Risk Associate Resume Samples

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A Kirlin

Adalberto

Kirlin

5333 Deanna Keys

Los Angeles

+1 (555) 350 9680

5333 Deanna Keys

Los Angeles

Phone

p +1 (555) 350 9680

Experience Experience

Chicago, IL

Risk Associate

Chicago, IL

Murazik-Kozey

Chicago, IL

Risk Associate

Management of multiple work streams or project teams to execute against an existing project or work plan
Develops and maintains strong relationships with the FIU Management Team
Promotion, management and delivery of the continuous improvement of activities and service e-delivery
Prepare timely business control testing reports for Senior Management/Business Control Unit Manager
Providing technical/theoretical expertise to resolve credit risk issues and enhance overall credit risk framework
Providing technical expertise to resolve data issues and enhance overall data framework
Support the development and maintenance of team procedures, risk management tools and data repositories

New York, NY

Market Risk Associate

New York, NY

Willms, Gleichner and Kub

New York, NY

Market Risk Associate

Enhance current risk management frame work to future generation level (multiple curve configuration with collateral discounting, PFE, CVA, ideal model setting with volatility surfaces including SABR, 2nd order Greeks including cross gamma, etc.)
Day to day risk monitoring for Derivatives Trading of Interest Rate, FX, Credit, Equity products. (PL, Position, Sensitivities, VaR, Stress VaR, Stress testing, Back testing, Hypothetical PL, etc. )
Communication with IT support for the maintenance of risk management system & its enhancement
Regulatory Reporting for FSA and BOJ (based on Basel 3 to 3.5)
Model Validation (optional)
Sound knowledge of investment securities
Build better reporting and analysis tools for explaining CCAR and other scenarios

present

Boston, MA

Alcentra, Operational Risk Associate

Boston, MA

Heller-Hettinger

present

Boston, MA

Alcentra, Operational Risk Associate

present

Assisting in the on-going broker/counterparty approval process and annual review process
Assist in the production of annual ICAAP
Assist Marketing team with respect to Risk Management sections of RFP’s
Prepare the risk management information for Fund Boards and AIFMD related risk reporting for approval of Risk Manager
Responsible for undertaking analysis of Operational Risk Events
Keep abreast of developments within Operational Risk by attending conferences
Carry out root cause analysis work on Operational Risk Events and recommend control improvements

Education Education

Bachelor’s Degree in Statistics

Clark Atlanta University

Bachelor’s Degree in Statistics

Skills Skills

Using knowledge of financial accounting, managerial accounting, and corporate finance to drive solid strategy recommendation
Solid knowledge of statistical modeling (decision tree, regression, Monte-Carlo simulation, etc), and Risk or Valuation models
Solid analytical and problem-solving skills with ability to isolate and solve issues using large amounts of data
Process orientation with strong technical skills and attention to detail
Strong conceptual and technical knowledge of risk concepts and quantitative modeling techniques
Participated in assessment of asset liability management framework
Excel, Visual basic, and Access; and
Technical skills / systems knowledge (e.g. SAS, Matlab, Advanced Excel, VBA)
Research and analysis in the areas of economics, statistics, econometrics modeling and data mining skills applicable to risk management in banking
Some knowledge of financial mathematics and relevant product/business experience

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CCB Risk Associate Resume Examples & Samples

MS or PhD degree in Statistics, Econometrics, Operations Research, Mathematics (or equivalent quantitative field)
A minimum of 3 years of relevant analytics/modeling experience. Previous experience in credit card risk fields is preferred. Knowledge and experience developing pattern recognition and modeling techniques (regression, neural networks, decision trees, time series, evolutionary algorithms, etc.) or data mining experience is a plus
Strong analytical, interpretive and problem solving skills with the ability to interpret large amounts of data and its impact in both operational and financial areas
Comprehensive knowledge of risk principles and procedures
Demonstrated excellent written and oral communication skills to clearly present analytical findings and make business recommendations via the use of Microsoft Word, Excel, and PowerPoint
Experienced programming knowledge in both SAS and SQL, Operating system experience with UNIX and relational database knowledge such as ORACLE/TERADATA

Ops Risk Associate Resume Examples & Samples

Play a key role in facilitating the completion of the Firm’s RCSA program, working closely with Business Unit and Support groups to complete the assessment. Facilitation involves working with the BU op risk coordinators to identify key risks andcontrols, evaluate inherent and residual risk, and establish mitigation plans
The candidate will also be involved in the Reporting and analysis phase of the assessment where the results of the
The ideal candidate will have 4-6 years of related experience at an investment banking institution or a background in
Organization: Exceptional organizational skills, a high degree of attention to detail and a penchant for getting to the root cause of an issue
Problem Solving: Analytical, creative, problem solving mindset. Flexibility is a key element as the role will require the
Business/Product Knowledge: Familiarity and experience with finance and the processes related to trading of securities, derivatives and/or commodities in the financial services industry is a strong plus, but is not required
Understanding of Operational Risk and associated regulations (e.g., Basel, SOX, etc.) and the associated application to

Lending Risk-associate Resume Examples & Samples

Daily analysis of risk using various tools such as VaR (Value-at-Risk), Greeks, liquidity profile, front office risk systems, limit monitoring
Real-time monitoring of risks and market moves around macroeconomic and name specific events
Maintain constant dialogue with trading desks and front office support groups regarding trading strategies, limit usage, and risk representation
Communicate key risks to management with relevant ad hoc analyses in timely fashion
Liaise as necessary with other functional groups including quantitative research, operations, risk reporting, regulatory, controllers and capital groups

Interest Rate Risk Associate Resume Examples & Samples

Assist in producing daily Private Banking interest rate risk and portfolio hedge reports
Track loan activity and loan performance
Assist in monitoring risk exposures against established risk limits
Reconcile position data with Risk and Accounting systems
Interface with internal and external groups to acquire data required for reports
Assist in performing analyses using the Firm’s fixed income tools and models
Assist with the production of management presentations
Assemble and distribute economic and market data to Bank end users
Write business requirement for IT projects

Equities Financing Market Risk Associate Resume Examples & Samples

Set, monitor, and enforce various market risk limits and ensure compliance with the mandate set for the Equity Finance trading desk
Review proposed trades
Daily review of the trading desk’s exposures and stress results
Clearly articulate Risk policies and views on exposures
Communicate regularly with Market Risk colleagues, Trading Desk, Risk Reporting, and Technology
Manage multiple projects focused on development and continued improvement of risk reporting and processes
Develop a healthy risk culture with the desk that fosters the sharing of information, awareness of firm policies, and an intuitive sense of what should be escalated
Monitor and analyze market trends and movements, relate them to the desk’s activities, be vocal and share those observations and opinions with the team

CIB Risk-credit Risk-collateral Risk-associate Resume Examples & Samples

Review the collateral pool across securities financing, margin loans and derivative portfolios and assign liquid/illiquid flags as per a set of liquidity criteria on a monthly basis
Work directly with trading desks and regulatory teams for specific liquidity inquiries of collateral instruments for regulatory capital purposes. While doing so, ensure there is complete transparency in the liquidity assessment process
Build a robust process around both the tactical and strategic approach towards liquidity assessment of collateral
Conduct an annual review / study of the effectiveness of the liquidity assessment criteria
Refine policy around illiquid collateral on an ongoing basis and recommend changes as and when necessary
Actively look to expand the scope of the liquidity assessment to include all collateral pools across the wholesale bank
Minimum of 5 years of experience
Experience in credit, trading or trading middle-office functions or collateral risk preferred
Background in MS Access database and strong Excel skills required

CIB Risk-principal Risk Associate Resume Examples & Samples

Monitor status of investments and new developments regularly to ensure all risks are captured in appropriate risk metrics and effectively communicated to management
Ability to develop sound understanding of product attributes and risk characteristics sufficient to ensure effective risk management
Sound understanding of basic quantitative concepts relating to risk management such as VaR and stress testing

Risk Associate Resume Examples & Samples

Develop expertise in rating methodology and structural standards for securitization transactions
Analyze transaction requests (including review of documentation, cash flow models, historical performance, etc.) to determine adequate structuring of deals and sufficiency of credit enhancement
Prepare write-ups, Risk Assessment Frameworks (“RAFs”), BRR (the internal rating) worksheets, financial projections and other credit commentary to document and support rating decisions
Communicate with deal originators and other departments to review transactions (and amend, if necessary) and ensure they are properly captured in RBC systems
Develop familiarity and knowledge of RBC Risk Policies, procedures & practices
Update related databases and spreadsheets on an ongoing basis
Assist in preparation of presentations made to senior management
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Operational Risk Associate Resume Examples & Samples

Bachelors degree in finance, accounting, or a related field,
15 plus years of financial services experience with global markets products and strong accounting, audit, risk and control experience
Knowledge of Banking systems and applications
Strong Microsoft Word and Excel, Visio and PowerPoint and all applicable computer applications
Ability to multi-task; strong organizational skills, meet deadlines and work under pressure
Ability to work with other business units

Market Risk Associate Resume Examples & Samples

Enhance current risk management frame work to future generation level (multiple curve configuration with collateral discounting, PFE, CVA, ideal model setting with volatility surfaces including SABR, 2nd order Greeks including cross gamma, etc.)
Day to day risk monitoring for Derivatives Trading of Interest Rate, FX, Credit, Equity products. (PL, Position, Sensitivities, VaR, Stress VaR, Stress testing, Back testing, Hypothetical PL, etc. )
Communication with IT support for the maintenance of risk management system & its enhancement
Regulatory Reporting for FSA and BOJ (based on Basel 3 to 3.5)
Model Validation (optional)
Sound knowledge of investment securities
Market Risk Analysis experience
Skill in operating excel, word and power-point
Basel program/regulation knowledge
Model Validation Experience

IED Indonesia, Risk Associate Resume Examples & Samples

Management of Trading and Clearing Limits including System Limit Controls and KPEI Trading Limits
Verification of the Client Account Opening process including the Verification and Approval of accounts
Verifying the receipt and execution of the funds representation letter for account opening
Monitoring of Employee Trading including the approval of employee trades and maintaining controls around this process
Monitor and Enforce Best Execution and Fair Allocation for our clients
Perform daily and ad hoc risk management functions including entitlement reviews, surveillance etc
Develop and Maintain written Supervisory procedures and ensure its adherence
2-4 years of experience in trading, operations, risk or audit at a similar firm. Should be graduated from reputed University (Accounting or Finance degree preferred)
Active Broker Dealer Representative (WPPE) license, issued by OJK/Bapepam
Broad understanding of products/strategies traded in the Equity Division
Excellent communication skills, fluent English and Bahasa (written and verbal)
Ability to maintain composure under stressful and unpredictable trading floor environment
Superb time management skills; ability to simultaneously engage in strategic and tactical objectives
Strong analytical and creative problem-solving capabilities
Attention to detail, accuracy and quality
Relationship Management – manage relationships with Front Office and Infrastructure groups

Operational Risk-associate / jnr VP Resume Examples & Samples

Developing the operational risk strategy and governance framework
Establishing a set of operational risk products and services to support the business areas� management of operational risk
Developing the tools and templates to allow the effective collection, review and use of operational risk information
Through a team of Relationship Partners and Senior Risk Managers, effectively working with Operational Risk Co-ordinators across the business to embed an operational risk culture throughout the organisation
Supporting the EMEA Operational Risk Head in facing off to senior Front Office stakeholders
Taking ownership of delivery of key business reports
Developing specific aspects of the operational risk framework as required
Supporting the Senior Risk Manager in the performance of their responsibilities
Developing a close working relationship with key business stakeholders and providing ongoing communication of key Operational Risk developments and requirements
Providing support and challenge to key business stakeholders in their development and maintenance of Operational Risk products; including: RCSAs, KRIs, events
Leading the collation, analysis and reporting of operational risk MI for monthly Aggregated Risk Profiles, which will be presented to business management
Identifying key trends, issues and other insights requiring further investigation and following up with the business as appropriate
Experience in operational risk or related functions in financial services institutions
An understanding of the role of Operational Risk in a Global Markets business
Display commercial awareness and an understanding of key business priorities

Senior Risk Associate Resume Examples & Samples

The job collaborates both with members from within the Wealth Management Risk Management Teams, across CIBC and with external parties
Professionalism, strong organizational and communication skills are needed in order to successfully build relationships with members of Senior Management, RM Professionals in the US and Canada, Client Service Teams, Enterprise Support and other members of the CIBC organization. The job interacts regularly with each of these for the purpose of providing and obtaining critical, confidential data. Discretion and professional judgment are paramount
As a manager of people, this job must ensure all employees within the business unit comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls
Minimum of Bachelor’s Degree and 7-10 years of audit, compliance or similar experience is needed and previous management experience is desired. Knowledge of the Wealth Management Business is necessary in order to design, implement and evaluate the results from the various testing programs. In addition, working knowledge of Microsoft Office is necessary for the purpose of performing tasks, recording findings and communicating results
Thorough understanding of trusts and agency accounts and activities related to the Wealth Management business, remain current on industry trends and remedies and maintain confidences
Self-starter who can work collaboratively, can maintain confidences, communicate effectively and demonstrate good judgment

Risk Associate Resume Examples & Samples

Report risk management issues and internal control deficiencies identified to Business Control Unit Manager and ensure that issues and corrective action plans are posted to RADAR system
Participate in various internal reviews and readiness examinations to ensure the business is adequately prepared for all audit, compliance and regulatory reviews
Review of existing Business Practices (Operational, Sales & Marketing, etc.) to determine needed enhancements/changes
Perform third-party on-site examinations (i.e., General Agency Reviews)
Thorough understanding of Investment Solutions products including mutual funds, insurance and annuities, closed-end funds, unit investment trusts, 529 plans and general knowledge of the corporate structure
Series 7 & 66 licensing preferred
CPA/CISA preferred

Cib Risk Principal Risk Associate Resume Examples & Samples

Assist in the risk management process for principal investment portfolios
Ensure risk methodologies adequately address specific risk elements inherent in each investment or portfolio and are modified as appropriate as risks evolve
Assist in the production and monitoring of risk metrics including stress testing results and VaR
Partner with stakeholders in risk, finance, technology, middle office, and project execution to deliver on both BAU and project-related initiatives
Assist in the review of new business initiatives and provide recommendations to management
Strong written and spoken communication skills. Capable of presenting complex concepts to wide variety of audiences
Superior Excel skills and ability to learn how to use core business and risk systems are critical. Familiarity with VBA and Access/SQL a plus

Ccb Risk Associate Consumer Credit Risk Card Services Resume Examples & Samples

Possess 5-7 years of relevant work experience
Knowledge and experience with capacity planning
Awareness of the business and IT strategy
Must have strong analytical skills with ability to assess financial trade-offs driving inventory decisions
Basic understanding of the company's business practices and familiarity with the company's products and services
Line of Business experience a plus

Wealth Management Operational Risk Associate Resume Examples & Samples

Must have demonstrated the ability to identify and access knowledge and resources across organizations
Must have very effective communication skills including strong Microsoft Office skills
2+ years of financial services experience typically required with Wealth Management experience a plus

Wealth Management Operational Risk Associate Resume Examples & Samples

Must have demonstrated the ability to work effectively across organizations in delivering resources to effectively and efficiently respond to deliverables
Must have effective communication skills including strong Microsoft Office skills
3+ years of financial services experience typically required with Wealth Management experience a plus
Specific experience in Risk, Compliance and / or Audit a plus
Exposure to Operations, Technology, Legal, Compliance and Risk functions a plus

Corp Sector Risk-ctc Market Risk Associate Resume Examples & Samples

The role is based in New York and will focus on market risk coverage of CMBS portfolio
Participate in the assessment and control of market risk across the portfolio as well as have the ability to challenge market positions and views and help assess the best allocation of risk and capital to various positions and businesses
Monitor and analyze market trends, movements, and impact on the portfolio. Provide daily/weekly commentary to describe observations
Play a role in the development and build-out of the risk management process and infrastructure supporting the CTC (CIO, Treasury and Corporate) LOBs globally; responsible for the continuing education of the LOBs with respect to market risk management, policies, systems and procedures
Work with the Front Office, Finance, Valuation Control Group, Model Review Group, Policy, Finance, Technology and Middle Office
3+ years experience in risk management, and/or sales and trading
Credit Products experience a must and experience in cmbs is desirable
Strong quantitative and analytical background with an understanding of financial and risk management techniques
Experience performing portfolio deep dives and produce reviews highlighting key risks
Strong understanding of VaR and Stress concepts and other non-statistical Market Risk measures
Stress testing, various return measures and experience with portfolio construction a plus
Strong critical thinking skills, with thorough attention to detail
Proven leadership, influencing and negotiation skills. Easily able to build credibility with senior portfolio managers and CIO's
Education: An undergraduate degree is required

Branch Risk Associate, Sydney Resume Examples & Samples

Assist with supervisory responsibilities as outlined in the Branch Managers manual, as directed by Branch Management
Provide guidance to branch staff to ensure compliance with firm policies and
In conjunction with the Branch Management team, ensure Branch staff adhere to firm policies and procedures, regulatory and legislative requirements
Comply with ethical standards contained in the Company Code of Conduct
Knowledge of Australian securities regulations and compliance requirements,
Knowledge of financial markets fundamentals
Detailed understanding of how the organisation fits within the Australian market and global operations
Strong client Service focus
Ability to build rapport at all levels
Ability to work under pressure and to tight timeframes within a team
Experience in Wealth Management is essential, with a good understanding of stock broking operations

CCB Risk Associate Resume Examples & Samples

1-4 years of risk management or financial services experience
Strong written and verbal communication skills, including ability to present findings to Senior Management
Experience partnering across different functions
Data mining skills, specifically: SAS, SQL, Excel , Microsoft Office, Essbase , Business Objects and database software applications
High degree of creativity and possess disciplined analytic and strong problem solving skills
Flexible and able to handle multiple tasks in a fast paced changing environment
Independent decision making skills
Preferred experience in Credit Risk Management process supporting Risk Modeler's
Strong Experience on Unix ,SAS Base, SAS Datasets, SQL, SAS Connect, SAS Macros ,Database platforms such as Oracle and Teradata
Bachelor’s or Advanced degree in a relevant discipline like Engineering , Statistics, Economics, Operations Research, Finance or a related quantitative discipline preferred

Market Risk Associate Resume Examples & Samples

High levels of motivation, drive, tenacity, initiative and integrity
Very strong numerical, analytical and communication skills
A genuine passion for financial markets
Good commercial acumen
Strong academic results and outstanding personal achievement

CCB Risk-consumer & Business Banking Risk Associate Resume Examples & Samples

Review fraud incidents related to Chase Management for investigation and prevention
Provide oversight for Business Banking Fraud Risk Model activities
Interface with risk colleagues to recommend risk rule changes where necessary
Partner with risk management and risk operations partners to execute ad-hoc reports or product specific process changes as needed
Communicate fraud trends identified thru monitoring and reporting to leadership
Master’s degree or equivalent in Mathematics, Statistics, Finance, Operations Research, Economics, Engineering or a related quantitative field
Bachelor's Degrees will be considered in addition to 5-7 years of professional experience
3-5 years related business experience, including experience in Risk Management and/or consumer banking
Must be able to effectively communicate identified trends through formal presentations to senior management

Market Risk Associate Resume Examples & Samples

Take ownership of CCAR, other Regulatory and Macro scenarios for a product class. Enhance the stress testing capability by working very closely with Risk Managers, Front Office & MRD IT
Perform independent analysis of embedded market risks in the traded portfolio, conduct deep dive of the various basis risks, changes in stress scenarios and build ability to explain the scenario results by decomposing into linear vs. higher order or by various market factors
Build better reporting and analysis tools for explaining CCAR and other scenarios
Design new scenarios to capture all the directional, and basis risks, and become product experts
Communicate key changes in portfolio and scenario results to senior risk managers through weekly meetings and presentations. Supplement risk reports with ad-hoc analysis as needed to communicate the relevant risk succinctly to management
Fluency with SQL, R, MS Excel, VBA
Excellent academic background, including advanced degree in a quantitative discipline, such as mathematics, sciences, economics, finance or engineering
2-3 years of experience in Market Risk with a good understanding of portfolio risks and current market conditions
The role involves working closely with several other areas such as Risk Managers, Front Office IT, MRD IT, Reporting & Data Quality Teams
Attention to detail, project management and prioritization skills will be key in balancing short term deadlines with timely implementation of strategic projects

Operational Risk Associate Resume Examples & Samples

Responsible for day-to-day support for the Bank’s Vendor Management Office (VMO) and it’s 200+ vendors, including the vendor lifecycle from on-boarding, contract reviews, periodic monitoring, risk assessments, and termination
Provide coordination of the Affiliate Service Level Agreement (SLA) management program, including risk assessments, agreement drafting, periodic cost and service level reviews, meeting minute reviews, and Bank Committee presentations
Actively lead and partner across organizations in the development, implementation, training and sustainability of a new Affiliate Agreement Workflow tool to automate the current manual SLA processes
Ensure appropriate governance of policies and procedures, and the Bank’s framework adherence to key Office of the Comptroller of the Currency (OCC) regulatory requirements, including Regulation W and Bulletin 2013-29 on Third-Party Relationships
Support the Vendor Manager Officer in weekly, monthly, and quarterly Committees and Sub-Committees related to the Affiliate and Third Party Vendor Management Programs
Forge relationships across divisions, including Information Technology, Legal & Compliance, Operations, Finance, etc
Undergraduate degree in Business, Finance, or other related field (at minimum)
1-5 years of relevant experience in risk management or analytics in the financial services industry is a plus
Strong sense of ownership, accountability, and entrepreneurial spirit
Strong project management, organization, communication, and analytical skills
Ability to manage ambiguity and bring focus with recommendations on solving tactical and strategic challenges
Ability to work in a fast paced environment, both independently and as part of a team, and under strict deadlines
Strong at identifying key control points within a process, and then provide assessment of the preventative and detective controls
Strong interpersonal skills - freely develops networks, builds consensus, prioritizes effectively, and develops alliances across organizations

CIB Risk-credit Risk-collateral Risk-associate Resume Examples & Samples

Assist with specific deliverables for the non-cleared derivatives margining implementation (e.g., data analysis for pre-approval and regulatory on-going back-testing and benchmarking of the SIMM model)
Actively participate in development of funding / reuse guidelines, margin segregation / custody issues, TCP and securities lending collateral
Provide leadership and day-to-day management of projects relating to middle-office and technology on derivatives, securities financing and margin lending for netting and collateral initiatives
Work directly with trading desks, credit executives and marketers to enforce guidelines and implement processes for collateral eligibility and optimal haircuts for transactions. In addition, interface with clients, trading teams and credit on structuring effective collateral solutions for derivative trades
Define and champion best practices for collateral guidelines and haircuts for non-derivative assets (futures and options, sec borrow lending, repo, TCP)
Minimum of 3 years of experience with at consistent performance record
Knowledge of traded products (and related legal documentation) such as OTC Derivatives, Repo & Sec Lending, F&O and OTC Clearing and fixed income products as well as familiarity with pricing models, yield curves analytics and risk models is strongly preferred
Knowledge of Dodd-Frank regulatory reform is desirable
Comfortable with analyzing and treating large data sets

Bank Enterprise Risk Associate Resume Examples & Samples

Ownership and maintenance of the Bank's limits inventory, procedures, monitoring and reporting. Ensuring all limits are governed with adequate owners, processes, clarity of calculations, and escalation as required to Bank Management and the Board of Directors based on exposure utilization
Manage the proper identification of owners, definition of work plans, progress tracking (in SORT or otherwise), for all of the following: FDIC actions pertaining to the Risk Control function, as well as Risk Control MRA's, RRRP's, and GIA actions
Assessing and managing the Bank's satisfaction of requirements set forth in the Enterprise Risk Policy, Stress Testing Policy, and associated suite of related activities
Governing the clarity of roles and responsibilities, as well as execution, over adequate 1st/2nd/3rd lines of defense. Work with businesses to understand and evaluate their design and implementation of adequate abilities to identify and control risk
Ensure consistency of BUSA's Enterprise Risk Management practices with published regulatory guidance, and with regional and Group Risk Control practices, initiatives, and Policies, developing working relationships outside of Bank USA and within the industry as required to stay abreast of key matters
Organizing the Bank's monthly Enterprise Risk Management Committee meeting, coordinating submissions from Business Units and Risk Officers, preparation and distribution of Enterprise Risk Report and meeting materials, setting of the agenda, support of meeting minutes, and finalizing the actual Committee package for submission to regulators
Publishing and delivering the Board of Director's Enterprise Risk Profile report, according to timetables set forth by the Board calendar
Managing the periodic Risk Modeling Sub-Committee meetings (the Bank's Stress committee), coordinating submissions from Risk Officers, preparation and distribution of meeting materials, setting of the agenda, updates to ALCO, taking meeting minutes, finalizing minutes with stakeholders, and finalizing the Committee package for submission to regulators
Assisting with the integration of stress testing activities into the Bank's business planning, strategic planning, new business or product initiatives, and the Bank's Risk Appetite Framework, including its Capital Adequacy Assessment process
Establish the Risk Control requirements for BUSA and its project plan to execute all facets of enterprise risk management associated with increased regulatory scrutiny from growing the balance sheet above $50 billion
Assist with various aspects of the DFAST program of work and regulatory filing, as well as integration with the regional team handling CCAR
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Risk Associate Resume Examples & Samples

Conduct reviews of IT systems and related security processes and supporting infrastructure, identify potential control gaps and propose recommendations
Test internal controls and evaluate activities in accordance with applicable standards, e.g., ISACA, GAAP, COSO, COBIT, etc
Ability to analyze and very large data sets and prepare data for presentation or reporting of results with aggressive deadlines
Facilitate the BCP/Disaster Recovery Processes with the businesses
Complete testing work papers in accordance with firm and professional auditing standards
Knowledge of IT Security controls to mitigate vulnerabilities
Strong working knowledge of MS Office (Microsoft Word. Excel (including pivot tables, Vlookups, etc. and PowerPoint))

Asset Management Risk Counterparty Risk Associate Resume Examples & Samples

The ideal candidate must possess a strong risk and control mindset, be very detail oriented, have excellent analytical and written/verbal communication skills as well as be able to work under pressure and able to deliver on multiple tight, time sensitive timelines. Specific responsibilities will include
Performing on-going monitoring, periodic exposure reviews, and annual credit analyses
Working with large volumes of data to conduct ad hoc analyses as needed
Exceptional analytical skills (naturally inquisitive/intellectually curious)

Ey-risk Associate Resume Examples & Samples

Anti-Money Laundering (“AML”) & Sanctions: specialist support to the firm’s Money Laundering Reporting Officer in implementing the firm’s policy, responding to requests for information and queries from the business, developing guidance and training material and supporting the development and operation of the AML system
Data Protection: support to the firm’s Data Protection Officer in implementing firm policy, responding to requests for information and dealing with queries within the business
Client and Engagement Acceptance and Continuance: providing specialist support to the business in the execution of acceptance and continuance procedures – training, answering queries, and administration of related global tools/systems
Service Line Quality network: handling routine risk queries and assistance with coordinating the network, including dissemination of new and updated policy and guidance. Coordination of network meetings including the production of agendas and minutes from all meetings
Annual Quality Assessments for Partners: general support for the process, which includes collection of data, production and issuance of assessment reports to the partner and director group and coordination of service line grading meetings
Risk management support for Core Business Services (CBS): handling risk queries from CBS functions such as Finance, Procurement, HR, Brand, Marketing and Communications and following up on non-compliance with processes
University degree and /or professional qualification, preferably in law, accountancy, company secretary, risk management or regulatory compliance
Previous experience of regulatory compliance work, preferably from a professional services firm, would be an advantage
Service orientated and commercially-minded at solving problems
The ability to communicate with colleagues at all levels
Adaptable and flexible with good team working skills and the ability to multi-task
Ability to build strong working relationships with service lines and develop an excellent understanding of their business
Good organisational skills and some experience of project management
Ability to work to pre-determined deadlines and meet objectives under pressure
Advanced skills in Word, Excel, Powerpoint
Genuine and proactive interest in becoming a subject matter expert in risk management

Market Risk Associate Resume Examples & Samples

3+ years Financial service experience
Bachelor's Degree in Finance and/or Engineering
Understanding of both Market and Credit Risk and different risk sensitivities and VaR Models
Solid understanding the Fixed Income and Credit Derivatives products
Good knowledge of VBA
Masters Degree in Finance, Economics, or Engineering

Operational Risk-associate Resume Examples & Samples

Ensuring that the op risk group is executed in accordance with related Firm-wide policies and regulatory oversight
End of cycle output reporting and results analysis of the op risk group against the operational losses incurred in the intervening period
Provide regular updates to the Global op risk PMO team on all relevant initiatives
Providing input to creation of requirements documentation for IT development of key initiatives
Day-to-day ownership of analytics to support decision making on a variety of operational risk projects, if applicable
The ideal candidate will have a strong related experience gained at an investment banking institution or a background in management consulting with a track record of rapidly acclimating to a fast-paced and constantly changing environment while working under pressure
Excellent oral and written communication skills and a proven ability to work in a fast-paced and high pressure environment
The ability to actively and proactively engage with key stakeholders

Operational Risk Associate Resume Examples & Samples

Working with the BU Op Risk Coordinators to identify key risks and controls, evaluate inherent and residual risk, and establish mitigation plans
Communication of timelines and deliverables
You will have a strong related experience gained at an investment banking institution or a background in management consulting with a track record of rapidly acclimating to a fast-paced and constantly changing environment while working under pressure

CCB Risk-associate Resume Examples & Samples

Understanding of the development life cycle including design, planning, development, testing, implementation
Strong knowledge of standard project delivery framework
Strong skills in Microsoft Project and PowerPoint applications and overall written and verbal communication
Experience working in a matrix management environment
Ability to be flexible, follow tight deadlines, organize and prioritize work for self and others

Cib-qr-market Risk Associate Resume Examples & Samples

Support the BAU (Business As Usual) tasks that emerge on a daily basis for Credit VaR and SVaR for MRQR
Generation, analysis, and automation of periodic commitments such as parameter recalculation and exposure monitoring for Credit VaR Methodologies
Perform the analysis necessary to address Action Plans (AP) arising mostly from model review and audit groups
This requires a quantitative background at a Master’s level or equivalent in a hard science (maths, statistics, engineering, or science), and experience or proven interest in financial industry or model development (VaR, stress, or derivatives pricing models)
The job requires time series analysis, statistics, familiarity with VaR, Python, Excel, and SQL
Keen interest in internal policy and governance and external regulatory rules and supervisory guidance
Strong communications skills - Verbal and Written
Team work oriented - Active collaborator and self starting individual
Strong organizational and project management skills. Risk & Control mindset
Work well under pressure with commitment to deliver under tight deadlines

Market Risk Associate Resume Examples & Samples

Daily monitoring and validation of risk, including analyzing risk sensitivities, VaR/Stress VaR, and Scenario Analyses
Keeping abreast of relevant market events and drivers as they pertain to firm positioning
Maintaining an active dialogue with support groups regarding risk changes, risk representation, revenue, and regulatory issues
Communication of key risks to management via presentations and weekly write-ups
Working with other Risk functions including Product Control, Middle Office, Risk IT, and Risk Reporting
Suitable candidates will have an excellent academic background, including a graduate degree in a quantitative discipline such as financial engineering, mathematical or computational finance, or combined undergraduate/graduate degrees in economics and statistics
Demonstrable understanding of options pricing methods and models
Strong proficiency with Excel and VBA

Operational Risk Associate Resume Examples & Samples

5-7 years of experience
Operational Risk background is a must
Treasury exposure preferred
BA/BS in finance, business administration or related field

IT Risk Associate Resume Examples & Samples

2-3 years' experience is essential
Considerable knowledge of windows server features such as AD, Group Policy, DHCP, RDS
Proven experience working in a technical role e.g. System Administrator, Information Security
Knowledge of SQL, Oracle, Unix and Linux
Ability to work additional hours as needed while open to travelling to different clients within the Dublin region
Proven experience with analytical, organisational and project management skills

Counterparty Risk Associate Resume Examples & Samples

Assessment and documentation of counterparty creditworthiness for prospective and existing counterparties using quantitative as well as qualitative methods
Identification of direct and contingent credit/counterparty risks and exposures arising from Clients’ and/or BlackRock’s investment activities and operational processes
Monitoring aggregate levels of exposures across all of BlackRock’s clients’ portfolios - by counterparty, product, and tenor
Interaction with the EMEA based trading and portfolio management teams supporting counterparty exposure management initiatives
Graduate degree in an analytical, financial and/or technical major (e.g. economics, finance, applied math, statistics, engineering, computer science, etc.)
Previous work experience in a counterparty risk role is required
Knowledge of the involvement of counterparties in both the primary and secondary markets for Exchange Traded Funds (ETFs) and the counterparty risks associated with Securities Lending
Presenting experience to committees
Experience running Portfolio risk reports and analysis thereof
Previous experience of providing Client training
Software skills must including Excel and PowerPoint as well as previous experience of working with Aladdin, specifically Portfolio Risk Tools
Sound ethical compass, demonstrable integrity and a commitment to doing the right thing
High level of self-motivation, decidedly organized and able to adhere to tight deadlines
Ability to promote important ideas and influence outcomes is critical
Ability to work with stakeholders across multiple functions and geographies with professional maturity and sound judgment

Risk Associate Resume Examples & Samples

Participate in market risk analytics and risk factor assessment specialized in interest rate risk
Familiar with Asset Liability management systems including QRM (Quantitative Risk Management) and Barclay’s Point
Performing finance, statistics and economics analysis using Matlab
Exposure to Bloomberg, Riskmetrics and Reuters
Stress Testing using various platforms , Scenario analysis and risk capital allocation
Excel, Visual basic, and Access; and
Participated in assessment of asset liability management framework

Cib-country Risk-associate Resume Examples & Samples

Developing guidelines and policies consistent with a comprehensive country risk framework
Assigning sovereign ratings and assessing country risks
Assigning and maintaining country ratings/outlooks. The candidate would support analytical coverage in various parts of the world, with a focus on Europe. Therefore, knowledge of the Europe region is valued
Actively monitoring economic, political and market developments in countries under coverage
Writing in-depth country reports in support of analytical conclusions
Making internal presentations and rating recommendations to rating committee
Participating in various projects covering risk issues for Country Risk Management globally
Regularly communicating views to internal clients both verbally and in writing (such as investment bankers, credit executives, relationship managers etc.)
Helping with the production of macroeconomic stress analyses assuming different global conditions
Researching specific economics-related topics
Being involved in European bespoke stress under the supervision of the regional European head
Interacting with traders and market risk colleagues on risk concentrations and dynamics
Reviewing and assessing the impact of complex deals on country limit usage
Strong academic background with a focus on macroeconomics, international relations, politics, or finance preferred
Prior experience in country risk management and/or macroeconomic research would be highly valued
Strong quantitative skills preferred
Knowledge of capital markets and products/securities traded. Familiarity with credit and market risk methodologies
Familiarity with stress platforms and scenario analysis
Ability to work well under tight deadlines
Excellent Bloomberg, Excel (knowledge of VBA a strong +) and PowerPoint skills
Second language other than English preferred

Asset Management Collateral Risk Associate Resume Examples & Samples

Provide risk reporting support to the PB’s Capital Markets team
Develop queries that involve the usage of SQL
Understand various federal regulations such as Reg W, Reg U and Reg T that govern the way we manage collateral; provide reporting that monitor activity to ensure we are in compliance
Provide analysis concerning portfolio as needed; this could include adhoc collateral impact analysis due to market fluctuations or fluctuation in currencies
Manage initiatives to resolve control gaps and enhance current processes for further efficiency and effectiveness as needed
Participate in credit system defect identification, UAT testing, and ongoing business requirement discussions
Review and understand new agreement terms and documentation
Set-up agreement terms regarding collateral in credit systems for ongoing monitoring
Monitor collateral daily and identify non-compliant scenarios. Confirm the accuracy and escalate to Credit and Bankers for resolution plan and date determination
Manage requests for intraday transactions and approve if collateral position adequate. Intraday transactions are inclusive of cash and security movement within pledged accounts as well as loan and letter of credit draw downs
Manage third party pledge scenarios
Validate and issue margin calls to Financial Advisors
Track and Assist in resolving margin calls
Manage inquiries from Bankers, Brokers, Lenders, Client Services on margin lending topics
Provide training to Credit Risk Management Team and other group as required
Knowledge of SQL a plus
Strong reporting skills required
3 or more years of collateral management or regulatory reporting required
Must be able to manage day to day work in addition to managing multiple projects
Strong detail and results orientation
Strong analytic skill
High-level of proficiency in organizing, prioritizing, and managing issues
Advanced Excel skills; Microsoft Access Skills a plus
BA/BS or equivalent in a business field

RQA Counterparty & Concentration Risk-associate Resume Examples & Samples

As an associate on the team, responsibilities would include
Monitoring the ongoing financial performance of counterparties and making recommendations regarding the levels of exposures/thresholds as needed
Measuring and monitoring individual investment portfolios’ exposures to respective counterparty entities and groups, broken out by the various transaction and asset types
Interaction with the US-based trading and portfolio management teams supporting counterparty exposure management initiatives
Protecting BlackRock’s reputation
Bachelor’s degree in an analytical, financial and/or technical major (e.g. economics, finance, applied math, statistics, engineering, computer science, etc.)
Product knowledge of Collective Trust Funds, Hedge Funds, along with knowledge of financial instruments including equities, ETFs, fixed income securities, Alternatives, Exchange-traded derivatives and OTC derivatives, and foreign currency
Must have experience with compiling multi regional counterparty credit reviews
Presenting experience to clients and/or committees
Experience running Portfolio risk reports from Aladdin Green Package and analysis of those reports
Previous experience of Client training
Software skills must include Excel and PowerPoint as well as previous experience of working with Aladdin, specifically SecurityMaster, DECO, and ADAM
Attention to detail, a strong work ethic and ability to work as part of a team in a fast-paced environment
High level of self-motivation, well organized and able to meet tight deadlines
Robust analytical, quantitative and computational skills
Solid communication and presentation skills (verbal and written). The candidate must demonstrate the ability to explain analytical or quantitative concepts in practical and simple terms

Risk Associate Resume Examples & Samples

Research and analysis in the areas of economics, statistics, econometrics modeling and data mining skills applicable to risk management in banking
Programming and conducting research in analytical languages including but not limited to: SAS, SQL, Oracle/ Teradata, Enterprise Miner/ Knowledge Seeker, and Decision tree
Analyzing and structuring large and multiple database systems under UNIX system
Solid knowledge of statistical modeling (decision tree, regression, Monte-Carlo simulation, etc), and Risk or Valuation models
Experience with mathematical programming to create optimization models
Using written and oral communication skills to clearly present analytical findings and make business recommendations via the use of Microsoft Word, Excel, and PowerPoint
Presenting advanced analytics related to risk management, marketing/CRM analytics, finance, collections, or relevant analytic areas in the financial industry; and,
Using knowledge of financial accounting, managerial accounting, and corporate finance to drive solid strategy recommendation

Equities Market Risk-associate Resume Examples & Samples

Analyze Market Risk across Equities business units on daily/weekly basis
Work closely with the front office desks providing commentary on the market risks
Complete daily VaR and ES calculations and weekly stress and reverse-stress testing
Lead Risk Management with regards to Equities in Japan, working closely with regional and global teams
Drive through local and global initiatives to improve the robustness of the Market Risk processes
Communicate to senior management and external stakeholders with insight on drives for risk profile changes
Work extensively with regulators, building robust relationships
Ensure established risk limits are monitored and adhered to and report material risks to senior management
Strong knowledge of Equity Markets with a good foundation in Market Risk
Good understanding of the business to enable you to build strong relationships and advise traders on a daily basis
Familiarity with VaR and Stress Testing
Experience managing Market Risk for Equities Markets

GWM Risk Management Reputation Risk-associate Resume Examples & Samples

Act as the point person for all questions regarding the Reputation Risk process
Serve as secretary for the JPM Suisse Reputation Risk Committee; coordinate the agenda for meetings, speakers, and facilitate the meeting. Prepare minutes to document decisions and the rationale
Engage and coordinate for consistency with other regional secretaries
Partner with the Front Office and Business Quality Control for their submissions
Coordinate review of minutes with Legal and Global Financial Crimes Compliance
Provide ongoing training to the Bankers and Market Managers
Coordinate with the client on-boarding team and Global Financial Crimes Compliance to understand sensitive client situations

Platforms & Reengineering Risk Associate Resume Examples & Samples

Work with the Business and Support functions to identify key risks and controls, evaluate inherent and residual risk, and establish mitigation plans
Analyze business needs and collaborate with the various business platform owners to document business risk requirements for projects
Collaborate with project stakeholders to define deliverables, develop a plan and execute against that plan
Support the Risk and Control Self-Assessment (RCSA) program, and proactively integrate operational risk incidents and other varying processes into continual assessments
Document and manage Risks and Controls associated with the RCSA program in the FORCAST system
Review relevant operational risk data sources for consideration into the assessment (i.e. incidents, audit findings, issues and actions, changes in the business profile etc.)
Develop and manage mitigation plans for items identified during the platform audit
Manage development and maintenance of the business continuity plan
Minimum 5 years of experience in the Financial Industry in a Project Management, Business Analysis or Risk Management role
Understanding of risk management and wealth management business processes
Analytical skills, problem-solving skills, and attention
Ability to act as a bridge between Risk, Program Owners, Technology and Operations
Experience in establishing and managing business processes
Enterprise project experience working on cross-functional teams
Experience working on projects involving wealth management technology
Four year degree required
Strong knowledge of Microsoft Excel, Word, Visio and PowerPoint required

Risk Associate Resume Examples & Samples

Act as lead engagement manager on client proposals to major North American infrastructure projects delivered through public private partnerships (PPPs)
Work on a variety of client engagements, including screening of client’s competitive landscape, business opportunities, infrastructure development and public private partnership history, project concession agreement, risk exposures, and project financing capabilities
Develop client deliverables including research and consulting memoranda, presentations, and sales materials and Review and explain public policy and infrastructure development processes for PPP projects to construction professionals, including the creation of white papers, memos, and other materials used to inform others about developments in the PPP industry
Research legislative and public policy topics related to infrastructure in the United States
Assist in client workshops
Research and write articles for quarterly industry newsletters
Strong professional writing
Knowledge of public private partnerships (PPP’s)
Public Policy experience

Liquidity Risk Associate Resume Examples & Samples

Assist management on delivering the Liquidity Risk agenda
Work with Businesses to understand their business models, trade structures and funding flows. Emphasis on the interaction between client businesses and the link to Secured Firm funding
Contribute to the expansion and improvement of the Firm’s internal funding risk assessment by in depth review and analysis
Closely liaise with other teams to validate liquidity risk calculations
Review and challenge of existing stress models
Liaise with Treasury, business personnel and risk managers to ensure the appropriateness of the representation of liquidity risks
Previous experience in a Liquidity, Funding or Risk management role in an investment bank, commercial bank or consulting firm
Understanding of stress testing financial products. Background in different stress testing methodologies, including behavioural methodologies desirable
Ability to handle and analyse large data sets. Proficiency in Excel essential
Strong background in methodology/process documentation
Strong analytical skills, sense of ownership and self – motivator

GIM Operational Risk Associate Resume Examples & Samples

Ensure the effective execution and convergence of the elements within the Operational Risk Management Framework (ORMF) including: operational loss data capture and reporting, scenario analysis and operational risk capital allocation and maintenance of strong governance and culture of transparency
Working with AM Operational Risk and Corporate Operational Risk (COR) to define policy updates and procedure input on Framework components: collaborate with other ORO teams to share lessons learned and best practices
Monitoring GIM EMEA’s compliance with Operational Risk Management Framework and internal oversight including firmwide op risk policies and procedures
Proactively analyzes potential operational risks within the business
Review risk events, new business initiatives (NBIA) and provide credible challenge to business unit’s documented operational risk processes and procedures
Provide a broad, metric and data-driven monitoring of key risk drivers, exposures, controls or potential risk events across processes; developing/leveraging metrics and KRI data (e.g., potential fraud, client complaints) to identify risk trends and themes
Develop analytical capabilities to support and challenge the operational risk and controls self-assessment (RCSA) processes for the businesses; work with the AM ORO team to drive robust assessments
Support the oversight of risks associated with GIM EMEA New Business Initiatives (NBI) and other programs within the business and challenge the control environment within these programs
Lead Independent challenge for AM RCSAs for GIM assessments selected
Participate in GIM annual account review process working directly with Client Portfolio Managers to meet regulatory requirements
Review and approve client investment guidelines deemed “Manual Guidelines” and associated Risk Acceptance Variances (RAVs) to ensure appropriate risk/controls are documented appropriately
Lead, or participate in, other operational risk initiatives (deep dives, Root cause analysis, loss events/errors , Op Risk capital Review and Scenario Analysis) as necessary
Communicate and partner with GIM O&C to ensure consistent implementation of operational risk policies, procedures and practices across GIM EMEA
Experience associated with Asset Management business required
Experience in financial services industry, with specific experience in Operational Risk, Finance, Business Management, Audit, Compliance or other controls related area is required
Bachelor’s Degree in business administration, finance or related field
Working knowledge of banking operations, financial services laws and regulatory environment preferred
Experience with Risk and Control committees governance forums and related policy requirements
Proven ability to anticipate and identify risks and effective mitigants
Adept at developing relationships with senior business executives with a reputation for partnering across organization lines to mitigate risks

Risk Associate Resume Examples & Samples

Define and execute test scripts across a wide variety of Wealth Management Field operational areas, including risk, service, branch management and home office functions; targeting controls that support inherent high and critical Field Management risks
Source testing data from firm systems and/or liaise with wealth management branches to obtain key test information
Identify opportunities for operational improvement and/or remediation and assist with corresponding change management activities, including: requirements development, process design, policy/procedure revision, etc
Prepare metrics reporting (including monthly and quarterly analysis) and disseminate trending reports to Field Management partners
Work with Partner teams to analyze QA testing processes and identify opportunities for internal team efficiency gains
At least five (5) years of Financial services experience (familiarity with wealth management branch structure and/or branch operations is a plus)
At least two (2) years of experience in risk management, audit, compliance and/or quality assurance disciplines
Must be comfortable working closely with various business functions

Liquidity & Interest Rate Risk Associate Resume Examples & Samples

Supervise the generation of periodic (daily, weekly, monthly) reports on current Interest Rate and Liquidity risk, P&L, and market conditions
Execute and Maintain Market Risk Monitoring (MRM)’s internal controls relating to Treasury business activities. Includes creation and review of Liquidity and Interest Rate Risk policies, generation of committee materials and provide independent review of ALM/balance sheet risk management strategies adopted by the Corporate Treasury
Independently monitor and report on compliance with ALM, Investment, Funding, and Derivatives policy limits and guidelines on a daily and weekly basis
Monitor market risk and P&L of all trading and banking desks on a daily basis
Actively participate and contribute to major department and division initiatives
Establish strong working relationships with Front Office, Middle Office, Back Office and other departments
Bachelor’s degree in a quantitative field; advance degree preferred
3+ years of experience in an Interest Rate Risk or related function in a major bank or financial institution required
Programming experience in VBA or other Object Orientated Programming required; SLQ experience a plus
High-level financial modeling and analytical skills required
Strong writing, presentation and communications abilities required
Must be comfortable communicating with trading desk heads, executive management, regulators, and other end users
Knowledge of Capital Markets and understanding of a wide range of financial products including interest- rate, fixed income and derivatives, a plus
Knowledge of Securitized Products a plus
Ideally have direct experience with an ALM software like QRM

Field Management Operational Risk Associate Resume Examples & Samples

Coordinate process improvement and remediation projects with Field personnel and Home Office teams
Conduct data analysis to help identify trends and root causes branch exam and audit findings, and develop projects to remediate repeat exceptions
Plan coordination and monitoring for Field Remediation’s
Create and track new metrics and key risk indicators (KRIs) with Risk, Internal Audit and Compliance
5 years of experience within Operational Risk, or Wealth Management Branch or WM Operations
Must be familiar with Wealth Management branch structure and/or Branch Operations
Attention to detail, project management and organizational skills will be key in balancing daily deadlines
Ability to work in a small team environment, building and maintain a network of contacts and coordinating with a large number of stakeholders

Senior Market Risk Associate Resume Examples & Samples

Work with Chief Market Risk Officer, Senior Managers and multiple Trading Desk Heads in supporting the Market Risk function across a diverse set of product types including: Interest and Commodity Derivatives, Foreign Exchange, Fixed Income Bonds, Equities and Loans
Support the line of business with deep subject matter knowledge relative to market risk and market risk strategies
Perform Model Validations among various Trading, Middle Office and Risk Management systems that include
Ph.D. or Master’s degree in finance, mathematics, statistics or other quantitative field
7-10 years of financial modeling/ model validation experience
Experience with development of testing methodologies and creation of working papers
Advanced knowledge of finance including valuation methodologies, capital markets, financial instrument modeling, Value at Risk and Counterparty Credit Risk
Advanced experience in Excel and Visual Basic
Proficiency in a programming language such as SAS, R, or other advanced statistical software

Market Risk Associate Resume Examples & Samples

Analyze and control daily risk metrics produced on trading activities including Fixed Income, Interest Rates Derivatives, Commodity Derivatives and Foreign Exchange
Work with senior market risk professionals on monitoring market risk limits and making quantitative and qualitative assessments of activity risk profiles and markets
Enhance consolidated data reporting by tracking and reviewing position changes, Profit & Loss monitoring, VaR back-testing
Develop tactical reports to help analyze market risk exposure
Work directly with trading desks on developing analyses of portfolio and risk dynamics
Guide and manage Market Risk’s participation in both large and small projects
Perform Model Validations among various Trading, Middle Office and Risk Management systems. Maintain the documentation of the model to Key’s corporate standards
Understand the conceptual framework and assumptions of the models and assess model performance
Supports Market Risk policies and processes
Coordinate with other groups including Information Technology to define specifications and production roll-outs for the Risk and Middle Office systems
Work on interdisciplinary teams on corporate and departmental priority projects
Interface with Technology, vendor, and project teams to advance Market Risk’s development and implementation objectives
Bachelor’s degree with a strong preference for a Master's degree in finance, mathematics, statistics or other quantitative field
Advanced knowledge of finance including valuation methodologies, understanding of capital markets, financial instrument modeling, Value at Risk and Counterparty Credit Risk
Proficiency in the use of Microsoft Office with advanced experience in Excel and VBA
Strong and effective oral and written communication skills

Cb-operational Risk-associate Resume Examples & Samples

Maintain confidentiality of sensitive client information
Evaluate methods and processes and make recommendations for improvement
Identify and help resolve issues
Minimum 3 years relevant experience in the administration of Regulatory, Compliance related processes
Experience in a testing environment required
Strong interpersonal skills and ability to interact with various levels of management
Strong project management skills and ability to meet deadlines in a fast paced environment
Ability to present information in a concise and effective manner

Asset Management GWM Covenants Risk Associate Resume Examples & Samples

Manage the review of sophisticated loan documents for a specialized portfolio to extract covenants, create document tracking items, complex financial calculations, and non-financial articles in our Commercial Loan Agreement Servicing System (CLASS) for each client; manage the monitoring and testing of all covenants, including receiving and reviewing hedge fund performance reporting and capital account statements, while escalating and reporting non-compliance to covenants to the appropriate Capital Advisor
Establish spreadsheets for building and monitoring calculations that are outside of CLASS capabilities; participate in conversations and suggest improvements to core operative systems
Participate in and lead market calls addressing exception reporting with applicable Capital Advisors and Credit Executives; propose solution-oriented changes and obtain & save appropriate approvals
Perform metrics and other analysis related to core operations, risk, and capacity
BA/BS or equivalent; Finance/Economics strongly preferred; MBA a plus
Minimum of 3 years working in a legal, credit administration, operations, or support group within the Financial Services industry; knowledge of bank systems and loan/credit operations strongly preferred
Must possess exceptional understanding and experience working with legal documents and/or contracts
Strong Excel and data manipulation skills; Macros and Pivot Table skills strongly preferred
Excellent written and verbal communication skills; must be comfortable interacting with all levels of management
Must have the ability to work independently while managing shifting priorities
Must be able to collaborate and support multiple teams
Experience in Project Management a plus
Risk background preferred

Risk Associate Resume Examples & Samples

Resolving complex issues in modeling credit risk rating models used in the calculation of economic and Basel II capital, allocation of capital for performance measurement, and other aspects of credit risk management
Assisting in the development of a new model, risk measurement or financial analytic that will impact a particular banking portfolio or risk function
Researching and evaluating data modeling techniques and quantitative methodologies
Assessing the appropriateness of quantitative models and their limitations
Evaluating existing processes and models in relation to corporate objectives and industry leading practices
Designing efficient numerical algorithms and implementing high performance computing solutions
Providing technical/theoretical expertise to resolve credit risk issues and enhance overall credit risk framework
Strong presentation and interpersonal skills
Ability to work effectively across organization lines
Solid analytical and problem-solving skills with ability to isolate and solve issues using large amounts of data
Process orientation with strong technical skills and attention to detail
Strong conceptual and technical knowledge of risk concepts and quantitative modeling techniques
Technical skills / systems knowledge (e.g. SAS, Matlab, Advanced Excel, VBA)
Current enrollment in an advanced degree program (MS or PhD) in related field (math, statistics or economics) is required
Working knowledge of SAS, Excel, and VBA strongly preferred

Senior Credit & Liquidity Risk Associate Resume Examples & Samples

Lead the risk management rating scoring and due diligence requirements
Lead development for collateral review acceptance criteria
Lead credit risk monitoring assessment and measurement
Prioritize items for Senior Management and review materials for completeness before distribution
Manage alert escalation process and establish requirements
Train and develop staff
Communicate with Senior Management priority items and key issues
Minimum of 4 years direct experience in credit risk through work in financial statement analysis and/or credit risk assessment
Working knowledge of Bloomberg, Excel, Powerpoint, Word, Visio, and several years work with complex systems (risk related)

Risk Associate Resume Examples & Samples

Implementation of AML/BSA and OFAC Laws and Regulations in a business environment
Familiarity with the requirements of the FFIEC BSA/AML Examination Manual
Knowledge of common AML Typologies
Banking-related products and services, operations, processes. commercial, retail, private banking, broker dealers and transactional flows
Attention to details in executing and reviewing work products to establish the highest quality deliverables in the allotted timeframe
Integration and synthesis of information from multiple sources, including business domain knowledge, in order to analyze complex data and results, anticipate issues and solve problems; and,
Promotion and driving toward standardization of service and/or solutions delivery and activities to provide efficient client service
Utilizing Microsoft Office Suite

Senior Risk Associate Resume Examples & Samples

Utilize Risk Management, Project Management and Continuous Improvement skills to drive root cause identification, solution development and implementation of issue remediation and/or continuous improvement opportunities.Partner with Operations and Risk to understand processes and identify potential risk issues, customer harm and process enhancements.This will require collecting qualitative and quantitative data, extracting latent or unstated needs or risks, convert customer or compliance inputs into solutions and actions, and driving those actions to closure
Monitor and effectively manage all risk issues owned by Operations. (i.e. self-identified, GIA, regulatory, etc) ensuring proper risk articulation and timely remediation.Proactively identify gaps that introduce risk to the customer and/or the bank
Deploy a disciplined process for identifying and prioritizing customer needs and wants to improve product development, processes and service quality. Create concise and timely reports and dashboards as a call to action and disseminate insights to clearly communicate the Voice of the Customer in a way that makes the insights come to life
Represent Loan Operations, Fraud & Claims Operations, Deposit Operations as a customer advocate in key meetings: Insights and Actions, Product Boards, BLRs, etc and participate in the Incident Management Process
Assist the Sr. Manager in the development and improvement of the framework and process for gathering and analyzing data, identifying impact of issues, driving root cause, prioritizing work, developing remediation and managing implementation of improvements
7-10 years of experience in one or more of the following: Risk Management, Project Management, Continuous Improvement, Operations
7-10 years of experience leading and delivering process enhancement initiatives at the project level. Experience with the project lifecycle or other associated methodology such as DMAIC; and/or experience working in audit, compliance or risk management identifying, consulting or remediating risk issues; and or Experience leading Operations, preferably in a financial services industry
Experience in a financial institution or service oriented company is preferred
Experience driving results through others (management or influencing role) preferred
Proven ability to build fruitful relationships, influence and drive change cross-functionally
Proven ability to manage multiple initiatives, navigate obstacles and deliver on time
Solid comfort level with basic operations technologies and ecosystems
Solid comfort level with understanding and drawing conclusions from data and statistics
Significant command of the following: data analysis, risk management, change management disciplines
Demonstrated critical thinking and creative problem solving
Ability to communicate effectively and persuasively with executive level staff in person and in writing
Passion for providing outstanding customer service
Desire to work in a fast paced environment where competing initiatives are emerging on a daily basis
Desire to increase industry and competitor knowledge
Experience with Lean or Six Sigma a plus
Experience with Compliance, Risk management or Audit a plus

Risk Associate Resume Examples & Samples

Be an effective risk partner to the designated business by providing risk insight and help the business to fully understand their risk profile
Develop risk processes to facilitate better coordination, communication and reporting on risks and risk data by implement ERM technologies to effectively execute and sustain the solutions
Be responsible that the risk appetite including the risk scoring and metrics is effectively developed as part of the Enterprise Risk Management (ERM-) System
Support the business in capturing and maintain risks with appropriate controls; measurable key risk indicators (KRIs) are in place as part of an open risk culture
Risk event data analytics -Ensure effective escalation and reporting as risk events occur with post event tracking of remediation items
Themes and trends - intelligent data analytics for the analysis of events; risk concentration, systemic risk
Proactive data research and analytics to identify, assess, manage and report on emerging risks
Facilitation of scenario activities - Support the coordination of risk assessment and scenario planning exercises and ensure that these are carried out on a regular basis, are insightful, forward-looking and actionable
Conducting risk reviews in collaboration with other members of the Risk department as required - this includes risk-based reviews to provide assurance to the business that current processes are operating as intended and in line with risk appetite
Continuously improve risk monitoring and reporting to key stakeholders and committees through the usage of the ERM-System
Provide training and education on the ERM-System to increase risk awareness in the business and by creating the necessary client and user experiences
Assist in the development and evolution of risk management methodologies in line with best practices and regulatory requirements by tracking external developments in risk, the regulatory regime and the economy to inform FIL’s risk management framework and the translation of it into the ERM-System
Liaise with other oversight departments (Compliance / Audit / anti-fraud departments) to ensure a consistent and effective approach to address identified weaknesses in the oversight framework
Problem Analysis - attention to detail
Stakeholder and Customer Management – ensuring delivery of excellence
Envisions the Strategy – Implements strategies to achieve and sustain competitive advantage especially towards the ERM strategy
A desire to acquire new skills and develop knowledge in risk management through investigation and liaison with staff in all business areas
Self-motivated and able to work under pressure to meet deadlines, including good organisational skills
‘Can do’ attitude reflected in pro-active internal problem resolution and follow-up
Willingness to question processes with a view to improving service delivery
Ability to quickly form good working relationships and communicate effectively at all levels within the organisation
Commitment to high standards of excellence and integrity

Global Risk Associate Resume Examples & Samples

Prepare company and industry research and analysis
Analyze financial statements, prepare reports and present and defend analysis to management, as required
Perform valuation analysis for projects and companies, and prepare full financial projects and financial models for project valuation
Conduct financial modeling to determine operating performance and assess risk
Develop strategies to mitigate on-going risk
Review, assimilate, and critically summarize transaction-related documents
Manage accounts to ensure customer retention and performance to specifications
Monitor and report on assigned portfolio
Represent risk in transaction & account management deal teams, lead underwriting, restructuring, and repossession; participate in commercial negotiations, closing and funding for aviation finance products, portfolio management as required
Account management; maintain up-to-date information, proactively monitor/analyze financial & commercial fitness & determine credit ratings for a portfolio of customers, market sectors and countries; Including keeping SURE (proprietary customer database) current & accurate
Review transaction documentation to ensure adequate structure in accordance with approval, coordinating as necessary with other functions
You must apply via COS (internals) or www.gecareers.com (externals) to be considered for this position
Work authorization in Ireland/EU
Must be able to travel if necessary
Bachelor’s Degree in Accounting, Finance or Business Administration or equivalent knowledge and experience
Experience with evaluating legal documentation
Experience in Aviation leasing and finance would be a strong advantage

Risk Associate Resume Examples & Samples

Assisting in capturing business processes, data sources and information systems information
Assisting in the development of a new modelling datasets
Assessing the appropriateness of datasets quantitative and their limitations
Designing efficient data structure, flow to deliver high performance computing solutions
Providing technical expertise to resolve data issues and enhance overall data framework

Fixed Income Non-market Risk Associate Resume Examples & Samples

Risk and Control Self-Assessment (RCSA)
Identify relevant risk mitigating controls and tailor control descriptions to fit division specific risk descriptions
Prepare materials used during the assessment, including relevant operational risk incidents and issues/ actions related to Fixed Income and Commodities (FIC)
Attend all FIC NMR deep dive sessions to assess risks, review processes and controls, and generate risk ratings per business unit
Facilitate front-to-back “transparency” meetings with support teams in order to communicate and explain business unit risks and processes
Assemble and maintain relevant metrics, including mapping to relevant risks, process and documenting risk rationales
Input of all FID assessments to firm’s RCSA platform (FORCAST)
Production and maintenance of NMR RCSA workshop materials
Operational Risk Incident Capture and Management
Daily review and due diligence of all front office operational risk incident entries
Logging of incidents in Firm system, working with Sales & Trading, Chief Operating Officers (COOs), Finance, Technology, and Operations to ensure data integrity, required content, and completeness
Business/Product Knowledge: A good understanding of finance and the processes related to the marketing, selling and trading of securities, derivatives and/or commodities in the financial services industry preferably in a global investment bank. Prior experience or exposure to trading, risk management, operating officer, or operations functions a plus
Risk Management: A minimum of 2 years of prior work experience and demonstrated risk management aptitude in a major global investment banking institution. Experience in risk assessment or risk management with focus on front office and middle office processes such as trade entry, electronic trading, transaction enrichment, exception management
Communication: Excellent verbal and written communication skills and a proven ability to work in a fast-paced and high pressure environment are essential as this role involves a high amount of interaction with business unit, technology, internal audit, controllers and operations management across FID, BRM and Commodities
Guardianship: Candidates should have an understanding of and strong focus on the control environment
Organizational Skills: Candidates should be able to coordinate several parallel objectives while responding to ad hoc requests. Flexibility is a key element as the role will require the ability to understand and react to changes in priorities. Comfort working with ambiguity, managing and resolving complex issues
Leadership: Candidates need to be able to demonstrate the ability to take ideas forward and to challenge others with integrity and maturity
Flexibility: Candidates should have a proven track record of rapidly acclimating to a fast-paced and constantly changing environment working within compressed timelines
Proficiency in MS Office and related applications (Word, Excel, PowerPoint, Project)
Understanding of Operational Risk and associated regulations (e.g., Basel) and the associated application to a financial services business
Knowledge of the Morgan Stanley systems and infrastructure

Risk Associate Resume Examples & Samples

Participates in AML compliance-related meetings, projects and initiatives with Financial Intelligence Unit (FIU) colleagues
Accountable for providing sound compliance advice and direction on the resolution of FIU related issues
The FIU Quality Control Officer reviews and escalates Suspicious Activity Reports (SARs) filed by the FIU for both potential money laundering/terrorist financing crimes and Bank Secrecy Act/Anti-Money Laundering (BSA/AML) violations across the entire Citizens Bank footprint meet Financial Crime Enforcement Network (FinCEN) requirements
Exercise critical thinking and critical decision making skills to efficiently and effectively review the quality of FIU investigations products
Ensure that each FIU case file contains all appropriate and required supporting documentation
Support and advise Branch and business line colleagues on BSA/AML matters
Develop and maintain strong relationships with the FIU Management Team
Utilizes knowledge of applicable banking laws, regulations, and guidance to partner with and direct Business management, Business Unit Risk Management, Legal and Citizens Bank Compliance colleagues in the timely identification, mitigation, resolution and reporting/escalation of existing, emerging and AML risks and issues
Using internal protocols, identifies compliance issues, analyzes the risk based on knowledge the business and the current regulatory environment, and escalates to the FIU Quality Control Manager based on severity of the risk(s)
Partners with the AML colleagues to develop and review policies, procedures, standards, controls, and tests that meet existing, new or changing AML regulatory requirements
Ensure that SARs are completed within the required regulatory time frame
Apply knowledge to the analysis/review of customers and activity in order to identify and report suspicious activity
Make recommendations for improving the efficiency and effectiveness of department processes and procedures, including the automated AML solution
Provides relevant corporate and/or business unit compliance information for Citizens Bank Compliance reporting purposes
Excellent understanding of BSA/AML regulations
Knowledge of retail banking, lending and bank operations processes
Strong investigative and research skills required
Organize and prioritize work tasks to ensure that a large volume of work is completed in a risk based and efficient manner
Proven ability to identify and understand money laundering trends and scenarios in order to apply that intelligence to observed customer activity
Proven ability to multi-task and function effectively in a fast-paced environment
Demonstrated understanding of the importance of maintaining confidentiality of suspect/account investigation and associated SAR reporting
Demonstrated ability to function as part of a team
4-6 years working in AML Industry or Financial Crimes role
2-3years Fraud or AML Investigations
Certified Anti-Money Laundering Specialist (CAMS) certification preferred
Forensic accounting, litigation, paralegal, law enforcement, regulatory agency experience a plus
Track record of practical experience with various commercial and proprietary computer systems
Above average familiarity with Microsoft Excel
Strong working knowledge of Microsoft Office Suite products

Cb-operational Risk-associate Resume Examples & Samples

Supporting the CB OLO Program Manager and CB OLO International Lead in execution of OLO deliverables
Entering the results of the CB mapping assessment into the OLO database
Maintaining CB records in the OLO database to ensure accurate and current data
Creating key metrics reporting to track and report progress to key stakeholders and senior leaders
Professional, self-motivated and able to work and deliver high-quality results in a fast-paced, result-driven environment
Ability to partner closely with related functions to ensure a coordinated and effective program
Detail oriented, with a highly disciplined approach to process and quality control
Solid organizational and multi-tasking skills
Excellent written and oral communication skills with the ability to facilitate dialogue and interact with all levels in the organization
Proven skills in using Microsoft Office applications: PowerPoint, Pitch-Pro, Excel, Word and Sharepoint
College degree is must

Operational Risk Associate Resume Examples & Samples

Facilitation and oversight of the implementation of the Operational Risk Management Framework (ORMF)
Assisting the review and challenge of business risk reporting, assessments, incidents and assurance activities
Applying analytics to operational risk data to identify risks and trends to improve business risk management
Assisting in the evaluation of risks, using scenario analysis where appropriate, to define Operational Risk Capital requirements
Preparing Operational Risk reporting to various governance forums
Assisting the central team in Sydney, in the management of various operational risk management and reporting responsibilities
Responding to requests from various stakeholders within Macquarie's Risk Management Group and Businesses Groups
A tertiary degree in Finance or a related area. Relevant postgraduate degrees or professional qualifications are desirable
The ability to think laterally with evidence of problem solving and persuasive skills
Strong communication skills, both verbal and written, with the ability to initiate conversations with businesses and risk management colleagues
A high level of technological awareness
The ability to work independently as well as collaboratively to deliver results
Tenacity, agility and a proven ability to sustain high levels of performance
Awareness of Operational Risk or Audit practices (with any relevant experience desirable)

Risk Associate Resume Examples & Samples

Reviews policies, procedures, and processes to identify regulatory risks; and assesses the applicability of new and changing laws, regulations, and guidance related to Anti-Money Laundering (AML)
The FIU Quality Control (QC) Officer reviews and escalates Suspicious Activity Reports (SARs) filed by the FIU for both potential money laundering/terrorist financing crimes and Bank Secrecy Act (BSA)/AML violations across the entire Citizens Financial Group (CFG) footprint that meet Financial Crimes Enforcement Network (FinCEN) requirements
Exercises critical thinking and critical decision making skills to efficiently and effectively review the quality of FIU investigations products
Ensures that each FIU case file contains all appropriate and required supporting documentation
Supports and advises business line colleagues on BSA/AML matters
Develops and maintains strong relationships with the FIU Management Team
Utilizes knowledge of applicable banking laws, regulations, and guidance to partner with and direct Business management, Business Unit Risk Management, Legal and CFG Compliance colleagues in the timely identification, mitigation, resolution and reporting/escalation of existing, emerging and AML risks and issues
Using internal protocols, identifies compliance issues, analyzes the risk based on knowledge of the business and the current regulatory environment, and escalates to the FIU QC Manager based on severity of the risk(s)
Partners with AML colleagues to develop and review policies, procedures, standards, controls, and tests that meet existing, new or changing AML regulatory requirements
Ensure that SARs are completed within the required regulatory timeframe
Applies knowledge to the analysis/review of customers and activity to identify and report suspicious activity
Makes recommendations for improving the efficiency and effectiveness of department processes and procedures, including the automated AML solution
Provides relevant corporate and/or business unit compliance information for CFG Compliance reporting purposes
Proven ability to identify and understand money laundering trends and scenarios to apply that intelligence to observed customer activity
4-6 years working in AML or Financial Crimes role
2-3 years Fraud or AML Investigations
Certified Anti-Money Laundering Specialist Designation preferred

Senior Risk Associate Resume Examples & Samples

Supporting firm-wide stress testing and ensuring it accurately presents results for the required scenario, conducting and assessing stress losses
Independent monitoring and control function for stress testing output across RBS Group
Operating within the Group Policy Standard for the Stress Testing Policy Standard and managing our firm-wide risk
Supporting the Head of Stress Testing Execution to embed the Stress Testing Centre of Excellences (COE)
Proven professional experience in risk management or in a banking environment
Significant experience in determining and undertaking stress testing concepts
Experience of risk management within complex business functions
Experience in the adapting and embedding of capital analytics
A high-level understanding of a banking institution's P&L, balance sheets, and capital management topics

WM Risk Associate Resume Examples & Samples

Daily trade blotter reviews
Monthly account reviews
Reviews of various focus supervisory reports or alerts
Reviews of requests for exceptions to internal policy guidelines
Reviews of FA pattern or trend metrics
Escalation of certain issues to Team Supervisor or to Field Risk Officers
Documentation of supervisory conduct in Firm systems
Preparation of reports
Strong working knowledge of brokerage retirement products
Risk, Compliance or Internal Audit experience preferred
Keen understanding of interplay risk functions, internal policies & procedures, and regulatory rules
Excellent analytical ability with attention to detail
Excellent interpersonal and communication(written and verbal) skills
Ability to follow specific directions and function independently or part of a team
Ability to work collaboratively with senior levels of management within the business, legal and compliance
Knowledge of SEC, Exchange and Firm Compliance Policies
Ability to interact with Management
Ability to thoroughly investigate and problem solve
Ability to identify issues and trends in order to provide recommended comprehensive solutions and remedies
Ability to see an assignment through from conception through completion
Ability to organize and prioritize work and meet deadlines
3 or more years of industry experience

IT Risk Associate Resume Examples & Samples

Support annual RCSA program for CT through the design, implementation and oversight of processes to identify key operations risks and evaluate the effectiveness of controls in place to mitigate those risks
Set up workshops to identify inherent risk and to request appropriate evidence for controls. Test the evidence of the controls and documenting the test results
Help identify the root cause of control and process breaks; provide expertise to the development of action plans to fix and/or remediate
Communicate issues and evaluate issues/findings and best practices with the rest of the team and manager
Perform QA reviews of RCSA documentation
Work actively with the Technology Controls Officers on the guidance and IT-related issues
Develop positive working relationships with RCSA Leads, Corporate Operational Risk, the central RCSA team and other partners to maintain an open environment for collaboration, risk identification and remediation
Enhance and maintain RCSA procedures and methodologies (e.g. testing & assessing controls, documentation, risk workshops, etc.)
Participate in additional key control projects related to enhancement of the RCSA program
Create MIS / analysis to ensure that key risks and control gaps/enhancements are properly identified, evaluated, reported and addressed
Support internal education and best practices sharing with peers and colleagues, as well as information security education & awareness, as needed
Bachelor's degree preferably in Computer Science or Information Technology
Minimum of 3-5 years experience in Controls, Operational Risk, Compliance, Risk Management or Audit
Have a strong background in Auditing, understanding of internal controls, particularly General Computer Controls (GCC)
Strong understanding of/experience with the RCSA program at JPMC and/or at other large financial institutions
Inquisitive and proactive in identifying risks and proposing solutions
Ability to review documentation and provide executive summary overviews and trending analysis
Solid organizational, project management, deliverables-management and multi-tasking skills with demonstrated ability to manage expectations and deliver results
Self-starter, action-oriented and effective listening skills
Strong analytical skills with ability to aggregate and interpret data
Ability to prioritize and work under stringent timelines
Strong interpersonal skills - verbal communications, written communications, and a good track record of collaboration
Experience with Risk tools (e.g., FORCE) systems is a plus
CISA, CISM, CRISC, CISSP certification a plus

Risk Associate, Field Operational Risk Resume Examples & Samples

Define and execute test scripts across a wide variety of Wealth Management Product areas; targeting controls that support inherent high and critical Field Management risks
Support a variety of operational risk management initiatives and special projects, including targeted risk assessments and remediation projects
Work with Partner teams to analyze Quality Assurance (QA) testing processes and identify opportunities for internal team efficiency gains
Support the development and maintenance of team procedures, risk management tools and data repositories
At least two (2) years of financial services, risk management, audit, compliance and/or quality assurance experience (familiarity with wealth management branch structure and/or branch operations is a plus)
Must be proficient in Microsoft Word, Excel and PowerPoint (familiarity with Access is a plus)
Excellent written and verbal communications skills required

Enterprise Risk Associate Resume Examples & Samples

Coordinate with regulatory and compliance counterparts to share best practices and practices to sustain a competitive advantage for the bank and meet regulatory requirements
Provide backing for the communication approach related with risk governance activities
Collaborate with risk managers in the assembling of quantitative and qualitative data
Assist in monitoring the process to reply to regulator requests ensuing quality control across the risk disciplines
Responsible for data validation and the effective challenge of quantitative information provided in responses for internal and regulatory communications
Synchronize with risk managers on the compilation of risk information related with periodic regulatory reviews and ad-hoc risk governance presentation energies
Preserve an organized, centralized and easy to access repository where risk governance communication resources are warehoused and archived accordingly
Prepare and uphold procedures surrounding the communication method associated with risk governance activities
Contribute in the development and delivery of specialized internal training on the communication method for risk governance and applicable reporting
Coordinate to analyze regulatory developments and aid to determine which risk governance parts of the bank might be affected by new regulatory initiatives
Prepare various regulatory reports with input from risk managers for proposal to the appropriate regulatory body
Ability to work on numerous projects at once, while regularly reprioritizing key deliverables
High performer, pragmatic, detail oriented individual
Bachelor’s Degree in business administration, finance or similar field
Graduate degree or industry certifications ideal

Operational Risk, Associate Director Resume Examples & Samples

Forming an independent view of the operational risk profile of our Americas businesses as well as our global funds management businesses and where appropriate act as a catalyst for change
Review and challenge business risk assessments, incidents, key risk indicators and assurance activities
Be a source of advice and quality control on the implementation of the ORMF, both in the funds management business and across the Americas businesses more broadly
Risk reporting and liaison with Americas senior management
Evaluation and approval of new products and businesses
Liaising with other risk management teams
Respond to requests from stakeholders including regulators, auditors and senior management
Ad-hoc projects as required by management
The role will involve travel to our American offices and to our Sydney office

Asset Wealth Management Risk AM Market Risk-associate Resume Examples & Samples

Measure, monitor and assess risks in principal and investment activities; escalate issues/concerns to senior management
Monitor limits utilization (stress, sensitivities) on a regular basis
Apply stress testing to investment portfolios for Bank Holding Company and CCAR reporting purposes, utilizing the market risk stress testing framework developed
Perform ad-hoc stresses based on firmwide stress scenarios in response to current market events
Coordinatewith firm-wide risk management teams on regulatory governance projects such as Basel reporting, CCAR, instrument authorities, trading consent order, Volcker risk reporting and risk appetite linkage
Analyze risk reports to highlight key risk exposures for the senior management team; present issues at monthly forums
Assist efforts to improve risk oversight, transparency and infrastructure
1-3 years experience in the financial services industry related to risk management
Strong product knowledge and quantitative skills Working knowledge of market risk methodologies such as VaR, stress and sensitivities
Excellent analytical and problem-solving skills; inquisitive nature
Strong communication and interpersonal skills to be leveraged in executive governance and senior management forums
Capable of prioritizing deliverables to meet goals as well as managing effectively across a number of different risk teams
Project management experience is a plus

Senior Risk Associate Resume Examples & Samples

Assist in identification and quantification of underlying model risk in risk estimations such as
Detailed understanding of Risk concepts and familiarity with the risk profile of different asset classes
Understanding of underlying risk systems and models
Professional certification CFA/FRM desirable

Risk Associate, Market Risk Portfolio Resume Examples & Samples

Provide support to credit officers in analyzing credit risks on derivative and security financing transactions and portfolios of transactions, collaborate with Core System Modeling Team for the delivery of counter-party Risk Metrics
Take ownership of the process, follow-up & track to resolution any issue with the downstream teams, provide training & ability to review the work of analysts in the team
Deliver pre-deal capital RWAs impact to Front Office, CRO Office, Credit Risk Officers, assist in the delivery of Portfolio metrics that include counter-party gap risk
Support with BAU and Ad-Hoc regulatory deliverables, represent & present the analysis in wider forum as team’s representative, daily review of control reports to determine and implement appropriate action. Ensure a timely outcome of investigations undertaken
Enhance the stress testing framework, report counter-party Credit Risk metrics, highlight the issues in validating the stress test, impact analysis of any simulation error reported
Financial products and risk concept awareness, data analysis skills with large complex structures and volumes with ability to run controls and analyze underlying risk issues
Ability to perform root cause analysis for banking & trading book risk attribute issues
Extensive knowledge in Excel, MS Access, VBA, SQL
Ability to undertake small data projects and get involved in test and sign-off process
Understanding of Risk concepts & regulatory directives around counter-party credit risk

Risk Associate, Market Risk Portfolio India Resume Examples & Samples

Guide and coach junior team member in performing BAU activities, drive key improvement and changes in Market risk Stress testing framework
Work as SME for stress testing tool - FOREST and MR stress testing process, analysis of firm wide risks (overall concentrations, age, portfolio effects)
Analyze Market trends and stories and assess the impact on the portfolio in normal and stressed conditions, help with weekly and monthly summary of RWA impacts – with details explain of drivers of various components
Be a Subject matter expert for trading book Stress test, identify any macroeconomic / event risk and help in developing stress for same
Support with BAU and Ad-Hoc regulatory deliverables, monthly updates on general liquidity risk, monthly updates for the risk committee and Board
A basic understanding of VaR and Market Risk
Good bachelor’s level degree in a quantitative subject
Proven interest in Financial Markets and products

Risk Associate Resume Examples & Samples

Coordinate with associates, medical providers, and other third parties to obtain treatment and discharge status of injured associates
Coordinate with Operations Leaders and providers on return to work status of injured associates
Maintain an accurate diary of scheduled tasks and follow up items on a timely basis
Conduct prompt investigation of incidents at store level and identify root causes
Track and monitor Third Party Administrator for case reserves, 90 days protocol and timely payments to providers
Document claim file activities with detail and accuracy
Identify and make recommendations concerning safety issues to Supervisor
Respond timely to internal/external customers
Perform other additional duties, as assigned

Risk Associate, Market Risk Portfolio India Resume Examples & Samples

Ensuring the appropriate sanction requests is raised with appropriate commentary in case of a limit breach or limit extension request
Investigating the reason behind change in VaR, SVaR and other risk sensitivities daily
Supervising controls over market risk numbers including filters, risk override, mappings
Providing impacts on VaR and other risk measures pre-trade, after a new trade and imminent trade expiries
Monitoring and management of market risk for the trading desks, understanding the main risks in the portfolio in detail and monitoring the stress test results on a regular basis
Data analysis skills with large complex structures and volumes with ability to run controls and analyse underlying risk issues
The ability to analyse various quality dimensions including performance, reliability and resilience, and design and implement improvements to meet them
Strong communication and interpersonal skills with the ability to influence, liaise and interact with several levels of management
Excellent organisational skills and the ability to focus on different tasks concurrently and handle tight timelines

Liquidity Risk Associate Resume Examples & Samples

Understand global regulatory requirements and expectations for the firm’s liquidity and funding position
Understand the firm's businesses and how those businesses impact the liquidity and funding position of the firm, review and understand the liquidity and funding requirements of the firm
Provide independent review, validation and risk management of liquidity and funding models and their assumptions as they relate to the liquidity position of the firm
Serve as a knowledgeable professional on quantitative risk modeling and its impacts on liquidity risk management and provide independent assessment of the firm's liquidity and funding risks
Remain up-to-date on regulatory requirements and follow financial markets and business trends on a frequent basis and analyze how those developments could impact the firms liquidity and funding position

Business Operational Risk, Associate Resume Examples & Samples

To assist the businesses to implement and adhere to the Bankwide Risk Management Framework including application of Bankwide Policies, implementation of Risk Control Self Assessments and input and analysis of operational incidents
To assist the businesses in obtaining approval for and implementing new activities and businesses in a controlled manner, including but not limited to the review of governance structures, product management and processes
To document and lodge incident reports, self assessment results, KRI dashboard reporting and other ORM reports
To work with support areas such as compliance, finance, settlements, risk, IT in ensuring businesses are operating in a controlled manner,
To increase awareness of operational risk across business staff
To map / document processes
To provide assurance testing of the design and effectiveness of controls
To conduct ad hoc investigations
To liaise with Internal Audit during Internal Audit reviews and follow-ups
End-to-end Financial Markets experience with exposure to operational risk management within a trading environment. Knowledge of various markets (including operational and regulatory requirements) is essential
Solid communication and interpersonal skills with an ability to deal with / question staff at all levels
Proactive in identifying and following up on anomalies / areas of concern
Ability to deliver results within a deadline
Pragmatic approach to operational control with an ability to balance risk and returns
Able to work independently as well as collaboratively within a team of specialists
Strong relationship building and maintenance skills; gain buy-in, trust and understanding, able to influence and negotiate, be highly visible and able to provide transparency of process to clients and team
Able to initiate and lead conversations with business leaders and risk management colleagues regarding anticipated and emerging issues
High degree of commercial acumen
Proactive and solution focus
Delivering in a fast-paced, output focused environment
Confident presenter
GD *LI

Alcentra, Operational Risk Associate Resume Examples & Samples

Facilitate the Enhanced Risk Controls Self - Assessment RCSA process within the business
Review the Key Risk Indicators within Risk Management Platform system
Assist the Risk manager to carry out operational risk assessments on the key business areas and change process
Assist in the production of annual ICAAP
Responsible for undertaking analysis of Operational Risk Events
Prepare the risk management information for Fund Boards and AIFMD related risk reporting for approval of Risk Manager
Carry out root cause analysis work on Operational Risk Events and recommend control improvements
Assisting in the on-going broker/counterparty approval process and annual review process
Contribute to the UK and US Risk Management Report and to be distributed to the UK and US Risk and Compliance Committee meetings
Produce the minutes for UK and US Risk and Compliance committees and track actions to completion
Attend due diligence meetings with Risk Manager where relevant, to outline risk processes with investors & potential investors
Assist Marketing team with respect to Risk Management sections of RFP’s
Aid with the replacement project of the Barclays POINT risk tool to Aladdin risk management system for risk reporting. Once implemented, consistently produce the daily UCITS risk reports for the US High Yield fund before the cut-off time
Update Risk Management Policies and Procedures
Keep abreast of developments within Operational Risk by attending conferences
Solid quantitative and qualitative analytical skills, attention to detail and strong excel skills
Strong communication skills (both written and oral)
Strong desire to build a operational risk management career
The ideal candidate should be educated to degree level with Operational Risk Management experience within financial services
Proven interpersonal skills with ability to work with a fair degree of autonomy and demonstrate initiative and a sense of personal accountability, but remain a team player and enjoy contributing in a cooperative and entrepreneurial environment; ability to work well in a small, collaborative team
LI-DB2

Senior Risk Associate Resume Examples & Samples

Assist in defining and executing Credit Risk and Business Controls analysis as per the framework covering key risk KDE’s, exposure & reference data, perform daily process activities in line with the defined process flow and guidelines
Enable project synergies across governance, resources and delivery, leading the fortnightly/monthly status calls with the on-shore, monitor timeliness and accuracy as per SLA for the team
Investigate, analyze & highlight issues with respect to risk systems data control results and reconciliation results to respective stakeholders in Risk & Finance and manage the project delivery E2E while working closely with business & Risk Technology to mitigate the issue
Help other teams within Risk to close the reporting & control requirements by providing expertise on SAS & other BI tools, monthly planning (priorities, resources, timeliness etc.) Delivery to customer and share the plan with the customer and secure buy-in of the customer
Identify areas of process improvement and actively participate in department-wide process improvement initiatives
Excellent Retail Financial products knowledge and Retail System Data flows, good understanding of the Global Markets and Banking operations
Knowledge/experience in Credit Risk and Risk Methodologies, Good communication skills required, for liaising with internal & external stakeholders
Ability to work hands on with large data analysis skills with large complex structures and volumes, hands on tools knowledge related to SAS, BO, SQL and Excel
Good knowledge of system process flows/change drivers and associated connectivity with technology teams
Basic Knowledge of key functions performed by other support areas (Finance/Controllers, Market Risk, Credit Risk, Operational Risk)

Field Operational Risk Associate Resume Examples & Samples

Participate in key strategic priorities such as Field Risk Committee reporting, Risk & Control Self-Assessment process, and policy and procedure development
Plan coordination and monitoring for Field Remediation
Strong proficiency with PowerPoint, Excel, and Word; Microsoft Access knowledge a plus
Strong organization skills with the ability to multitask and prioritize; ability to work under pressure and to tight deadlines

AWM Operational Risk Associate Resume Examples & Samples

Risk management, management consulting, or equivalent experience in complex financial enterprises; knowledge of wealth management businesses, risk & controls preferred
Exceptional critical thinking, analytical, project management, and communication skills with the ability to directly identify and escalate issues and challenge processes/controls where appropriate
Exceptional leadership, interpersonal, and collaboration skills, with the ability to successfully engage a broad range of individuals across various business segments and key support functions, to achieve goals without direct control over resources (work across a matrix organization)
Experience in participating in global initiatives and performing root cause analysis is important
Ability to multi-task and deliver on priorities in a dynamic business environment
Excellent skills using MS PowerPoint and Excel tools efficiently; strong data analytics capability (pivot tables)
Experience with process mapping, documenting work flows of processes a plus
Ability to analyze data, draw meaningful conclusions, and synthesize results
Familiarity with JPM risk management frameworks, RCSAs, FORCE tools would be helpful
Ability to learn new concepts, systems, processes, and initiatives

Asset Wealth Management Risk AM Market Risk-associate Resume Examples & Samples

Measure, monitor and independently assess risks in principal and investment activities; escalate issues/concerns to senior management
Establish and maintain appropriate risk exposure limits and monitor utilization (stress, sensitivities) on a regular basis
Coordinate with firm-wide risk management teams to drive regulatory governance projects such as Basel reporting, CCAR, instrument authorities, trading consent order, Volcker risk reporting and risk appetite linkage
Develop risk analytic reports for the senior management team to highlight key risk exposures; present issues at monthly forums
4+ years experience in the financial services industry related to trading, portfolio management and risk management
Strong product knowledge and quantitative skills with broad range of asset classes
Strong knowledge of market risk methodologies such as VaR, stress and sensitivities
Undergraduate degree required; post graduate degree preferred

Market Risk Associate Resume Examples & Samples

Knowledgeable about US Fixed Income markets in general
Professional, self-motivated, and adaptable person who can work effectively under pressure
Proficient in Microsoft Excel and VBA. R, Stata or MatLab is a plus
Strong team player who can work well with colleagues of various levels and internal clients across regions
3 to 4 years of related business experience is required

Market Risk Associate EM & Fx-span Resume Examples & Samples

To monitor market activity, review positions taken by risk takers and to communicate to senior management
Knowledgeable about LatAm & G10 FX markets in general
Fluent/Native speaker in Spanish or Portuguese
Derivatives and especially Options pricing knowledge/experience is important
Numerically and quantitatively capable
Positive attitude and attention to detail
Ability to work and solve problems independently, and be able to work in a deadline oriented environment

Risk Associate Resume Examples & Samples

Test models under stress & system integrity: Perform sensitivity analysis to identify the range of outcomes and if there are any scenarios where the model may not work as expected. Assess the model performance against the model presented by the modelers. Assess controls around data in and out of system
Periodic validations/ re-reviews: Supporting periodic model validations by undertaking e.g., model stability, performance, benchmarking analysis and summarising the results in a clear and presentable format. Compile re-review packs, management of re-review schedule, re-run tests, additional tests as needed. Follow up on any issues identified
MInT/MRF: Assisting with the MInT Help Desk, providing ongoing training and overseeing ongoing improvements; assisting with the transformation of MInT into a tool that enables tracking and reporting of model risk (i.e. are all mandatory procedures up to date, are all models within governance etc.)
Governance & Admin: Issues’ management and assisting with: reports and updates to senior management, MRM admin, management of model risk related ORBIT and GNEP issues etc
MI: Assist in validation and use of model related monitoring MI, which is used to assess model performance, is a basis for detailed periodic validations and external disclosures. Investigating errors and KPI breaches
4 to 6 years of experience with degree in a quantitative subject (e.g. mathematics, physics, statistics, finance, etc.)
Experience in coding in SAS
Experience with C++, Python, R will be added advantage
Some knowledge of financial mathematics and relevant product/business experience
Good skills in data analysis and code base support in a financial business context
Skills in Microsoft products (Excel, Word, PowerPoint)

FX Risk Associate Resume Examples & Samples

10 or more years of experience
Bachelor’s degree required; Masters preferred
Good and strong knowledge to Bloomberg, Reuters application
Knowledge to Dodd Frank Regulation, Volcker Rule, Reg NN, Reg E
Have depth Product Control knowledge to FX Products including FX Derivatives
Strong end user computing skills e.g. Excel (Advanced), Powerpoint, Word
Each team member must have knowledge of BSA/AML/OFAC Laws/Regulations, understand how these obligations relate to his/her role, and comply with these laws and regulations

Mswm Business Risk Management Operational Risk Associate Resume Examples & Samples

Assist with the approvals, provisioning, and reviews of various applications owned and accessed by Front Office
Facilitate key entitlements initiatives and projects related to transfers, vendor applications, segregation of duties, cyclical, and ad hoc entitlements reviews
Establish relationships and work closely with Investment Solutions supervisors, WM Risk, Platform Solutions, Information Technology, and TIR (Technology and Information Risk) on various Business Risk Management initiatives
Participate in various internal reviews and readiness examinations to ensure the business is adequately prepared for all audit, compliance, and regulatory examinations
Perform data analyses by utilizing different data analytics tools and use the results for management presentations and reporting
Assist with the management of existing firm vendor relationships by validating and updating material vendor information (criticality, data transmission, service categorization, ownership, etc.)
Ensure that new vendor relationships are onboarded properly, and all required information, assessments, agreements, and controls are implemented prior to onboarding
Identify opportunities for process efficiencies and implement solutions across processes within the team
Assist with Business Continuity Planning (BCP) and Disaster Recovery processes across all Investment Solutions Businesses
Facilitate BCP testing and training programs to ensure disaster preparedness and policy compliance
Assess, measure, monitor, and communicate Business Impacting events with all affected employees, their managers, and WM Risk
Strong motivation as a self-starter with a positive outlook and desire to solve problems
Strong analytical skills with an ability to understand complex workflows
Strong working knowledge of Excel (including pivot tables, Vlookups, etc.) and Powerpoint
Ability to handle multiple tasks in a timely and effective manner and thrive in a fast-paced environment
Excellent oral and written communication skills, as the role involves a high amount of interaction with leadership and management across multiple divisions
Ability to identify and escalate issues effectively and appropriately

Asset Management Risk-reputational & Fiduciary Risk Associate Resume Examples & Samples

Review, edit, and advise business on the substantive nature of the reputation risk issues clients present
Review critical issues with CEO, CRO, CIO, and Legal
Work with senior management on firm wide issues and from time to time join firm wide reputation risk working groups. Distribute submissions for bilateral approval (CEO & CRO), lead committee meetings driving discussion, take notes, and draft minutes of each reputation risk case
Understand complex products and structures available to clients which may present reputation risk to the firm
Develop methods for analyzing class of clients. Advise the business on findings and present possible solutions to managing the reputation risk
Perform data entry of submissions into firm wide database
Review, and draft procedures and best practices guidelines
Work with Asset & Wealth Management head of reputation risk regarding current and new methods for analyzing the reputation risk
Action oriented with a focus on results, display strong analytical skills, be able to assess and clearly articulate complex ideas and possess creativity
Interact with all levels of management and business partners
Work independently with minimal supervision
Effectively handle competing priorities and have the ability to work as a part of multiple teams
College degree; 3-5+ years Financial Industry Experience
1+ Year of Risk Experience in an Asset Management / Wealth Management Environment - preferred

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