operating Officer, that will serve to
Teach, communicate and create awareness of pertinent compliance requirements to all EF, GF and SCFi associates
Design, improve and implement guidelines, processes and procedures, in concert with senior management team, to support and demonstrate compliance
Create and maintain a knowledge repository that is readily consumable, accessible and current for the consumption of existing and newly hired associates
Design and improve a framework of controls and self-testing mechanisms, as a first line of defense, to proactively ensure that processes and procedures are effective and considered strong
Conduct and respond to compliance/audit testing and reviews
Co-design, implement and prepare a monthly compliance reporting mechanism along with key performance indicators to inform and demonstrate to EF Chief Operating Officer that compliance activities are current and effective
Lead and manage the vendor management responsibilities of EF, GF and SCFi to ensure compliance with Bank policy
Monitor complaints and complaint management systems for trends, furnish reporting to appropriate line of business channels, and proactively work to correct any areas of compliance risk
Oversee corporate records retention processes for EF, GF and SCFi
Participate in cross-functional projects as assigned by the EF Chief Operating Officer
Bachelor’s degree in business-related field, or equivalent education and related training
Eight years of financial institution experience in compliance or lending, or equivalent
Certified Internal Auditor designation or equivalent work experience
Thorough knowledge of commercial compliance laws and regulations, with emphasis on those affecting lending compliance
Outstanding facilitation, rapport building, and written and verbal communication skills
Master’s degree in Business Administration (MBA) or Juris Doctor (JD)
Six Sigma, Total Quality Management (TQM) designation or equivalent
Completion of the American Bankers Association Compliance School
Compliance certification

Regulatory Risk Officer Resume Examples & Samples

Become familiar with new, and maintain awareness of, regulatory frameworks (laws, regulations, guidelines, etc.) and/or related Citi, regional/country internal policies put in place to ensure compliance and process consistency across Citi
Interact with the Corporate Compliance Group and Regional/Country Compliance Offices globally, key Global Functions (CSIS, ORM, OTRC), and EI Businesses Risk & Controls in support of program roll-outs and for monitoring of risks/controls
Support regulatory related inquiries during internal audits
Address/resolve ad-hoc regulatory requests received from EI Businesses, escalating to Subject Matter Experts/Policy owners/Global Function contacts as necessary, which can involve investigation using policy library and using other available tools as references (i.e., being inquisitive)
Support the development of training and awareness related to regulatory compliance matters as part of the EI Risk Management Training Program
Interact/coordinate with other groups in RR&A, as necessary, to become familiar with activities impacting regulatory risk (MCA, cross border, records management, data privacy, etc.)
Become knowledgeable with the applications/systems that support regulatory risk (CitiRisk, MetricStream, Archer Regulatory Portal, etc
Support weekly/monthly reporting of ongoing activities, program progress, meetings, key developments, etc., to EI Senior Management
5-8 years of relevant experience
Banking knowledge or experience
Strong risk management /internal control background or audit / compliance experience
Minimum BS/MA degree
CISA or CIPP or similar certification (advantage)
Archer Platform experience is a plus
Technical proficiencies in MS Office suite, Visio, and SharePoint
Presentation skills using video, Webex, conference calls
English proficiency
Investigative/audit type skills

CRO Regulatory Risk Management Resume Examples & Samples

Participating in Quality Assurance panels to ensure all compliance gaps are correctly identified and appropriate remediation plans are put in place
Management of regulatory visits around operational risk management including setting agendas, briefing key stakeholders before the meetings on key issues, writing & reviewing presentations, answering post-visit regulatory letters and tracking remediation items
Coordination of all ad-hoc information requests from the US regulators related to operational risk including review of final responses for accuracy and messaging prior to regulatory submission
Prepare and participate in regular briefing on regulatory operational risk interactions and commitments with CRO management

Regulatory Risk Consultant Resume Examples & Samples

Provision of technical expertise to assist a broad range of clients to manage their relevant regulatory requirements
Active involvement in developing new business opportunities and working closely with other departments within the Group
A key role in planning and managing projects as required, meeting all deadlines in a timely manner
The interpretation and implementation of regulations
Developing a compliance framework
Developing compliance policies and procedures
Reviewing client documentation in relation to regulatory requirements
Provision of monitoring or internal audit services specific to compliance with regulatory requirements
On call advisory
Secondments to client Compliance Functions
Design and delivery of regulatory training tailored to meet client's needs etc

Regulatory Risk Management Resume Examples & Samples

Regulatory Coordination: Acting as the central point of contact for all risk-related regulatory queries in the APAC region. This includes organizing meetings with Regulators, organizing agendas, putting together briefing materials for Senior management prior to meetings, putting together presentations for Regulators, tracking outstanding regulatory commitments, keeping Senior Management updated on key regulatory issues
Regulatory Advisory: This includes providing advice on local rules interpretation, and how to amend risk models or processes to comply with specific local regulations
Regulatory Compliance: This consists of helping write and review self-assessments conducted by CRO against local regulatory rules, and participating in Quality Assurance reviews to assess compliance of rules where there is any ambiguity over the level of compliance
Regulatory Change: This consists of keeping up to date with all local regulations impacting CRO, understanding the implications of new regulations including impact on Risk Management processes and models, and communicating impacts to local management
Working with external auditors on regulatory risk matters, ratings agencies and other external stakeholders
Organizing the regular call between APAC and global risk stakeholders to discuss regulatory issues, and contributing to the global regulatory interactions call within CRO

Regulatory Risk Senior Analyst Resume Examples & Samples

This area includes general applications and/or application components pertaining to standard retail risk practice areas, including non-Basel regulatory reporting (e.g. CCAR/FR Y-14x, FFIEC-031), LLR, Fraud, Loss Mitigation, and others
University degree in business, finance, accounting or related field, or equivalent work experience
At least 8 years of experience in retail risk management
Understands retail risk management business processes, controls, and priorities – and is adept at quickly assessing impacts, limitations and gaps within IT infrastructure on key retail risk business activities (e.g, regulatory reporting, modeling and analytics)
Proven performance in roles requiring conceptual thinking and strong, creative analytic skills
Must demonstrate perfected English (spoken and written)
Experience in the design, implementation and governance of geographically diverse initiatives
Strong project management skills and ability to oversee several reports / projects at once. A PMP certification would be a definite asset
Familiarity with principles of information technology software development & change management methodologies (Agile, Waterfall)
Provides leadership in the resolution of cross business/geography issues
Focuses and guides the priorities of others
Makes well-reasoned decisions under pressure
Adept at diffusing conflict and working toward agreements
At minimum, candidates are expected to demonstrate additional qualifications and proficiencies pertaining to assigned R‑RSSG delivery programs
Qualifications spanning several delivery programs are highly desirable, but are not required to apply
Good understanding of requirements relating to FRB-mandated CCAR reporting forms (FR Y-14Q, FR Y-14M, FR Y-14A)
Good understanding of requirements relating to other regulatory reporting forms bearing relevance to retail banking exposures (FR Y-9C, FFIEC-031, FFIEC-101)
Knowledge of pre-existant Citigroup computer applications used in Retail CCAR and Retail Basel (CitiRisk, GCBC)

Head of Regulatory Risk & Compliance Resume Examples & Samples

Large retail banking experience
CF10 and CF11 experience
Change management background
Proven experience in a team lead capacity
Ideally experience in Anti Money Laundering regulations gained from the UK financial services sector; as well as understanding of FCA compliance and knowledge of the FCA handbook & general financial sector compliance requirements
Customer centric as strong relationship building skills are required
Application of analytical skills as assessing incidents or compliance breaches and reporting on root causes so that improvements can be introduced to prevent recurrence
Collaborative & advisory approach coupled with good communication skills as the capacity to provide constructive feedback and recommendations for improvement where inadequacies are identified
Delivery & solution focused
Leadership skills as reviews, assessment & guidance to junior team members will be required
Strong time management as the capacity to provide prompt response & advice to technical queries from a wide operational audience is required
Can work independently and/or as part of a team
Adaptable & flexible

Regulatory Risk Senior Manager Resume Examples & Samples

Strong working knowledge of Citi policy, processes and controls
10+ years of experience in the financial sector
Ability to work across multiple disciplines
Strong systems background, ability to analyze and propose technical solutions
Ability to PMO large scale projects
Clear, concise communication skills

Regulatory & Risk Quantitative Assistant Manager Resume Examples & Samples

University degree in accounting, financial, or quantitative discipline
Advanced degree, or risk management designation obtained or in progress is an asset
At least 2 years experience with financial products, preferably in risk management, product control or finance area
Ability to produce sophisticated reports in Excel format, including working with macros, is essential
Pragmatic, delivery-oriented attitude
Team player with strong communication and interpersonal skills
Ability to multi-task including management of day-to-day responsibilities alongside completion of important projects

Regulatory Risk Senior Manager Resume Examples & Samples

Review various transactions end to end across the institution to determine if the appropriate capital is being allocated. This includes reviewing legal documents, approvals, risk ratings and how transactions flow through the system to determine the RWA that is being applied and comparing transactions to the appropriate rules. Work closely with CIAT (Capital Interpretation and Analysis Team), Finance, Technology, Accounting, Risk Architecture, Line Risk, Product Control, Capital Optimization, Regulatory Reporting and Risk Policy to insure the appropriate groups are engaged in remediating any issues raised in COBRA reviews
Insure the proper functions take ownership for remediation and follow up on progress to insure closure. Raise issues that may arise to complete remediation
Interaction with business partners, line risk, as well as the bank regulators ; Present regulatory risk related topics to risk organization including senior management reporting; contribute to Basel Training initiatives
Provide Basel rule interpretation expertise through CIAT (as needed) and participate in daily call to review requests for interpretations
Participate in and periodically present to the weekly interpretive group meeting and quarterly Steering Committee meetings
Present and defend findings at the quarterly COBRA review and to Regulators
Assist Policy group in crafting policies that may need to be changed/added as a result of COBRA findings
Must become proficient in the US Basel rules and keep up with various regulatory guidance and issues

Regulatory Risk & Control Specialist Resume Examples & Samples

Partnering with line functions to understand and implement standards, contributing to the practical design of controls and monitoring applications
Developing relationships with line business management, creating a forum for engagement between line and control to discuss change impact and developing risk issues
Proactively identifying potential risks with line management and conducting independent assessments and analysis of processes and risks as required
Conducting independent reviews of operational and business risk and making your own risk assessments based on your findings
Supporting the 3 Lines of defence initiative
Working with business lines to develop remediation plans, for control issues/deficiencies and track issues to closure
Identifying and helping to facilitate escalation of control incidents by operational line
Supporting investigations, assessments of issues and monitoring remediation
Ensuring prompt completion of Day 2 incident summaries
Conducting root cause and trend analysis around operational issues and highlighting any areas of concern to both operational and control management
Monitoring the Process Risk Indicators for business line coverage and understanding any key risk inherent within the reporting
Completing all Deutsche Bank control reporting requirements to a high standard and to tight deadlines
Documenting effective risk statements and themes that are linked to control indicators and reporting, while taking and assessing forward looking risk views
Working in partnership with MCCM control colleagues, to raise potential common global issues for awareness and assessment
Actively promoting a culture where everyone is a risk manager
Monitoring and understanding the impact of any change or initiatives (process, technology or regulatory) on the control environment
Providing support and implementing any Group Technology & Operations control initiatives or policies, that may be relevant to the operational business that is being supported
Supporting business in relation to any ad-hoc crisis action plans or responses

Regulatory Risk PMO Specialist Resume Examples & Samples

Support and maintain Portfolio Level Governance control procedures for managing portfolio wide initiatives such as resource utilisation, change control, financials and portfolio development and maintenance
Produce and analyze Portfolio Level Reporting to ensure projects progress against key criteria such as cost, schedule, risks, issues and benefits is accurately reflected. Identify trends and improvement opportunities, highlighting proposed action plans to senior management
Support and maintain project management methodologies to ensure a consistent approach to project delivery is taken across the portfolio through the use of project management tools, processes and practices
Train, coach and mentor project and programme managers in relation to methodologies, delivery processes and best practices in order to continually develop skills and capabilities thus supporting consistent delivery improvement
Support Business Management procedures to ensure accuracy in financial reporting and ensure tracking and monitoring of actual to budget
Complete quality assurance review checks to monitor the quality of project reporting and deliverables to drive improvements across the portfolio. Proactively highlight & escalate delivery risks and issues to senior management – providing an independent view of project and programme health
Provide system administration for key applications within the project delivery tool set, assisting in tool development and team training
Lead and drive cross functional project delivery process improvements within the portfolio
Preferred: Educated to degree level
Demonstrable experience in governing or supporting multiple projects simultaneously to successful conclusions
Preferred: Understanding of the Risk business in an Investment Bank
7 years+ PMO
7 years+ within the IT Industry, preferably in Investment Banking IT
Managed / worked with offshore based development teams
Experience in matrix management & influencing others
Optional: Experienced use of the Clarity system

Regulatory Risk Project Manager Resume Examples & Samples

Work with project manager lead on Debt Investment Securities as it relates to CAPs and MRAs and other projects related to enhancing better data quality
Work with the FRA GDRS lead as a back-up by helping document system deficiencies, work on project plans and help prioritize each of those projects based on the importance determined by CORA
Work on other regulatory projects that may come about from internal or external audits
Minimum of 5+ years of hands on experience in the financial services industry
Proven analytical and problem solving skills with an understanding of risk management
Must be a self-starter and be able to work independently
Must be able to communicate and interact effectively with clients, project managers and IT stakeholders
Must be well organized and able to direct a small team to meet stakeholders delivery commitments
Project management experience with accountability for delivering cross functional initiatives
Strong proficiency in MS Excel, MS Word and MS Project

Regulatory, Risk & Control Associate Resume Examples & Samples

Minimum of 3-5 years experience in banking preferably in funds transfer, preferably with a working knowledge of
Regulatory screening processes/filters
USD High Value Payments processing
Investigations process and procedures
U.S. payment systems (CHIPS and FRB)
Excellent keyboard skills
Experience in reading financial communications (Swift, e-mail)
Knowledge of sanctions and enforcement of sanctions based on US foreign policy and national security
High level of Excel skills, must be able to do v-lookups, pivot tables and create formulas
Excellent Microsoft Word and Power Point skills
Good internet skills (requires knowledge on how to use different internet search engines)
Good decision making and presentation skills
The ability to be focused and detail oriented
Ability to grasp complex concepts and process flows
Have the ability to think outside the box
The ability to multitask and manage multiple initiatives at the same time
Ability to manage and meet deadlines
Must be a team player with strong teamwork skills

Lead Regulatory, Risk & Control Analyst Resume Examples & Samples

Minimum of 5-7 years experience in banking, preferably in funds transfer
Investigations process and procedures
U.S. payment systems (CHIPS, FRB)
Candidate should have some experience of managing a team
Must be a team player with strong teamwork skills
Excellent keyboard skills
Experience in writing financial communications (Swift, e-mail)
Knowledge of sanctions and enforcement of sanctions based on US foreign policy and national security
Excellent Microsoft Word, Excel and Power Point skills
Good internet skills (requires knowledge on how to use different internet search engines)
Good decision making and presentation skills, the ability to be focused and detail oriented
Ability to grasp complex concepts and process flows
Have the ability to think outside the box
The ability to multitask and manage multiple initiatives at the same time
Ability to manage and meet deadlines

Regulatory Risk & Control Analyst Resume Examples & Samples

Continually develop the quality assurance processes ensuring they are fit for purpose, whilst fostering an environment in which continuous improvement is at the forefront of the agenda for the team
Taking some responsibility for the department and / or team(s) performance against agreed Service Level Agreements (SLAs), Key Performance Indicators (KPIs) & Key Risk indicators (KRIs)
Taking appropriate interventions to address and meet changing client needs and market trends
Producing regular and ad-hoc Management Information (MI), analysis and insight to clearly display progress to targets
Becoming a subject matter expert on the reporting infrastructure and associated processes
Ensuring knowledge transfer is managed closely and monitored with the aid of training plans and matrixes
Potentially acting as an escalation contact for both internal and external matters
Performing root cause analysis on issues and incidents experienced and ensuring lessons learned are created and implemented into existing procedures
Supporting the creation and management of aspects of the Risk and Control profile and framework for the group
Ensuring that the team’s processes are fully compliant with any applicable regulation and all required control processes whether directly related to processes or in terms of overall control such as Environmental Risk Indicators, High Risk Incidents, Key Risk Indicators, Control and Exception process reports are fit for purpose and maintained without exception
Taking ownership for and providing oversight of the performance of controls within the Department and / or team, ensuring they are complete, timely and accurate
Being responsible for control and mandate validity implementing strategies to ensure regular review, continuous process improvement and correct evidencing
Highlighting operational, regulatory and other risks to Senior Management and concerned departments such as Regulatory, Compliance and Audit
Identifying key issues and actively participating in their resolution to ensure client satisfaction and acceptable business outcomes
Building and maintaining relationships with internal Deutsche Bank Partners to provide a point of contact within the team for time critical, complex or regulated tasks in particular
Working effectively as part of a team and supporting the strategic direction of the division and / or department, providing leadership and direction to Supervisors and Operators and oversight to functional and / or product teams within own area of responsibility to ensure that processes are in line with all internal and external policies / guidelines and requirements of the regulators
Understanding, translating, communicating and applying Business strategies and objectives within own area of responsibility, ensuring that direct reports and functional teams are aligned to overall strategy and objectives
Understanding, articulating and implementing best practices related to their product expertise
Supporting and fostering an environment in which company values, ethical framework and diversity are at the centre of decision making and applied in our approach to business solutions
Acting as a role model and promoting a culture of high performance, ensuring effective people management
Attracting, retaining and rewarding high performing individuals

Regulatory, Risk & Control Specialist Resume Examples & Samples

Supporting the Risk and Control Lead for the 3 Global Markets business line technology groups (Debt, Risk and Markets Clearing)
Understanding, advising upon and communicating, the status of all risk, control and IT security programs active within the business lines
Understanding, advising upon and communicating any dependencies that might prohibit or slow the adoption of a given control program
Working closely with the Audit Management function, to understand the current status on all open audit issues and the Operational Risk Management (ORM) function to understand the current status on all open operational risks
Offering risk advisement services (under the tutelage of the Risk & Control Lead), to the respective Chief Information Officers and their extended Management teams
Proven risk management, risk advisory, audit management or information security experience
Experience of working in a large, global organisation
Financial services industry experience
Some risk programme implementation experience
A technical background in for example application development and infrastructure engineering
An exceptionally strong team player
A work style, that allows you to adapt to changing priorities and organisation
An innovative thinker who can contribute to the evolution and refinement of the risk and control function

Regulatory Risk & Control Analyst Continuous Process Improvement Resume Examples & Samples

Providing feedback and input into Global Business and Functional requirement documentation
Engaging with Global Project Personnel
Assisting the modification of Run the Bank procedures and processes as the new regime is introduced and systems are updated
Managing own and team workload
Tracking key issues throughout the course of the MiFID II delivery
Becoming a Subject Matter Expert on the MiFID II framework
Supporting the Business as Usual teams with integrating the new regime and addressing post go-live issues
Providing support and being involved in User Acceptance testing in preparation for go-live
Ensuring issues are managed and risks mitigated where possible
Supporting the MiFID II lead when required
Creating procedures and key documentation to aid the business

Regulatory Risk & Control Specialist Resume Examples & Samples

Conducting detailed analysis of trading data across debt and equity products globally, providing insights into trends and trader behaviour across all businesses and regions
Managing risk cases covering investigation and follow up within the defined timeframes
Applying this analysis to refine and improve Key Risk Indicators used in the platform (including definition and acceptance testing)
Identifying opportunities for improving data quality and reducing ‘noise’ and false positives
Processing ad-hoc support for requests from Front Office Supervisors, Front Office Business Managers or the Oversight Committee for granular information and reports relating to Trading behaviour / activity
Co-ordinating efforts in implementing the changes to processes, system feeds, Key Risk Indicators, management information and workflow changes (including definition and acceptance testing)
Implementing strategy, standards and policies as the function expands globally

Regulatory Risk & Control Specialist Resume Examples & Samples

Continually develop the quality assurance processes ensuring they are fit for purpose, whilst fostering an environment in which continuous improvement is at the forefront of the agenda for the team
Being responsible for the department and / or team(s) performance against agreed Service Level Agreements (SLAs), Key Performance Indicators (KPIs) & Key Risk indicators (KRIs)
Taking appropriate interventions to address and meet changing client needs and market trends
Producing regular and ad-hoc Management Information (MI), analysis and insight to clearly display progress to targets
Becoming a subject matter expert on the reporting infrastructure and associated processes
Ensuring knowledge transfer is managed closely and monitored with the aid of training plans and matrixes
Acting as the first and second level escalation contact for both internal and external matters
Performing root cause analysis on issues and incidents experienced and ensuring lessons learned are created and implemented into existing procedures
Contributing to the development and implementation of mitigation or control solutions
Creating, managing and owning all aspects of the Risk and Control profile and framework for the group
Ensuring that the team’s processes are fully compliant with any applicable regulation and that all required control processes whether directly related to processes or in terms of overall control such as Environmental Risk Indicators, High Risk Incidents, Key Risk Indicators, Control and Exception process reports are fit for purpose and maintained without exception
Taking ownership for and providing oversight of the performance of controls within the Department and / or team, ensuring they are complete, timely and accurate
Being responsible for control and mandate validity implementing strategies to ensure regular review, continuous process improvement and correct evidencing
Highlighting operational, regulatory and other risks to Senior Management and concerned departments such as Regulatory, Compliance and Audit
Identifying key issues and actively participating in their resolution to ensure client satisfaction and acceptable business outcomes
Building and maintaining relationships with internal Deutsche Bank Partners to provide a point of contact within the team for time critical, complex or regulated tasks in particular
Contributing to, driving and cascading the strategic direction of the division and / or department
Providing leadership and direction to Management, Supervisors and Operators and oversight to functional and / or product teams within own area of responsibility to ensure that processes are in line with all internal and external policies / guidelines and requirements of the regulators
Understanding, translating, communicating and applying Business strategies and objectives within own area of responsibility, ensuring that direct reports and functional teams are aligned to overall strategy and objectives
Understanding, articulating and implementing best practices related to their product expertise
Building and fostering an environment in which company values, ethical framework and diversity are at the centre of decision making and applied in our approach to business solutions
Acting as a role model and promoting a culture of high performance, ensuring effective people management
Attracting, retaining and rewarding high performing individuals

Regulatory Risk & Control Manager Resume Examples & Samples

Assisting in the establishment and execution of an annual strategic risk review plan
Planning, executing and documenting scheduled reviews in accordance with the approved annual review plan/calendar
Reviewing and tailoring existing controls, to fit delivery streams
Guiding and tracking the delivery streams through self assessments and issue remediation
Supporting the Audit Resolution Manager in coordinating audit remediation activities across the streams
Ensuring necessary working papers are retained for future references and to support findings
Reporting designing, processing or controlling deficiencies and making necessary recommendations for improvements
Performing root cause analysis where control weaknesses are identified and where appropriate, highlighting potential opportunities for improved efficiency and productivity
Ensuring a robust and secure control environment is maintained at all times
Ensuring that sufficient and appropriate testing is performed for assigned reviews and ensuring efforts are focussed towards the higher risk areas
Performing special reviews on an ad-hoc basis
Maintaining good Stakeholder relationships with the local and regional Management of the GTB Global Technology (GT) Business Partners, as well as Group Audit and Risk & Control colleagues
Monitoring and tracking the time taken to resolve outstanding risk issues, performing closure validations, as required and ensuring no overdue audit issues/risk items
Providing reliable consultancy on risk management issues to GTB GT management

Regulatory Risk & Control Manager Resume Examples & Samples

To assist in the establishment and execution of an annual strategic risk review plan
To plan, execute and document scheduled reviews in accordance with the approved annual review plan /
Calendar
To ensure necessary working papers are retained for future references and to support findings; review work is documented electronically
To report design, process or control deficiencies and to make necessary recommendations for improvements.To perform 'root cause analysis' where control weaknesses are identified and where appropriate, highlight potential opportunities for improved efficiency and productivity
To ensure a robust and secure control environment is maintained at all times
To ensure that sufficient and appropriate testing is performed for assigned reviews and ensure efforts are focussed towards the higher risk areas
To perform special reviews on an ad-hoc basis
To maintain good stakeholder relationships - with the local and regional management of the GTB GT; Business Partners; Group Audit and Risk & Control colleagues
On an ongoing basis monitor and track timely resolution of the outstanding risk issues. Perform closure validations, as required. Ensure no overdue audit issues / risk items
Provide reliable consultancy on risk management issues to GTB GT management
Self starter, able to act on own initiative
Strong Communication skills - oral and written
Good understanding of controls and compliance issues in a Banking and Finance environment
5+ years of experience in Audit function or other relevant risk management role - experience in risk management role from a technolog perspective would be highly beneficial
Experience dealing with senior business stakeholders in a global environment

CIB Cao-global Regulatory Risk & Control Resume Examples & Samples

Experience working with the regulatory agenda, ideally with Recovery and Resolution, Dodd Frank Act, CFTC and Volker
Experience of working in risk and controls area (desirable)
Experience in business analysis, business documentation, strong communication skills, stakeholder management are essential
Understanding of project management disciplines particularly business analysis
Ability to consistently deliver work of a high standard, to tight timelines
Comfortable navigating through uncertainty, and able to shape agreed clarity
Excellent communication skills including attention to detail with the ability to succinctly communicate requirements to LOBs with appropriate presentation materials
Understand impact of external factors such as regulatory change on business strategy

Regulatory Risk Group Manager Resume Examples & Samples

Strong transactional experience in complex capital markets structures enabling an individual to pull apart transactions and understand all the risk points
Knowledge in banking products and/or trading products
Understanding of the US Basel rules a plus
Risk management experience and an understanding of risk policies
Knowledge of general accounting practices a plus
Understanding Citi’s organizational structure a plus
Excellent written and verbal communication skills including the ability to communicate effectively in a high pressure environment. Conclusions will be reviewed with senior business managers as well as senior risk management. Must be able to defend conclusions with concise factual details
Strong interpersonal skills and the ability to foster a collaborative environment
Minimum Bachelor's degree with 10+ years’ experience in the financial industry

Regulatory Risk Resume Examples & Samples

Support the IRB and IMA model permissions submission work for non ring fenced bank
Extensive submission documents required by the PRA to be delivered in three phases - draft in September 2016 further draft H1 2017 final application Q3 2016
Resource to help produce both IRB and IMA permissions
Support SMEs in drafting permission documents pulling together input from across the Group
Experience of PRA waiver/permission submission would be desirable, however broad regulatory understanding of IRB and IMA approaches, along with good report writing skills would be sufficient

Lead Regulatory, Risk & Control Analyst Resume Examples & Samples

Engaging the highest levels of Global Markets Technology Senior Management and Risk and Control Leads regarding audit related matters
Empowering Senior Management governance of all audit findings
Influencing audit related policies/standards
Supporting the design and implementation of frameworks to proactively manage the entire audit lifecycle process
Leveraging existing platforms to reduce the administrative efforts, of coordinating a large number of findings
Engaging with the Divisional Control & Regulatory Office (DCRO), Global Markets DCO (Divisional Control Officer) and Group Audit when necessary through the audit lifecycle
Overseeing the identification of self-identified findings within Global Markets Technology
Providing training on audit management processes, to guide key Stakeholders to appropriately respond to audits, audit finding closures and provide updates
Supporting the creation of high quality, demonstrable management action plans
Validating the completeness of audit closure requests
Facilitating the submissions of closure requests, in the Global Finding Management System (GFMS)
Performing meaningful analysis of audit and audit related information, correlating new data to identify important trends that demand the attention of Senior Management
Engaging with Global technology teams to ensure accurate and timely delivery of service
Experience within a risk and control role
A background knowledge regarding the Business
Strong analytical skills to evaluate risks and control processes
The ability to manage multi-task assignments, efficiently prioritise your workload with limited supervision and be resilient under pressure
The ability to quickly build a network within a business and among Subject Matter Experts
The ability to deal with people at all levels in a global matrix organisation
A pro-active approach to your work

Regulatory, Risk & Control Analyst Resume Examples & Samples

Managing user access for Deutsche Bank Policy Portal, performing quality assurance approvals and providing oversight and governance of overdue Key Operating Procedures (KOPs)
Acting as a portfolio owner for The Manager, in regards to the current approved repository for No Objection Certificates (NOCs) KOPs
Supporting the initiative to develop and roll out a new KOP template
Supporting the transition of KOPs currently held in The Manager, to Deutsche Bank Policy Portal/Deutsche Bank Equity Capital Markets
Acting as subject matter experts for the business as usual process, managing user profiles, providing training/support, Management Information (MI) and playing a key role in the development of the Counterparty Distress and Default Process (CPDD) platform functionality
Conducting Sarbanes Oxley-Act (SOx) maintenance and providing oversight of the relevant controls within Deutsche Bank Monitor
Updating and aligning Standards and Responsibilities of Control (STARC) Standards, to the new Non Functional Requirement (NFR) taxonomy
Dealing with ad-hoc requests from management
Supporting Global Shared Services work streams, such as risk assessments, and risk culture & conduct as and when required
Actively participating in strategic change within Policy and Monitoring
Implementing a new KOP Template across Chief Operating Office (COO) Operations
Working with global Stakeholders to implement and embed the new KOP template
Providing MI on a monthly basis to support project goals
Supporting the continual development of the Counterparty Distress and Default (CPDD) tool functionality
Continuously improving training aids and tools
Working with Finance/external Consultants to facilitate the implementation of Risk of Material Misstatement (ROMM) templates, within COO Operations
Rationalising COO Operations SOx controls
Creating an improved mechanism for quarterly recertification of SOx controls
An excellent awareness of operational risk & control
An understanding of project management process
The ability to be confident when dealing with Senior Management and build your own network
Good analytical skills to evaluate problems, root causes and inform the development of a solution
A strong track record of delivery
A proven self starter with excellent attention to detail
The ability to learn new concepts quickly and the confidence to work through unfamiliar processes
Good time management skills, with the ability to work on multiple streams of work
The ability to react positively to change and reprioritise where needed
Strong team management and collaboration skills
A Bachelors degree or the equivalent experience or qualifications
Financial services experience preferably within investment banking (beneficial)
Good working knowledge of Microsoft Office applications including Excel, Word and Access (beneficial)
An understanding/experience of system replacement and integration (beneficial)

Regulatory Risk Senior Manager Resume Examples & Samples

Ensure market risk systems feeds, data flows and processes meet Business, Regulator, Audit and Policy requirements and resolve flagged issues
Perform targeted business analysis to validate, verify and document data specification and data quality requirements with the global trading businesses
Assess current data and information flows and develop plans to create an optimized and rationalized strategic architecture
Work with our Technology partners to develop and maintain both long-term and tactical project plans, identify and communicate key data project risks and work with Risk Centers on testing and roll-outs
Coordinate efforts with partners and key stakeholders
Minimum 10 years of hands on program management experiences in top financial services organizations
Proven analytical and problem solving skills
In-depth understanding of financial products (interest rate, FX, Equity, Commodity, Credit Derivatives) and the latest developments in Basel, Volcker and CCAR
Must be well-organized
Undergraduate degree in quantitative field such as Math, Physics, Computer Science is preferred

Regulatory Risk Specialist Resume Examples & Samples

Commerce Bank is seeking a motivated and customer focused individual for as a Regulatory Risk Specialist. This individual will be responsible for internal and external reviews to ensure consumer regulations are being adhered to internally here at the Bank within the BK/IL Servicing & Support units as well as at third-party agencies and attorneys for collection and recovery efforts. Ensure both internal units and external agencies are compliant with all consumer regulations related to, but not limited to FDCPA, FCRA, TCPA, UDAAP, SCRA, EFTA, HMDA, MLA, REG Z and REG X. The vendor management responsibility is the primary function and requires daily, weekly and monthly focus. Additionally, the agencies and attorneys will be audited quarterly with at least one annual onsite facility visit, which will be documented according to the agency review plan. This position will identify and communicate potential risks and exposure via audits and onsite inspections while also ensuring data security measures are being met. Further, the role will identify deficiencies in internal and external processes and procedures that expose the Bank to unnecessary risk as is related to consumer compliance. The Specialist is responsible for providing ongoing written reports and analysis to the agencies, attorneys, Bank senior management and CBI Compliance detailing the outcomes of the reviews with recommendations for procedural changes and/or corrective measures, as necessary. Activities below are only a guide to the description of the job. Duties may be adjusted or added as business needs arise
Analyze and evaluate controls, processes and procedures for BK/IL Servicing & Support units and third-party agencies; ensure adherence under applicable laws, regulations or bank policy
Update test plans as necessary in accordance to regulations to determine scope of review to be performed
Perform on-site and remote testing of agencies to ensure adherence to the master service agreement and addendums as well as all consumer regulations
Ensure business units and agencies remain current with regulatory requirements and are providing necessary training to staff
Review handling of consumer complaints and identify systemic trends or patterns with recommendations for corrective measures
Adequately document test work performed and conclusions reached during reviews
Prepare clear and concise reports for distribution Make recommendations to management for mitigation of compliance risk
Monitor progress of outstanding issues to ensure corrective measures are implemented to correct compliance violations or deficiencies noted during testing and/or reviews
Work Hours
Primary Hours, Monday-Friday 8am-5pm

CIB CAO Regulatory Risk Controls Resume Examples & Samples

Candidate should have deep background in banking & capital markets, with a strong understanding of the products and markets in which the CIB operate. Candidate would ideally come from an Operations trade life-cycle background with exposure to Trade and Transaction Reporting
Experience working with the regulatory agenda, ideally with SFTR, Dodd Frank Act, CFTC and Volker
Ability to work both autonomously and flexibly
Ability to interpret issues raised then prioritize and communicate to senior management and other key stakeholders regarding resolution plans and expectations

Regulatory Risk Project Manager Resume Examples & Samples

Serving as a primary contact to senior stakeholders for critical change initiatives
Communicating, influencing and negotiating to obtain or leverage decision making
Creating a clear, coherent approach to guide effective program/initiative management
Ensuring clearly defined responsibilities and accountabilities for key program/project roles
Integrating knowledge of end-to-end business process into program planning and decision making
Developing, maintaining, and reporting on an overall integrated delivery plan
Participate in strategic and horizontal activities as directed by management
Encouraging the identification, escalation and timely mitigation of work stream and program risks
Performing reviews of work streams and supporting technology activities
Min. Degree qualification in a relevant discipline
3- 5 years experience working in project/change management
Risk Management PMO background · Regulatory Risk experience & acumen / Finance Risk Management background
Strong business partnering skills with individuals across the organization
Ability to grasp new concepts quickly
Strong communication skills, both verbal and written. Writing skills critical to success
Ability to establish rapport with various levels of the organization
Naturally curious, willing to take risks
Ability to prioritize work and meet deadlines
Management of strict deadlines
Project Manager certification preferred

Regulatory Risk Senior Manager Resume Examples & Samples

Good understanding of key retail/consumer credit risk performance metrics, macroeconomic indicators, and general banking concepts
Excellent project management skills and ability to oversee several reports / projects at once. A PMP certification would be a definite asset
Experience managing and/or overseeing T&E & FPC budgets

IS Regulatory Risk Specialist Resume Examples & Samples

6-8 years of work experience in Information Security, Compliance, IT consulting or Technology Audit. Experience in Risk Management, Information Security and Information Technology and/or Analytics preferred
Bachelor’s degree in a related field or equivalent combination of education/experience. MBA preferred
Previous experience performing internal and/or external audit/assessment coordination is an advantage
Knowledge of technology, security risk and compliance best practices such as FFIEC, COBIT, ISO/IEC 27001/27002, and NIST Special Publications strongly preferred
Ability to apply understanding of business processes and technical skills to successful completion of projects
Excellent communication, written and oral, interpersonal and presentation skills to technical and business audiences in a constantly evolving environment
Demonstrated experience in critical thinking and problem solving in high pressure situations
Self-motivated, the ability to manage multiple projects under strict timelines, accepting ownership and accountability of the processes, multi-tasking skills, deliver on commitments, and a team player
Professional certification desired: CISSP, CISM, CRISC

Regulatory Risk Senior Business Analyst Resume Examples & Samples

Manage model development and production execution projects end to end
Manage data procurements for model development
Analyze existing Models and Spreadsheets for migration to strategic Model library
Analyze and document current state and propose alternatives to facilitate strategic design and implementation
Co-ordinate across the Modeling team, Technology teams and downstream consumers for project delivery
Manage and facilitate project meetings with stakeholders and project delivery teams and communicate project updates
Plan, organize, and monitor project performance using appropriate program management tools and techniques in alignment with BAC Change and Project Management Framework
At least 2 years experience in managing risk model development projects
At least 2 years experience in mortgage and commercial real estate products
At least 2 years project/change management/Business Analysis experience
At least 2 years experience in managing Technology projects
At least 1 year experience in SQL and knowledge of at least one programming language like Python, Java, C#, etc
Have Planned, organized, and monitored project performance using appropriate program management tools and techniques in alignment with BAC Change and Project Management Framework
Experience with stakeholder management Technical/ Personal skills
Excellent data analysis and data management skills
Good presentation skills required for the preparation and presentation of information to stakeholders
Excellent communication, interpersonal, and facilitation skills
Strong business and financial acumen including line of business subject matter knowledge in wealth management products

CRO Regulatory Risk Management Resume Examples & Samples

Providing general advisory, guidance and interpretation of APAC regulations, and how to amend risk models or processes to comply with specific local regulations
Review and challenge of self-assessments against APAC rules and participating in Quality Assurance panels to ensure all compliance gaps are correctly identified and appropriate remediation plans are put in place
Keeping up to date with all APAC regulations impacting CRO, understanding the implications of new regulations including impact on Risk Management processes and models, and communicating impacts to local management
Acting as the central point of contact for all risk-related regulatory queries in APAC. This includes organizing meetings with Regulators, organizing agendas, putting together briefing materials for Senior management prior to meetings, putting together presentations for Regulators, tracking outstanding regulatory commitments, keeping Senior Management updated on key regulatory issues

Regulatory Risk Senior Consultant Resume Examples & Samples

Compliance with various regulatory requirements
Credit risk management and measurement
Implementation of new regulations (IFRS 9, Basel III, etc.)
Analysis, monitoring and management structure of liabilities and assets
Operational risk management
Regulatory and management reporting
2 or 3 years’ professional experience for Consultant’s role
More than 3 years’ of professional experience for Senior Consultants role
Professional experience in a bank, financial institution, consulting company or PFSA in regulatory risk area
Master degree in Finance, Economics, Banking or Law
Familiarity with the banking industry and general risk management conventions
Experience and good understanding of Microsoft Office package
Creativity, independence, availability
Working with or knowledge on a range of tools for example R, SQL, VBA, etc
Knowledge on financial mathematics (including econometrics, statistics, stochastic processes)

Regulatory Risk Specialist Resume Examples & Samples

Prepare and review reports necessary for Basel compliance, control design & operating effectiveness, and independent verification
Conducts interviews with subject matter experts, management and regulators to assess documentation requirements that enhance compliance with Basel regulations to mitigate legal, regulatory or financial risk. Will perform internal control evaluations, verification procedures on credit and operational loss transactions, and challenge completeness of the business capital processes
Knowledge of tools, techniques, and strategies applied in financial risk management; the ability to quantify, qualify, and manage financial risk
Knowledge of and ability to read, interpret and draw accurate conclusions from financial and numerical material

Regulatory Risk Advisor Resume Examples & Samples

Assist with risk identification and idiosyncratic risk process for CCAR/DFAST
Support PNC’s risk appetite framework and the annual risk appetite reassessment
Execute and support the significant initiatives approval process for the organization
Prepare and present findings to regulators and internal clients
Serve a point of contact for Regulators
Knowledge of organizational politics and political tactics; ability to effectively navigate formal and informal communication and decision-making channels
Knowledge of business process improvement tools and techniques and ability to understand, monitor, update, or enhance existing business or work processes
Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls
Knowledge of and ability to read, interpret and draw accurate conclusions from financial and numerical material
Knowledge of tools, techniques, and strategies applied in financial risk management; the ability to quantify, qualify, and manage financial risk

Regulatory Risk & Control Specialist Resume Examples & Samples

Working with CTO Technology Management to agree assessment findings and mitigating actions and evaluate outcomes in terms of systemic issues requiring strategic remediation
Partnering with Technology functions in managing the portfolio of Audit and Self-Identified findings to ensure successful outcomes in addressing root causes
A strong finance / economic / quantitative academic background
An understanding of internal and external controls, compliance and risk frameworks such as Control Objectives for Information and Related Technologies (CoBIT), International Organization for Standardization (ISO) standards, Information Technology Infrastructure Library (ITIL) etc
A Bachelor’s degree from an accredited college or university (or equivalent education / work experience
Preferably one of the following skills: CISSP (Certified Information Systems Security Professional) or equivalent, CISA (Certified Information Systems Auditor) or equivalent, 6-Sigma Green Belt Certification (preferred), and / or COBIT, ITIL, ISO27000, PRINCE or Project Management Institute (PMI)
Regulatory, Risk and Control Specialist Business competencies including the following: Change Leadership, Financial Management, Industry Knowledge, Risk Management
Regulatory, Risk and Control Specialist Technical competencies including the following: Business Analysis, Client Services, Operational Management, Process Development and Management, Quality Management

Regulatory Risk PMO Executive Resume Examples & Samples

Working closely with functional lines of business both in GRA and outside to implement CECL efforts
Ensure a clear understanding of the new regulations across GRA; Understand and document the changes needed in GRA to meet the new requirements
Partner with various line of business executives to structure the GRA Program and establish a consistent interpretation of the requirements and the delivery across wholesale, credit and mortgages including establishing & delivery of executive status reporting packages
Managing portfolios / programs specific to CECL efforts that have significant impact on how the company does business, provides a product or service, or executes a function
Responsible for enterprise and/or line of business-wide, cross functional, high impact strategic initiatives by ensuring delivery of business outcomes from portfolio investments
May serve as primary contact to Executive management for critical change initiatives depending on scope and impact of business supporting. Communicates, influences and negotiates both vertically and horizontally to obtain or leverage necessary resources
Strong business centric mindset with ability to utilize sound business judgment and tailor approach to drive optimal business outcomes
May serve as primary contact to Executive management for critical change initiatives depending on scope and impact of business supporting
10 plus years prior business experience as a demonstrated change/program management executive
Prior experience managing large diverse programs and projects/initiatives
Solid business acumen and grasp of the Financial Services/Banking Regulatory environment
Ability to communicate with highly technical/quantitative as well as non-technical partners
Collaborative, team player with the ability to connect across groups
Strong executive presence, leadership and interpersonal skills; proven track record of engaging and influencing senior executives
Proactive approach to program/project management, knowledge of project management methodologies
Ensures the proper risk disciplines are in place to deliver the best outcomes for our customers, clients, and shareholders and to protect our company’s reputation
Demonstrates commitment to excellence by anticipating needs, mitigating risks and minimizing potential problems
Aligns and mobilizes resources in order to deliver sustainable results

Regulatory Risk & Control Specilist Resume Examples & Samples

Supporting front-line management in identifying, assessing and measuring risks, identifying remediation actions and monitoring risks by performing comprehensive risk assessments of technology functions according to established process and control standards for Non-Financial Risk
Performing focused deep dive risk assessments on specific Technology functions in response to internal and external risk events and pro-active triggers
Working with CTO Technology Management to agree assessment findings and mitigating actions and evaluating outcomes in terms of systemic issues requiring strategic remediation
Partnering with Technology functions in performing an assessment of controls and risks relevant to the successful delivery of significant change and control improvement programmes
Previous experience in Risk Assessments / Technology and Operations Audits / Information technology Operations focused Control functions
An understanding of Investment Banking functions with broad-based experience in technology and operations, and the ability to understand differing needs of Stakeholders

Regulatory, Risk, & Control Rep Resume Examples & Samples

Coordinate activities between Consultants, CRO and impacted business areas
Creation of guidelines and procedures to administer adherence to Data Governance Policy
Create & monitor ongoing review, assessment activities as needed e.g. Policy changes, new operating groups
Create, coordinate and track training within specified business areas
Identify control gaps & recommend appropriate controls in current process flows
Five to eight years of experience in operational risk activities
Advanced knowledge of government and regulatory laws and regulations
Thorough knowledge of U.S. Bancorp operations, policies and procedures
Experience in managing, analyzing, or coordinating data
Ability to interpret and summarize process maps
Strong Microsoft Excel & Viso skills
Ability to ingest large amounts of detailed information and provide a concise summary
Prior involvement in standing up a new discipline / concept across multiple large and diverse business areas

Regulatory Risk Senior Project Manager Resume Examples & Samples

Degree level in relevant subject – i.e. Business Studies, Computer Science or Mathematics
Understanding of market risk management practices
At least 2-5+ years Capital Markets experience
At least 1 year experience in SQL and knowledge of at least one programming language like Python, Java, C#, etc
FRTB (Fundamental Review of Trading Book) Experience is highly desired
Excellent communication, interpersonal, and facilitation skills

O&t-regulatory Risk Officer Resume Examples & Samples

Prior experience includes 5 years+ in Risk Management/Audit/Internal Controls
BA/BS required, MA/MBA preferred
Cross Border or Outsourcing knowledge or experience - advantage
Strong work ethic and initiative, demonstrated ability to see tasks through to completion
Excellent use of discretion and sound judgment
Excellent communications skills both oral and written
Exceptional research/analytical skills and excellent problem solving abilities
Results oriented, with the ability to achieve desired outcomes independently
Ability to prioritize multiple tasks to ensure that challenging deadlines are met
Well organized with excellent follow-up and ability to provide exceptional support
Demonstrated ability to contribute consistently and work effectively as part of a team
Ability to see the big picture with close attention to critical details
Ability to build and maintain strong relationships at all levels of the organization
Technical proficiencies in MS Office suite and SharePoint, database experience a plus
Strong knowledge of Citigroup policies/standards

Regulatory Risk Senior Manager Resume Examples & Samples

Bachelors’ degree in Finance, Accounting, Business or related field
7+ years experience in Project Management required
PMP designation strongly preferred
Experience in Financial Management concepts and supporting systems preferred
Experience in Business Architecture & Strategic Planning for systems preferred
Experience with regulatory initiatives such as CCAR, Dodd-Frank, Volcker, BCBS 239, Resolution Planning preferred
Substantial experience in risk management systems in the Financial Services industry preferred
Demonstrated effectiveness in leadership roles in transformational Financial Services initiatives
Understanding of IT principles and the software development lifecycle
Excellent skills in communication, presentation, influencing others, negotiations, and leading diverse, geographically dispersed teams
Ability to facilitate discussions and drive group meetings to arrive at consensus
Ability to work in fast-paced environment with multiple deliverables and ad-hoc requests
Proficiency in all Microsoft Office tools

Regulatory Risk Specialist Resume Examples & Samples

Partner with assigned CBSS leaders, other Risk/Compliance/Audit (RCA) Consultants, and BL leads to execute projects
Participate in projects and/or activities that ensure compliance with applicable federal, state and local laws and regulations
Identify gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors
Identify, respond to and/or escalate risks as appropriate
Serve as a functional liaison between the Line of Business and the Lines of Defense
Three to Five years of experience in an applicable risk management environment
Experience managing business tasks related to Regulatory Change projects
Working knowledge of bank operations policies and procedures; USBHM and Consumer
Understanding of Regulatory and Compliance policies and procedures
Good organizational and project management skills
Good understanding of key business line functions, and their impact on profitability
Ability to interact effectively with staff at multiple levels in the organization
Experience with Mortgage Servicing ( RMDM/ Performance) line of business is preferred

Regulatory Risk Specialist Resume Examples & Samples

Oversee and distribute information from the Federal Reserve Board (FRB) to the appropriate Line of Business (LOB) partners
Manage requests for information from the FRB including: Ensuring response strategy and format; compiling content; and ensuring timely deliver, following established protocols
Ownership and oversight of the development and maintenance of regulatory databases, SharePoint site and shared folders
Maintain and document work flow, procedures and process maps for various regulatory submissions
Meets regularly with management at various levels to promote regulatory protocol awareness
Facilitate approval process including schedule, attend all approval meetings and ensure all certifications are complete prior to submission of each template
Responsible for maintaining communication between regulatory submissions and Internal Audit
Liaison between LOB partners and Information Technology to ensure proper uploading and transmission of submission files
Create metrics and presentation material to track and report process and events
Additional projects & work as assigned, including leading certain regulatory submissions
Support all Change Management processes
Proficiency in Microsoft Office (Excel, Powerpoint, Word and Adobe)
Proven ability to effectively perform multiple tasks and work on cross functional projects
Regulatory experience a plus

Regulatory Risk Group Manager Resume Examples & Samples

Senior member of the Regulatory Capital Interpretation and Analysis Team ("CIAT") within Global Risk Management, which focuses on regulatory capital management for Citigroup firm-wide
Basel III credit risk subject matter expert for wholesale credit and complex, structured transactions
Lead the review and analysis of new and existing financing and deriviatives transactions, including wholesale loans, securitizations and securities financing transactions, to provide guidance on the proper regulatory capital treatment and RWA impact. These are complex transactions and a strong understanding of credit risk analsyis is required
Member of the Basel III Interpretive Committee, whose primary purpose is to provide a forum to present and opine on capital treatment of highly complex and capital intensive credit exposures
Interact confidently with CIAT and COBRA peers, Credit Risk Management, Risk Architecture, and the Business to recommend and implement improvements to existing regulatory capital framework for Credit RWA and internal Risk Policy. Examples include partnering with Risk Architecture in the annual PD and LGD parameter updates
Frequent interaction with Senior Risk Management and Business partners, as well as the US banking regulators
Excellent understanding of the underwriting, structuring, pricing and syndication and hedging of bank financing products, as well as risk management practices and procedures
At least 10 years of experience with credit risks and legal risks and mitigation techniques
Knowledge of Citi's internal risk policies and systems is advantageous
Experience with troubled debt restructurings and workouts is advantageous
Working knowledge of Basel III credit risk concepts and related RWA calculation
10+ years working experience in a directly related field is required
Solid computer skills, with expertise in Excel and Microsoft Office products
Excellent academic record preferably in finance or accounting
Bachelor’s level qualification is required; Masters or equivalent degree is preferred

Regulatory Risk Specialist Resume Examples & Samples

Working knowledge of Operational Risk and / or Basel
Understanding of controls for purposes of compliance, oversight, reviews and challenge
Understanding of Lines of Defense functions, roles and responsibilities
Ability to perform testing and clearly document gaps and findings
Demonstrated ability to adapt to a fluid environment
Experience developing or enhancing business processes to adapt to changing regulatory and organizational needs
Experience identifying potential audit issues
Familiarity with eGRC and MS Office Suite

Associate / Senior Associate, Regulatory Risk Resume Examples & Samples

Provide regulatory compliance advisory services to capital markets institutions
Develop a trade control, surveillance and reporting testing tool, which is heavy in analytics and performance metrics
Program in Oracle PLSQL and Linux shell scripting
Develop procedures to analyze trade/order activity for potential regulatory compliance issues
Develop summary reporting and analysis to be used by compliance supervisors
Identify and communicate technical matters to upper management
Two years of experience as a database/oracle developer role with a understanding of electronic trading platforms
Proficiency in Oracle PLSQL, Linux shell scripting, and SQL required
Programing experience in Java/Python or some front end development technology desired
Experience in a compliance/reporting for trading systems environment preferred
Understanding of capital markets and trade cycle preferred
Five years of related work and project management experience

Sales Specialist, Regulatory & Risk Resume Examples & Samples

Achieve stated activity levels and attain sales targets
Drive sales efforts for RI & RCM (Workflow) opportunities
Manage Campaigns
Ability to find new opportunities as well cross selling to existing clients
Respond quickly to customer needs, working with urgency to propose creative solutions that deliver demonstrable value
Deep domain knowledge and technical expertise in assigned customer segment and related TR products/solutions
Emotional resilience and strong negotiation and problem-solving skills

Regulatory Risk Specialist Resume Examples & Samples

Perform validation of issues reporting to ensure accurate and consistent issues metrics and reporting
Conduct challenge of EIM administration of as well as business and risk area compliance with Issues Management Policy
Perform system testing to validate Archer eGRC enhancements for the Issues Management module
Support EIM’s RCSA execution, documentation and self-testing
Perform analytics and generate metric reporting on policy compliance, as well as other analytics and metrics as needed

Regulatory Risk Oversight Resume Examples & Samples

5+ years of financial services experience, with concentration in compliance, audit or risk
Knowledge of OCC, FRB and CFPB banking regulations with experience
Strong interpersonal skills and ability to communicate effectively both verbally and in writing across a matrixed organization
Strong Visio flowcharting skills
Proficiency in Microsoft Office applications and SharePoint

Regulatory Risk Officer Resume Examples & Samples

Serve as a first line of defense subject matter expert in relevant banking regulations (including Reg B, Reg O, Reg U, Reg W, Reg DD, Reg Y)
Implement and enhance an ongoing compliance monitoring process for the Bank’s lending and non-lending products
Oversee a team member responsible for day-to-day compliance monitoring
Develop an annual plan with timelines to meet goals of the compliance monitoring process and drive the team to strong and timely execution of the plan
Liaise with product teams and bank management to identify, escalate and address any issues
Undergraduate degree in Business, Finance, or other related field
7+ years compliance or internal audit experience in the banking industry
2 years managerial experience
Must have substantive knowledge of all consumer lending rules and regulations applicable to consumer lending products, most notably mortgage and securities based lending. Knowledge of the following regulatory areas is required: Privacy, Fair Lending, UDAAP, SAFE Act, TILA, REPSA, ECOA, HMDA, FDPA, SCRA, FCRA, Reg W, Reg O, Reg Y, Vendor Management and BSA/AML
Confident and concise presentation skills for senior management
Must possess strong analytical and problem solving skills to be used in evaluation and interpretation of information
Ability to follow complex methods, processes and procedures in diverse tasks
Strong priority management and multi-tasking skills required
Strong interpersonal skills, ability to interpret information quickly and communicate effectively both verbally and in writing across a matrixed organization
Ability to build relationships with business units and Compliance partners
Ability to work in a fast-paced work environment and meet deadlines with minimal supervision

Regulatory Risk Officer Resume Examples & Samples

Prepare presentations for senior management
Undergraduate degree in Business, Finance or other related disciplines
7+ years compliance, internal audit or operational risk experience in the banking industry
Must be knowledgeable of all consumer lending rules and regulations applicable to consumer lending products, most notably mortgage and securities based lending. A working knowledge of the following regulatory areas is required: Privacy, Fair Lending, UDAAP, SAFE Act, TILA, REPSA, ECOA, HMDA, FDPA, SCRA, FCRA, Reg W, Reg O, Reg Y, Vendor Management and BSA/AML
Strong interpersonal skills, ability to interpret information quickly and the ability to communicate effectively both verbally and in writing across a matrixed organization
Knowledge of review techniques and documentation standards

Compliance Regulatory Risk & Controls Analyst Resume Examples & Samples

Ongoing Transaction Surveillance of Portfolio Management and Trading functions including querying Transaction Surveillance exceptions with the Portfolio Management and Trading functions
Ongoing forensic compliance testing, leveraging complex data analytics, trend monitoring, and statistical analysis to identify and investigate potential compliance issues
Interpretation of Regulatory Risk and application of this understanding to surveillance exceptions and to the ongoing iterative development of surveillance tests
Working within a wider global team to support the surveillance function
Alongside the broader Compliance teams, actively supporting and contributing to Blackrock’s strong compliance culture
Participating in the development of new Transaction Surveillance tests, including regulatory interpretation, technical specifications and testing
Development and maintenance of procedures related to Transaction Surveillance
Appropriate escalation and tracking of issues as they are identified
Maintenance of appropriate records of work completed in accordance with procedure; and
Ad hoc projects related to Transaction Surveillance and the broader Compliance function
Statistical and Mathematics background is required
Higher level Excel Functionality (Macros/V Look Up)
Data Science and big data analytics experience
Experience with data analysis software or statistical programming tools such as R, Python, Spotfire, and Tableau
Experience with regulatory Transaction Surveillance and/or Forensic Testing in the financial sector would be valuable
Experience with transaction surveillance systems (e.g. Charles River or Sentinel) would be valuable
Understanding of the asset management sector, preferably with previous experience working for an asset manager or large financial organization would be valuable; and
Proficiency in Word and Power Point
Bachelor’s degree or equivalent with emphasis on Mathematics, Statistics, or Computer programming a preference

Regulatory Risk Assessment Specialist Resume Examples & Samples

Review and update business line and compliance regulation risk assessments
Provide advisory assistance in the completion of non-regulatory risk assessments for new product/service development
Monitor regulatory changes and guidance
Complete notification of regulatory changes
Facilitate implementation of regulatory changes
Follow-up on all regulatory changes after implementation to ensure that all policies and procedures have been enhanced
Demonstrated knowledge of Microsoft Office technology
Must have proficient verbal and written communication skills

Senior VP, Regulatory Risk Senior Manager Resume Examples & Samples

7-15 years of professional experience is preferred. A candidate with stress testing experience or a quantitative background is preferred
Demonstrated ability to partner with clients to define an end to end business and technology architecture
Ability to extract and understand various scenario management requirements from stake holders
Ability to drive, potentially unrelated, needs to a concise and comprehensive solution
Knowledge of forecasting and instantaneous shock stress testing
Knowledge of CCAR, Risk Capital, and Corporate Stress testing
Quantitative background with a degree in Engineering, Computer Science or Mathematics preferred
Ability to comprehend methodology documentation for derivatives, treasury, and loans and leases
Strong programming skills (acquired academically or through hands-on experience); preference for C++ and Python
Knowledge of financial what if tools is a plus
Capable of performing end to end analysis to identify gaps and propose solutions
Understanding of Credit, Market and Operational Risk Management concepts
Background in project management and experience defining and documenting business requirements is plus

Governance, Regulatory & Risk Resume Examples & Samples

Collaborate with other teams to create governance, risk and regulatory solutions to clients
Apply technical knowledge to manage clients’ services across various areas or functions
Integrate technical expertise and business understanding to deliver excellent solutions to clients
Consult with team members and other organizations, clients and vendors as required
A Bachelor’s degree/HND with a minimum of a second class upper/upper credit in Accounting, Finance, Economics, Law or any related course from a reputable university in Nigeria (or overseas)
A minimum of 3 years cognate experience
Possession of ICAN, ACCA, CIA or any other relevant professional certification will be an added advantage
Effective decision making skills
Proficiency in the use of MS-office tools i.e. Excel, Word and Power-point
Self-motivated and able to work with minimal supervision, proactively seeking guidance, clarification and feedback
Sound written and oral communication
Drive and resilience

Associate / Senior Associate, Regulatory Risk Resume Examples & Samples

A minimum of one year of experience as a database/oracle developer role with a understanding of electronic trading platforms
A minimum of three years of related work and project management experience
Well-established understanding of business dynamics and regulations

Associate / Senior Associate, Regulatory Risk Resume Examples & Samples

Provide regulatory compliance services to financial institutions in the capital markets area
Assist clients with building and assessing their inventory of regulatory obligations
Assist capital markets clients with supervisory and compliance risk and control assessments
Support clients with internal controls testing
Identify opportunities for enhancements to existing policies and processes and related internal controls
Assist with project planning and project management as well as development of deliverables
Support the practice by helping to build assessment tools
A minimum of one year of experience as a regulator or compliance practitioner, preferably as a branch examiner or compliance risk reviewer
Strong knowledge of FINRA rules and SEC rules
Ability to multi-task and prioritize changing workloads to meet internal and external deadlines
A minimum of three years of related work experience and/or project management

Associate / Senior Associate, Regulatory Risk Resume Examples & Samples

Assist our capital markets clients to identify and understand the sales and trading regulatory risks related to the business
Focus on assisting capital markets firms in managing regulatory risks
Develop comprehensive regulatory compliance and supervisory policies and procedures
Identify opportunities for enhancements to existing internal controls utilized by the client broker-dealers to manage their regulatory risks
A minimum of one year experience as a regulator and/or compliance practitioner with knowledge of regulations that apply to trading activities such as Reg SHO, trade reporting, and Reg M
Prior compliance program experience
Ability to manage multiple tasks and prioritize changing workloads
Ability to effectively work independently and as part of a team

Regulatory Risk Associate Resume Examples & Samples

Producing regular risk reporting to meet the regulatory requirements (UCITS/AIFMD) prescribed by regulators across EMEA, including escalation of exceptions to senior team members, and partnering with affected business units for issue resolution
Performing analyses to help address real-time demands of senior members of the team, i.e. Market risk (Global Exposure/Leverage), Liquidity, Counterparty and Operational risk analysis
Partnering with development teams to create “state-of-the-practice” regulatory risk analytics and risk models that are practical to use through the BlackRock platform
Maintenance and oversight of risk management procedures and policies
Conducting VaR backtesting reviews and stress testing for the EMEA fund ranges, decomposing the results and maintaining commentary logs
Providing support to the wider EMEA team on all regulatory risk related items
Strong academic background with excellent numerical and analytical skills - relevant Degree required - Masters, CFA, FRM or equivalent would be regarded favourably
Strong Programming (VBA, R, C++, Java) and database (SQL) skills are highly desirable
Ideally previous relevant experience in financial services
Knowledge of AIFMD and UCITS risk reporting requirements a plus
Able to manage workload autonomously and effectively
Strong self-learning skills and comfortable with autonomy - inquisitive, detail-oriented, self-motivated
Enthusiasm and commitment to working in a friendly, motivated, team environment

Regulatory Risk Senior Analyst Resume Examples & Samples

Produce Basel Market Risk Capital VaR, SVaR, IRC and Risk Not in Model for Citigroup and major legal entities & analyze changes in risk profiles
Coordinate with Risk Analytics and Market Risk Managers to keep abreast of model changes and trading activities that drive VaR changes
Prepare presentations and regulatory disclosures such as VaR in Citigroup’s 10Q/10K statements, CGML IMA Regulatory Capital, Basel III Market Risk RWA report
Streamline business processes and systems to comply with regulatory risk frameworks and assist management in operating more efficiently and effectively
Responsible for Trading Book Securitization and Correlation Trading monitoring support and reporting
Develop and implement new projects on upcoming regulations like FRTB and strategic solutions to improve current processes around Basel calculations and ensure compliance with Basel regulatory requirements
Monitor regulatory developments and regulatory market risk changes, assess their impact on current projects and processes, and implement changes as necessary. Significant involvement in FRTB related analysis and project work
Experience must include exposure to market risk, securitizations, securities and derivatives regulatory risk frameworks
Financial or regulatory reporting
Exposure to regulatory environment (Basel III/CRD IV)
Strong data analysis and management reporting/presentation skills
Self-starter, proactive team player
Requires a Bachelor’s degree in Finance, Economics, Accounting, Business Administration or a related field and 3 years of experience in a position involving advanced regulatory reporting supporting the financial services industry

Regulatory Risk Assessment Specialist Resume Examples & Samples

1) Financial Compliance Experience
2) Business Risk Management (ability to breakdown risk and how it applies to the line of business)
3) CRCM (must be willing to complete within 1 year of starting)

Regulatory Risk Senior Manager, SVP Resume Examples & Samples

Serve as the team leader with responsibilities and oversight for the production, maintenance and transparency of internal/external reports that are produced on the global, regional, and legal vehicle views
Liaise with all levels of Risk Management and Risk System & Technology, Legal and Compliance for reporting requirements
Leads and participates in projects that will enable more consistent and transparent risk reporting across all Citi businesses
Collect, analyze and maintain quantitative and qualitative data and information related to corporate risk reporting and Citi Policies
Promote best practice sharing across businesses and risk processes
Maintain communication and build strong relationships with our global team as well as management, regulators, internal audit, and other clients
Actively participate in the resolution of MRAs and CAPs resulting from internal and external reviews
Ensure team compliance with Management Control Assessments (MCAs), the Risk Reporting Directive and End User Computing (EUCs)
8+ years relevant financial experience'
Prior management experience with a proven track record to deliver results
Exudes the determination and commitment to ensure deadlines for all deliverables are met
Demonstrates the ability to influence team members, clients and management to achieve team/organizational goals
In depth understanding of Citi’s technology & system infrastructure
Expertise in re-engineering reports on efforts to streamline and make more efficient

100

Regulatory Risk Project Manager, SVP Resume Examples & Samples

Bachelor’s degree with 5 plus years’ experience as a project manager
Experience with or exposure to regulatory initiatives such as CCAR, Dodd-Frank, Volcker, BCBS 239, Resolution Planning
Understanding of capital markets and asset classes
Substantial experience in risk management systems in the Financial Services industry
Experience in Financial Management concepts and supporting systems is a substantial plus
Ability to facilitate discussions and drive group meetings to arrive at consensus
Ability to work in fast-paced environment with multiple deliverables and ad-hoc requests
Well above average proficiency in Microsoft PowerPoint

101

Senior VP, Regulatory Risk Senior Manager Resume Examples & Samples

Partner with CCAR, Corporate Stress Testing, and Risk Capital work stream owners to define scenario management strategic solutions
Work with technology partners, who own business requirements and development, to define requirements and deliver a solution that exceed expectations
Identify gaps in requirements, e.g. missing requirements, unclear requirements
Lead wholesale product experts from areas throughout the institution to an agreed to end state
Understand CCAR best in class standards and leverage them to improve internal corporate stress testing
Establish oneself as the Firms scenario management tool subject matter expert
Demonstrated ability to partner with clients to define an end to end architecture
Strengthen governance framework, e.g. working groups and prioritization process
Identify and communicate key project risks, define mitigation strategies, and manage resolutions
Develop test strategies and coordinate the execution of test scripts
Performing quantitative analysis, understanding quantitative methodology documentation and creating appropriate test cases
Ability to work closely with methodology owners and risk analytics teams
Work closely with all levels of Risk Management across products and business units in performing end to end project delivery activities
Ability to analyze and comprehend quantitative and general market data
Develop test strategies, document test scenarios, and coordinate the execution of test scripts
Wholesale product knowledge, e.g. OTC Derivatives Products, Fixed Income, etc. is required
Quantitative background with a degree in Engineering, Computer Science or Mathematics is a plus
Knowledge of forecasting and instantaneous shock stress testing is a plus
Knowledge of CCAR, Risk Capital, and Corporate Stress testing is a plus
Understanding of Credit, Market and Operational Risk Management concepts is a plus

102

Regulatory Risk Senior Manager Resume Examples & Samples

Direct and drive the successful and timely completion of ORM programs to achieve business goals
Management of ORM initiatives utilizing processes and tools as required by FRI program management standards
Execution of program management disciplines including progress, issues, risk, communication and change management
Effective management of Project Management processes to ensure timely and proactive 1) identification of program issues and risks and 2) development and execution of mitigation/resolution plans
Management of program scope to ensure sufficient resource allocation, documented stakeholder approval and successful completion of the program
Tracking and status reporting via various processes and to multiple governing bodies
Working with IT partners to 1) identify and document business requirements, 2) develop test strategies, 3) document test scenarios, and, 4) coordinate the execution of test scripts
Bachelors degree in Finance, Accounting, Business or related field
7+ years’ experience in project management practices or related responsibilities (operational change management, reengineering) in a financial services institution is required
PMP certification is strongly preferred
Demonstrated effectiveness in program leadership roles in transformational financial services initiatives
Excellent skills in communication, presentation, influencing others, negotiations, and working with diverse, geographically dispersed teams
Substantial experience in regulatory program management in the financial services industry. Prior work in operational risk management is a substantial plus
Ability to facilitate discussions and drive group meetings to arrive at consensus amongst a diverse set of stakeholders
Ability to quickly grasp and master new subject matter and regulatory-related concepts
Well organized and excellent attention to detail
Strong verbal and written communication skills including the ability to present to senior levels of management

103

Regulatory Risk Senior Analyst Resume Examples & Samples

End-to-end project management of data quality improvement projects and other initiatives across risk related businesses
Identification of material changes in profiles, root cause analysis, communication to impacted parties and resolution of underlying issues
Production of data quality metrics and information packs supporting EAD calculations, providing updates on progress to internal stake holders as well as external regulators
Contribute to other initiatives within the group if required (regulatory issues, country crisis reporting, improvement of the overall internal and regulatory (Basel III) exposure calculation process and development of tactical and strategic reporting tools, ad-hoc senior management reporting etc.)
Work closely with CCAR Lead in order to deliver CCAR process for EMEA and US entities
Daily/monthly analysis and reporting of counterparty credit risk exposure fluctuations in the trading book portfolio (OTC derivatives covering all asset classes - i.e. Equities, Rates, Credit, FX and Commodities)
Preferably sound understanding of counterparty credit risk measures/issues associated with Trading Book/OTC derivatives i.e. Exposure At Default/Expected Positive Exposure, Mark-to-Market valuations, Netting/Margining applications, Credit Value Adjustments etc
Preferred but not required exposure to regulatory environment (Basel III/CRD IV)
An understanding of the legal agreements supporting trading book products
Degree or post-graduate
MBA/Masters/PhD/Finance/Accountancy/Other

104

CIB Regulatory Risk & Controls Mifidr Lead VP Resume Examples & Samples

Lead MiFID/R Post Trade control requirements and design across transaction reporting, post trade transparency, systemic internaliser, execution venue and other associated MIFID/R reporting requirements
Partnership with key stakeholders including Program Managers, LOB contacts, Technology and Global Controls teams in understanding solution designs
Develop the strategic regulatory reporting architecture (XODS / GRACE) through strategic control management and oversight through the delivery of MIFID/R
Design and implement MIFD/R cross LOB operating model - Work in partnership with the GRR&C teams to implement consistent, effective Operating Model
Ongoing management of MiFID/R Operating model including issue and event management, chair governance forums, drive cross LOB controls to BAU levels through key MIS
Manage vendor relationships
Primary point of contract for regulator
Work closely on other related agendas as directed through the Controls agenda e.g. regulatory reporting risk assessment cycles, OLO etc
Previous experience within regulatory reporting – preferably MIFID
Experience within at least one asset class understanding product knowledge and the trade life cycle
Have experience of working in a control environment and designing and delivering control solutions - regulatory reporting controls a plus
Able to operate across businesses and functions with strong partnership skills to drive delivery
Previous management experience an advantage
Ability to prioritize and communicate to executive management and other key stakeholders regarding issues, resolution plans and expectations
Strong organizational & planning skills
Demonstrate a broad understanding of the changing regulatory environment and its impact on the industry in which the CIB operate
Strong data management skills plus Excel and PowerPoint skills required

105

VP, Credit Risk Regulatory Risk Management Resume Examples & Samples

Provide strong independent assessment, challenge, and solutionstogether with our Risk colleagues, the Businesses and our Infrastructure partners
Anticipate, Preventand Detect Risk and Control problems before they break
Design control solutionswhich are risk-appropriate, effective, efficient and reduce redundancy
Proactively work across Risk and Business to share best practices, lessons learned and actions to avoid repeat issues
Monitor risk, issues and action plans to drive accountability
Provision of regulatory advice for EME & APAC regions, assisting with regulatory self-assessments and Credit Risk capital model applications in support of IRB permissions
Basic Qualifications

106

Global Head of Regulatory Risk & Control Reporting for AML Resume Examples & Samples

7+ years bank or financial services AML regulatory and/or compliance experience or law firm equivalent
Bachelor's degree or 5+ years of experience with a JD (preferred)
Knowledge and understanding of AML financial services laws and regulations
Strong organizational skills, attention to detail
Ability to independently plan, execute, follow up with limited supervision
Ability to work well with people across cultures at all levels within the organization
Ability to work in a cross-functional environment and to manage complex projects involving multiple stakeholders
Microsoft Office Suite skills (Word, Excel, PowerPoint, Access)

107

Solutions Specialist, Regulatory & Risk Sales Resume Examples & Samples

Drive sales efforts for RI & RCM (Workflow) products
Coordinating RFP and RFI responses with cross functional team
5 - 10 years minimum sales experience in the Financial Services Sector and/or software sales
Undergraduate degree required. MBA or Master’s Degree preferred
Previous experience working in financial services and/software firm

108

Solutions Specialist, Regulatory & Risk Resume Examples & Samples

Achieve stated activity levels and attain sales targets
Acts as a ‘subject matter expert’ of product/service and owns this role in the overall sales process
Drive sales efforts for RI & RCM (Workflow) products
Manage Campaigns
Ability to find new opportunities as well cross selling to existing clients
Respond quickly to customer needs, working with urgency to propose creative solutions that deliver demonstrable value
Coordinating RFP and RFI responses with cross functional team
Act as an advocate for customer needs to the business and product teams escalating issues quickly
Update activities and forecasts in Salesforce.com
5 - 10 years minimum sales experience in the Financial Services Sector and/or software sales
Deep domain knowledge and technical expertise in assigned customer segment and related TR products/solutions
Strong business development, prospecting, and consultative/solutions-based selling skills
Strong communications, interpersonal, and persuasion skills
Effective organizational and planning skills
Emotional resilience and strong negotiation and problem-solving skills
Strong rolodex of industry contacts for assigned customer market segment
Undergraduate degree required. MBA or Master’s Degree preferred
Industry licenses or designations welcomed
Previous experience working in financial services and/software firm

109

Cib-regulatory Risk & Controls Program Lead VP Resume Examples & Samples

Program delivery: strong program and project management background with proven track record in delivering challenging pieces of work to firm deadlines
Candidate should have a background in banking & capital markets, with a strong understanding of the products and markets in which the CIB operate
Understanding of project management disciplines such as business analysis and testing management
Experience working with the regulatory agenda (desirable)
Experience of working in risk and controls area (desirable)
Stakeholder Management: Leader able to successfully operate across regions, businesses and functions with demonstrable strong negotiation, influencing and relationship management skills
Ability to consistently deliver work of a high standard, to tight timelines
Comfortable navigating through uncertainty, and able to shape agreed clarity
Program and project management
Excellent organization and communication skills including attention to detail with the ability to succinctly communicate requirements to LOBs with appropriate presentation materials
Proactive and creative problem solving with business process reengineering experience and tenacity to drive to root cause
Deals comfortably with ambiguity and uncertainty; effective at working with multiple functions across regions
Team player with ability build & maintain productive working relationships with colleagues at all levels and across functions in a collaborative manner in order to achieve results, as well as ability to manage prioritization
Ability to work both autonomously and flexibly
Ability to interpret issues raised then prioritize and communicate to senior management and other key stakeholders regarding resolution plans and expectations

110

Regulatory Risk Senior Manager Resume Examples & Samples

Partnering with GFTS and FRI to ensure the Operational Risk infrastructure effectively and efficiently supports operational risk processes and functions
Supporting the annual business planning process for the Operational Risk Infrastructure, ensuring successful implementation of technology programs and projects, and contributing to the development and implementation of a newly defined target state environment
Provide program management support to ORM initiatives to implement a strengthen operational risk management framework
Management of ORM initiatives utilizing processes and tools as required by Citi program management standards
Effective management of program management processes to ensure timely and proactive 1) identification of program issues and risks and 2) development and execution of mitigation/resolution plans
Bachelor’s degree in Finance, Accounting, Business or related field

111

Risk Manager for Danske Bank Regulatory Risk Resume Examples & Samples

Advanced degree in Law, Economics, Audit or similar
A good knowledge of financial legislation
Good knowledge of compliance and risk monitoring
Some experience with banking or securities trading
Some understanding of other legislation such as data protection, competition law and company law
Proactive and goal oriented
Proficiency in English and knowledge of at least one Scandinavian language

112

Regulatory Risk & Control Specialist Resume Examples & Samples

Facilitating an independent risk and control framework, challenging control weakness and delivering transparent risk based oversight
Advising and assisting in mitigating risks that arise from weakness, errors and external event demands (Audit/Regulatory), in partnership with the regulatory operations teams globally
Instilling a control mind-set across the GTO Regulatory Operations organisation, ensuring that a control focus is prominent
Understanding the impact of errors, timely escalation, remediation and lessons learnt to facilitate a reduction of operational losses or near misses
Managing incident reporting through the agreed GTO framework and working extensively with the business line to identify root causes and implementing robust remediation plans
Ensuring all senior stakeholders are informed and that corrective measures are assigned, tracked and closed in a timely fashion
Educating and providing relevant training to promote awareness and accountability
Creating, assessing and challenging relevant control indicators
Undertaking intrusive analysis and where required drive through solutions
Active involvement in weekly and monthly control calls across the operation, ensuring all aged breaks across key risk indicators (KRIs) are appropriately escalated and proactively investigated to ensure timely clearance
Understanding the fundamentals of the GTO Standards and Responsibilities for Control (STARC) guidelines and how these overlay into the day to day production environment
Providing guidance to line management to ensure the certification is completed within specified deadlines and that appropriate action plans are implemented
Overseeing risk and control processes across regulatory operations, coordinating across locations
Working closely with the Asian and American teams to ensure consistency in approach
An understanding of the global regulatory landscape and the reporting requirements in order to assess the control issues that may arise as a result of their implementation
A proactive approach to coordinating appropriate control activities on behalf of the regulatory operations teams and be a key point of contact for all control issues impacting on the global regulatory operations teams
Experience of meeting regulatory targets and swaps reporting
An interest in the regulatory environment and a willingness to keep up-to-date with the changes in the global regulatory landscape is essential
Control or operational risk management experience with an exposure to control practices
The ability to remain objective and to independently raise areas of operational risk exposure within GTO Regulatory Operations, while maintaining an effective working relationship with the line and other areas within Deutsche Bank Group
Proven experience of handling projects independently i.e. strong project management skills
The ability to work well under pressure and always with a professional demeanour
The ability to identify process efficiencies, suggest improvements and implement where feasible
Good analytical skills, high attention to detail, solid organisational and interpersonal skills
Strong verbal and written communication skills with experience of reporting to senior management
The ability to collaborate with and influence individuals at all levels
Excellent presentation skills – reporting and classroom sessions
Effective problem solving, decision making capabilities and leadership qualities
Able to work independently, as well as in a team environment, prioritising multiple tasks and meeting strict deadlines
Aligned to the Bank’s Values and Beliefs

113

Associate / Senior Associate, Regulatory Risk Resume Examples & Samples

Assist clients by providing regulatory analysis of the impact of the Volcker rule
Advise financial services industry clients in assessing operational risks associated with executing, reporting, and transactional activity in supported securities processing areas from trade capture to risk and product control through to settlement
Help clients develop the appropriate governance and compliance programs to respond to the rule
Assist in the implementation of the compliance program for the rule
Serve as a mentor to associates, interns, and new hires
Minimum of one year of experience combining trading, risk knowledge, product control, and/or consulting experience at top tier firms
Bachelor's degree from an accredited college/university
Deep understanding of capital markets/derivatives
Ability to formulate and express ideas clearly and effectively in verbal and written presentations
A minimum of three years of related work experience combining trading, risk knowledge, product control, and/or consulting experience at top tier firms
Well-established understanding of business dynamics and operations

114

Senior Associate, Regulatory Risk Resume Examples & Samples

Assist clients by providing regulatory analysis of the impact of SEC and FINRA rules and regulations
Assist clients in providing regulatory analysis for Monthly Net Capital 15c3-1 calculation, Customer protection Rule 15c3-3 calculation, and FOCUS reporting
Assist clients in interpreting and implementing compliance and risk governance programs in accordance with SEC and DSRO regulations
Develop comprehensive regulatory compliance and supervisory controls, including WSPs and detailed policies and procedures
Supervise and mentor associates, new hires, and interns on engagements
Assist with project planning, development of deliverables, and other technical writing exercises
A minimum of one year of experience as a regulator or securities industry work experience
Knowledge of SEC rules, FINRA rules, and financial and operational issues affecting broker dealers
Experience with SEC capital rules, including 15c3-1, 15c3-3, and FOCUS reporting
Experience with SEC reporting and recordkeeping rules SEC 17a5, 17a3, and 17a4
Bachelor s degree from an accredited college/university

115

Senior VP, Regulatory Risk Project Manager Resume Examples & Samples

Bachelor’s degree with 5-7 years’ experience as a project manager
Excellent skills in communication, presentation, influencing others, negotiations, and leading diverse, geographically dispersed teams
Understanding of IT principles and the software development lifecycle
Substantial experience in any of the following disciplines: risk management, finance, treasury systems in the Financial Services industry
Demonstrated management experience in a matrix team environment
PMP designation highly desirable
Proficiency in all other Microsoft Office tools

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