Risk & Controls Manager Resume Samples

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C Fay

Cleora

Fay

50639 Kaley Extension

Chicago

+1 (555) 374 6658

50639 Kaley Extension

Chicago

Phone

p +1 (555) 374 6658

Experience Experience

Chicago, IL

Risk & Controls Manager

Chicago, IL

Satterfield, Altenwerth and Ullrich

Chicago, IL

Risk & Controls Manager

Ongoing monitoring of risk management issues and mitigations, such as audit, compliance MAPS and other control activities
Coordinating semi-annual service level calls with countries
Performing ad hoc control activities
Delivering Risk and Control Training and presentations to new & existing employees
Engaging and working with the Program coordinators of Fraud, IS, CoB, Records management and other general controls for the department
Acting as a point of contact for the department in relation to Citi Policies and Standards including but not limited to Operational Risk, MCA, KRI's, Caps
CRMA or CIA certification helpful

Dallas, TX

Trade Risk & Controls Manager

Dallas, TX

Berge, Gleason and Rice

Dallas, TX

Trade Risk & Controls Manager

Ongoing review of Manager’s Control Assessment (MCA) for the region to enhance and improve risk mitigation
Proactive management of branch controls by providing direction on key control initiatives
Support BAU operations (i.e. transaction execution) as may be assigned by Manager from time to time
Work with EMEA countries to highlight any issues surfaced as part of the MCA process
Support adhoc tasks for Trade / TTS CO as may be assigned by Manager from time to time
Proactively manage Operational Risk in International Trade operations and roll out the necessary control initiatives in 40+ EMEA countries
Co-ordination of Continuity of Business (COB) & Records Management

present

Philadelphia, PA

Operational Risk & Controls Manager

Philadelphia, PA

Fritsch Inc

present

Philadelphia, PA

Operational Risk & Controls Manager

present

Logging, coordination and tracking of all client complaints
Directly manage a team of three official level staff including
The development of functional control dashboards utilizing new technology and reporting methods to report on risk and controls effectiveness to ensure compliance with internal and external regulation and standards
Provide Risk Partner support across all PBO Collections and Recoveries team to deliver proactive solutions to potential issues and effective support and challenge to improve performance and deliver strategic and BAU change
Assist in delivering ‘Deep Dive’ Reviews
Identify and formulate management self-identified issues and monitor, track and manage Issues and CAPs to resolution in the iCAPS system including those resulting from Internal/External Audits and Regulatory Exams
Provide oversight and management of the MCA Plan comprising control testing and business metrics to ensure comprehensive coverage and completion of all tests/metrics within designated timelines and the application of maker/checker reviews for accuracy

Education Education

Bachelor’s Degree in Insight Into

University of Arizona

Bachelor’s Degree in Insight Into

Skills Skills

Strong ability to influence others and lead independent of direct supervision. Consistently exemplifies cross-company collaboration and partnership
Ability to define, manage & execute individual & inter-related deliverables and results driven approach to execution
Demonstrate ability to develop and maintain strong relationships across a range of stakeholders
Analytical thinker with the ability to multi-task and prioritize; attention to detail, planning and follow-up
Strong Leadership and Motivational skills
Comfortable communicating with all levels of the organization (written and verbal
Ability to influence upwards and downwards to accomplish critical tasks
Proficient use of Microsoft Applications ( Word, Excel, Access, PowerPoint, Visio, Project )
Experience developing or testing controls in the SOC2 Framework: Security, Availability, Process Integrity, Privacy, and Confidentiality
Analysis, creativity and innovation - able to conceive original and practical solutions to complex and business critical problems

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15 Risk & Controls Manager resume templates

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Risk & Controls Manager Resume Examples & Samples

Evaluates, designs, implements, supports and evaluates information risk aspects of JPMIS products and solutions
Ensures that all layers of the platform and application environment integrate in a secure fashion
Conducts security risk assessments on JPMIS applications and infrastructure, both new and current, utilizing the appropriate security diagnostic tools. Identifies and assists the remediation of security deficiencies, issues and risks
Assist with the development and interpretation of JPMIS specific policies and procedures
Support the execution of JPMIS projects whether providing SME knowledge, analysis of solution design assistance
Participates in security audit and compliance efforts, risk analysis, vulnerability testing, and security reviews
Evaluates and recommends new and emerging security products and technologies
Assists with creating, updating and maintaining risk related forms, work instructions, checklists, and other related documents
Assist coordination and implementation of appropriate Information Security governance, metrics collection, and reporting capabilities
Provide consultancy for analysis and identification of broader systemic issues based on results of security metrics
Provide guidance on implementing information security objectives
Work with diverse IT and business teams to assist in the remediation identified issues in a risk prioritized, effective and efficient fashion
5+ years of experience with evolving state-of-the-art information security technologies, technology policy and security administration
3+ years of experience in a leadership capacity
Direct experience in the specific technical areas of systems administration, applications development, database administration, network operations, and data center operations
Must have a strong Information risk background, including information privacy, data protection, regulatory frameworks, as well as risk and security architecture
Significant experience with evolving state-of-the-art information security technologies and approaches
Demonstrated track record of maintaining currency with technological trends and available security solutions in the marketplace
Experience with information system auditing including computer security reviews, control selection, and evaluation of systems using a risk based approach
Strong interpersonal and communication skills, plus the ability to achieve goals through influence, collaboration, and cooperation
Integrity and high standards of personal and professional conduct
A bachelor’s degree or equivalent experience is required

Lead Business Risk & Controls Manager Resume Examples & Samples

Establish an integrated and collaborative relationship with 2nd and 3rd line of defense partners from Risk, Compliance, and Audit to ensure continued focus, successful closure of Issues,
Lead ongoing monitoring of risk management issues and mitigations, such as audit, compliance MAPS and other control activities
Strong analytical, organizational, and project management skills
Experience with Risk identification
Excellent EXCEL, PowerPoint, Word and Visio skills
MBA,/CPA, and/or CIA,
5 plus years controls analysis experience in Insurance, Mutual Fund, Information Technology, and/or Public Accounting (SOX, SAS70, SSAE16, etc.)

MYS Ctsm Kl-risk & Controls Manager Resume Examples & Samples

Co-ordinating, monitoring, reviewing & reporting of the Operational Risk for department including but not limited to RCSA, Caps, Statement of Accountability etc
Coordinating semi-annual service level calls with countries
Assist with all aspects of IA and Regulatory review preparation and readiness including specific process reviews as required. This includes the provision of business monitoring deliverables to audit and responding to ad hoc queries from OCC, Financial Regulator and ARR
Co-ordinate local BSU quality programme
Responsible for tracking and reporting departmental risk via monthly heat map
Host / Coordinate / Represent Regional BSU for Process Change Control Board
Manage Business Outsourcing Compliance activities
Experience in control/risk or Compliance (AML/KYC) function
Knowledge and experience of KYC / AML risk mitigation strategies (an advantage)
Audit experience (an advantage)
Capable of working Independently
Excellent workflow management skills / experience
Superior planning & organising skills
Project Management Skills Qualifications
Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience. Candidates who do not meet the certification requirement and other required qualifications must demonstrate willingness to complete required assessments successfully within a specified time period

BU Risk & Controls Manager Resume Examples & Samples

This position is responsible for leading multiple key and high impact projects in functional areas and will also have limited oversight of others in the team
Responsible to ensure effective remediation of non-compliant situations within the business unit through the re-design of process/controls and testing of their effectiveness
Serves as SME regarding regulatory and compliance issues, effectively communicating complicated financial concepts to all levels of management, peers, auditors, regulators and others
Recommend and lead the implementation changes to methods of performing work. Provides input to policy to manage risk and exposure to the organization
This position will facilitate and lead risk mitigation strategies, develop appropriate controls to proactively mitigate risks and detect unaddressed risks within the process, and regularly monitor and report progress
Involved in the complex analyses of the consequences and implications of multiple alternate scenarios where the results have significant impact on the organization
Leverage enterprise risk standards for the identification, measurement, monitoring and management of business unit operational or product risk
Lead efforts in defining risk information and tools needed for the management of business unit process or products and ensure the capture of appropriate risk-related data to support the measurement and management of risk
Support the implementation and ongoing use of Governance, Risk and Compliance (GRC) tools within the bus unit
Support the implementation of risk and control self-assessment and related processes and the optimization of the control environment
Promotes the adoption of a controls and compliance culture through training and consulting activities
Delivers operational execution with a focus on action and accomplishing results; establishes appropriate plans/goals, demonstrate commitments to organizational success
Drive the identification of emerging risks and trends (both internal and external) that could have a negative impact on the ability to achieve business goals and objectives
May be asked to prepare presentations and reports to product risk committees and bus unit leadership for risk related topics
May supervise subordinate staff relative to the implementation, monitoring, evaluation and reporting on compliance, audits, policies, programs and issues
Makes decisions on moderately complex technical issues dealing with regulatory compliance issues having limited impact to the organization
Manages the coordination of the activities within the function with responsibility for results
Manages recommendations regarding hiring, promotion, salary, termination etc., for direct reports and subordinate staff
Organizes, orchestrates, and monitors moderately complex sets of activities, people and resources over extended periods of time
Participates in defining audit service standards for Brokerage Services and Support
Contributes to decisions and projects that have a moderate to high impact to the business unit
5-10 years of financial services industry experience (preferably in brokerage operations) with a strong discipline in assessing risk and implementing adequate controls
5+ years of information security/audits or business process re-engineering in a process and control environment in a financial services company
Proven track record managing projects and staff
Strong overall business acumen (preferably operational experience)
Good communication skills and strong relationship management skills
Prior project and/or people leadership experience
Ability to gather, analyze and interpret risk and control related data; grasps complexities and perceives relationship among problems and issues; ability to communicate effectively to management and business partners
Ability to make timely and sound judgments; including under ambiguous circumstances
Build sound business relationships across the enterprise to enable a strong understanding and close alignment with business needs, direction, and risk appetite
Effective communication skills; speaks clearly and expresses self well in groups and in one-to-one conversations; conveys information clearly and effectively through formal and informal written documents
Strong attention to detail with a pro-active approach to solving and preventing problems
Handles day-to-day work challenges confidently; is willing and able to adjust to multiple demands, shifting priorities, demonstrates flexibility
Works well in a team environment; fosters collaboration amongst team members and across various business units
Ability to interface effectively with peers and all levels of management

Operational Risk & Controls Manager Resume Examples & Samples

Ensure that all Citi Corporate policies and Citi Trust business procedures are appropriately implemented and controls appropriately managed and monitored
Coordinate and Manage internal and external audits and regulatory exams through coordination of deliverables, set up of meetings, management of business responses and drafting of Corrective Action Plans (CAPs)
Identify and formulate management self-identified issues and monitor, track and manage Issues and CAPs to resolution in the iCAPS system including those resulting from Internal/External Audits and Regulatory Exams
Provide oversight and management of the MCA Plan comprising control testing and business metrics to ensure comprehensive coverage and completion of all tests/metrics within designated timelines and the application of maker/checker reviews for accuracy
Identify and escalate actual/potential control breaks and trending and conduct root cause analysis in respect of negative trending and control breaks
Manage the Monthly MARS meeting processes for both the Trust business as well as the CPB Alternative Investments Unit ensuring timely completion of all packages and escalation of all issues
Prepare and where necessary in the absence of the BRM, present Business Risk Management Reports for the quarterly meetings of the Board of Directors
Provide support to the Senior Risk Committee in the coordination and recording of periodic Focus List and Annual Risk Review meetings
Provide oversight and management of the Sanctions Screening process within the BRM team ensuring that alerts are comprehensively investigated, accurately documented and processed within designated timelines, including escalation to compliance where appropriate
Provide oversight and management of the Transaction Trend Monitoring process within the BRM team ensuring proper and timely processing of all alerts
Logging, coordination and tracking of all client complaints
Provide assistance with BRM related projects and / or serve as a BRM project lead as appropriate
Assist with the tracking of Citi Trust /Corporate required training and provide assistance in the training of staff relative to such procedures
Assist in the Supplier Management oversight process for both internal and external service providers
Provide assistance in the coordination of Bahamas Country MCA activities and in the preparation of deliverables for the Country CCC and BRCC meetings
Directly manage a team of three official level staff including
Bachelor’s Degree – preferably in disciplines such as business administration, law, accounting or finance
Minimum of 10 years of experience in Compliance or Risk Management within a Financial Institution
A strong Business Risk Management / Compliance / Legal/ Audit background is preferable (minimum of 10 years’ experience)
Strong understanding and appreciation of the local regulatory environment and of international compliance and risk management best practices and initiatives
Professional Qualifications/Certifications/Designations such as STEP, Compliance/AML Diploma, ACAMS or CPA would be beneficial
Experience in the management of staff
Excellent Analytical, problem solving and time management skills
Ability to organize and prioritize work
Excellent interpersonal, communication (written & verbal) as well as leadership skills
Ability to work under pressure with tight deadlines

Business Risk & Controls Manager Resume Examples & Samples

Test and review the key controls which have been highlighted in the risk identification process
Evaluate and report on the robustness of the controls to mitigate the risk
Facilitate the execution of the Risk and Control Assessment (RCA) program
Use the AMEU Internal Control Monitoring Plan (ICMP) to perform testing and associated reporting of essential controls
Perform incident analysis, root causes and adequacy of action to identify weaknesses and product of error MI for senior management
Aid in the monitoring to resolution of all issues and actions identified
Deliver documented risk reports in line with project requirements
Understanding of key risks and controls within asset management
Extensive experience in meeting requirements of a control testing plan
Excellent understanding of operational risk and internal control
Risk, Compliance or audit professional with experience within Financial Services
Experience of performing control review reviews
Root cause analysis and business incident review experience
Preparing management information in relation to business incidents
Effective relationship builder with stakeholders at all levels

Trade Risk & Controls Manager Resume Examples & Samples

Very strong knowledge of International Trade operations (Import / Export LC’s, Guarantees, confirmation, advising, negotiation, UCP etc)
Experience of working in International Trade Operations in a bank or financial institution
Knowledge of risk management and / or audit management
Ability to map and re-engineer processes for control efficiency
Extensive experience in process improvement
Knowledge of trade technology platforms
The Grade / Level is the maximum that will be offered for this role
Candidates with lower experience may be considered for a lower Grade / Level
Ability to manage complexities of international trade operations in a complex transactional environment
Ability to engage confidently with senior management in the region and countries
Organizational and co-ordination skills
Strong execution capabilities
Trade Technical qualifications (e.g. CDCS) would be an advantage

Risk & Controls Manager Resume Examples & Samples

Engaging and working with the Program coordinators of Fraud, IS, CoB, Records management and other general controls for the department
Assist with all aspects of ARR and Regulatory review preparation and readiness including specific process reviews as required. This includes the provision of business monitoring deliverables to audit and responding to ad hoc queries from OCC, Financial Regulator and ARR
Delivering Risk and Control Training and presentations to new & existing employees
Partner with in-country compliance to ensure that local regulatory KYC Record requirements remain current
Responsible for tracking and reporting departmental risk via monthly heat map/KRI methodology
Maintain department controls calendar - keeping Department manager current of all upcoming deliverables
Performing ad hoc control activities
Undertake other assigned projects as requested
Extensive years’ experience in banking, finance or
Excellent workflow management skills /
Leadership and Motivational skills
Innovation and change management implementation
Process re-engineering and improvement
Proficient use of Microsoft Applications ( Word, Excel, Access, PowerPoint, Visio, Project )
University degree in Law, Business/Finance
Compliance certification/qualification
Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and

AML Risk & Controls Manager Resume Examples & Samples

7+ years of experience in an AML compliance role
3+ years of experience in a management / leadership role
Maintaining or pursuing an AML-related certification (e.g., CAMS)
Excellent written and verbal communication skills and ease interacting with Senior and Executive level management

OPS Risk & Controls Manager Resume Examples & Samples

Significant contributor on the development and execution of the ongoing operational risk and internal controls assessment processes within the business (i.e., process mapping approach, regulatory lifecycle reviews, foundational controls, etc)
Communicate effectively with employees in various levels and departments, as well as in different forums (meetings, conference calls, etc.)
Participate on task forces and special projects as assigned (higher risk changes) to assist the business in developing appropriate internal control systems or to monitor significant changes in control systems
Liaison to external regulators, corporate audit, legal and compliance departments
Assist in development and training of other team members and ensure performance reviews are conducted for direct reports in a fair, timely, and honest manner. Ensure that development plans for direct reports are established and meet the overall needs of the team member and the department
Build knowledge of new products or functions within the businesses supported in order to implement necessary enhancements/improvements in audit coverage and to minimize the risk of noncompliance

AML Risk & Controls Manager Resume Examples & Samples

Strong understanding of the financial services industry products and processes
Strong understanding of the risk and regulatory issues related to the area of responsibility
Strong knowledge and understanding of AML operations business, services and organization
Bachelor’s degree and 3 – 5 years of relevant work experience
Strong organizational skills to prioritize various tasks and projects
Excellent skills related to MS Office Suite and AML specific systems

Risk & Controls Manager Resume Examples & Samples

Management & monitoring of the risk and control agenda within the Capital & Liquidity Product Management team
Delivery of all initiatives to identify and improve the controls across the proposition
End-to-end delivery of new product controls
Manage the BCI de-risking agenda across all relevant products and client segments
Management & analysis of all relevant input and outputs required for ad-hoc and scheduled risk reporting & meetings, including internal Liquidity Product Risk & Controls / KPI reports and Risk & Controls Board
Manage internal & external stakeholders to deliver against Capital & Liquidity Management strategy, ensuring adherence to the Bank’s robust governance & internal control frameworks
Understanding of Risk Management Frameworks and Conduct Risk standards
Demonstrate ability to develop and maintain strong relationships across a range of stakeholders
Proven experience of managing multiple workstreams simultaneously
Ability to define, manage & execute individual & inter-related deliverables and results driven approach to execution
Analysis, creativity and innovation - able to conceive original and practical solutions to complex and business critical problems

Trade Risk & Controls Manager Resume Examples & Samples

Very strong knowledge of International Trade operations (Import/Export LC’s, Guarantees, confirmation, advising, negotiation, UCP etc)
Knowledge of risk management and/or audit management
The Grade/Level is the maximum that will be offered for this role
Candidates with lower experience may be considered for a lower Grade/Level

Senior Product Risk & Controls Manager Resume Examples & Samples

A broad financial services experience with in-depth knowledge and current understanding of TWC products and the financial services regulatory environment
Good knowledge of the Barclays and Corporate Banking governance frameworks, policies and procedures
Demonstrate a range of styles and techniques in leadership and communications, including influencing and negotiating with a broad set of stakeholders
Experience in process improvement and performance control
Proven change management capability, displaying extensive ability to drive projects/workstreams independently and with limited business direction, able to drive and create process improvements from the ground up

Asset Management, Risk & Controls Manager, VP Resume Examples & Samples

Ensure practices are in compliance with relevant risk standards, policies, and regulations to maintain an effective control environment
Develop, implement, oversee, and execute on Quality Control Program that focuses on key risks and evaluate the effectiveness of the mitigating controls. Perform management reporting and engage management on appropriate actions
Project, manage and partner with managers in internal and external audits
Validate and review controls in light of key business projects, business changes, and daily health check events
Evaluate accuracy and completeness of RCSA (Risk and Control Self Assessments)
Perform gatekeeper function for addition of Phoenix issues/ action plans and closure of completed action plans. Ensure internal/external audit issues documented and dispositioned in Phoenix
Responsible for the content, consolidation, and distribution of Risk and Control reporting
Develop, evaluate, and manage risk metrics
Develop and carry out Controls Awareness training for all levels of the funds product development and platform management team
A minimum of 7 years of relevant public accounting experience (focus in Investment Management industry preferred)
Knowledge of the asset management business ideal
Bachelor's degree in a business / finance / accounting discipline preferred
Broad based experience with registered investment companies. Knowledge of various fund structures, their operations, accounting and oversight
Demonstrate ability to communicate and work effectively with a variety of internal and external stakeholders
Demonstrable controls awareness experience (e.g. through working within an audit type role)
Strong leadership and team building/management skills
Strong consensus building and influence skills, possesses the ability to achieve a common understanding and agreement across groups with differing perspectives
Strong analytical, problem solving skills
Ability to get things done in a dynamic and fast paced environment
Strong commitment to continuous professional development and improvement of the team
Be a self-starter, a highly motivated person able to work in a fast paced environment
Must be proficient in MS Office (Word, PowerPoint, Excel)

Risk & Controls Manager Resume Examples & Samples

Identify, understand, assess, manage and report business risks, providing advice and support to the GMs in the bottom up risk management process
Challenge the business on risk appetite/tolerance, controls and mitigation activity and using risk information and knowledge identify mitigating control activities and tests of control activities for audit purposes and share with the audit teams
Analyse risk registers at site and Divisional level to understand the causes and consequences of the risks affecting the business
Providing advice on all aspects of internal control including interpretation of relevant policies and procedures.Benchmarking and sharing best practice on risk and control
Identifying improvements to enhance the quality, relevance, efficiency and control of information and Evaluating effectiveness of proposed/implemented changes.Support or lead learning and development and facilitated risk workshops
Ownership and maintenance of “JM entities database” (companies and physical locations of site based teams) for risk, audit, security, BCM or key control assessment purposes
Management and identification of the key controls (controls that are critical) across the business and facilitation of the annual key controls self-assessment process
Supporting the Travel Security and Business Continuity Manager with analysis (for both areas) and testing for BCP. Also support GMC, Audit Committee and Board reporting as required
**NO AGENCIES PLEASE****

Senior Product Risk & Controls Manager Resume Examples & Samples

Playing a key role in developing and driving the Conduct and Issue Management strategy across Liquidity Product
Supporting key Product-wide initiatives and internal Risk Assessments
Supporting Product in identifying and addressing risks and control gaps in the E2E processes through analysis of Key Risk Indicator’s (KRI’s)
Tracking and driving the closure of key actions arising from Risk Events, Audits, Compliance Monitoring & Testing Reviews and NAPA etc
Writing and co-ordinating submissions to the Liquidity Risk & Controls Board and other Governance Forums
Delivering presentations to multiple stakeholders at all levels
A broad financial services experience with in-depth knowledge and current understanding of Liquidity products and the financial services regulatory environment
Good stakeholder management skills and experience of engaging with senior management teams
Strongly action-orientated with a focus on continuous improvement in all areas of responsibility
Highly developed analysis and problem management skills
Excellent written and oral communication skills with excellent attention to detail
Being well organised with good time management, able to prioritise tasks and meet deadlines

Trade Risk & Controls Manager Resume Examples & Samples

Proactively manage Operational Risk in International Trade operations and roll out the necessary control initiatives in 40+ EMEA countries
The Grade / Level is the maximum that will be offered for this role. Candidates with lower experience may be considered for a lower Grade / Level
Organisational and co-ordination skills

Risk & Controls Manager Resume Examples & Samples

Develop/ enhance a robust reporting structure for open issues management specific to Financial Management for the Americas (FMA) including periodic updates to senior management and Open Issues Management Office for Executive Committee of the Americas
Lead the production, and quality assurance of Issues Management reporting for FMA. Reporting cadence is monthly and quarterly for various senior management audiences
Develop /enhance operational risk report (IORR) production cycle for periodic operational risk management reporting
Track and monitor operational key risk metrics to risk appetite and report and escalate risk tolerance breaches to Business Unit Risk Manager (BURM) and senior management
Oversee the periodic risk assessments of all enterprise operational risk “modules”. Ensure integrity and defend 2nd line challenges in the Operational Risk Committee. Incorporate results into the executive operational risk report
Manage the independent review and challenge of open issues closure requests by FMA managers and executives. Ensure integrity of issue closure requests prior to BURM and senior management submission to Internal Audit and Regulatory Affairs and regulators
Work with FMA organizational units to establish strong protocols to formalize and improve efficiency and effectiveness of the issue closure process across FMA
Manage and develop BURM staff – provide necessary training and coaching on enterprise risks and controls assessments, issues management, issue closures, and risk reporting
Prepare the FMA Integrated Operational Risk Reporting package for review with the BURM and senior managers of FMA
Manage quality assurance review for required operational risk activities in Open Pages including risk and control self- assessments, key risk metrics, internal and external losses, and incidents and emerging risks
Establish strong working relationships with FMA Business Unit Risk Manager and the SF/LA/NY/Tempe team
Manage relationships with 1st line of defense business managers across FMA and other BURM teams
Build relationships with 2nd line of defense colleagues of the Risk Management of the Americas organization
Manage relationships with 3rd line of defense and external stakeholders including Internal Audit of the Americas and the Regulatory Affairs Office and banking regulators
CRMA or CIA certification helpful
15+ years demonstrated experience in financial services risk and controls related function such as Operational Risk or Audit
Strong knowledge and experience in operational risk management practices and concepts
Experience performing independent review and challenge
Strong understanding of risks, controls and regulatory guidelines
Proven experience in executive reporting. Advanced PowerPoint and Excel skills
Strong analytical skills. High attention to internal control activities
Ability to communicate and liaise with all levels of management
Strong work ethic, ability to make decisions, multi-task & work under tight deadlines
Extensive knowledge of core finance processes within a Bank
Strong knowledge of risks and controls related to Operational, Market, Strategic and Reputation Risks
Extensive risk and controls knowledge including tests for design and operating effectiveness of controls
Knowledge of internal audit practices and perspectives

Risk & Controls Manager Resume Examples & Samples

5 to 10 ten years of combined business experience with some experience with internal control, operational risk management, and/or internal audit/SOX compliance
Bachelor’s Degree or equivalent required
Prior staff management experience
Risk or control related background in internal controls (i.e. audit, operational risk, finance-SOX)

Risk Controls Manager Resume Examples & Samples

The purpose of this role is to support the Risk Chief Control Offices (CCO) by ensuring that appropriate management information and data is created for management discussion, and to evidence that the Risk Function are meeting all Risk and Controls commitments
A key requirement will be to have line of sight across the Risk Function to track the improvement of the Management Controls Approach (MCA) and Control Environment (CE), and Horizontally owned issues across Risk. This will be reported monthly for the Risk Controls Committee
Accountable for gathering information from Risk area’s and creating monthly Risk reporting for various committees and stakeholders
Interrogating spreadsheets and other source systems (e.g. BRES, ATT etc) to create meaningful and useful management information
The individual will need to be able to operate independently and confidently with stakeholders to obtain updates, or resolve queries derived from either MI or management
Liaising with other areas of Risk to ensure completeness and accuracy of reporting, and high quality updates are provided
Oversight and reporting of Risk Horizontal milestones, and monitoring Risk Vertical impacting milestones being managed elsewhere in the Group

Operational Risk & Controls Manager Resume Examples & Samples

A management position responsible for delivery of the overall conduct and operational risk and control strategy within Collections and Recoveries, Barclays UK, in line with ERMF principles
The role holder will work closely with Operation teams to ensure a robust control framework is maintained across PBO for both BAU and Change activity
The role holder will need to develop and maintain an extensive network of stakeholders both with PBO and across the various Risk lines of defence
Provide Risk Partner support across all PBO Collections and Recoveries team to deliver proactive solutions to potential issues and effective support and challenge to improve performance and deliver strategic and BAU change
The development of functional control dashboards utilizing new technology and reporting methods to report on risk and controls effectiveness to ensure compliance with internal and external regulation and standards
Manage and lead a direct and indirect team in all matters relating risk identification, assessment and control – assist business with the development of robust controls that mitigate business and customer risks
Ensure adherence to relevant BUK policies and risk methodology
Support, oversee and challenge controls assurance , testing and audit activity across PBO to ensure satisfactory outcomes and actions plans
Understand and be able to assess the impact that change and continuous improvement initiatives have upon the control environment (e.g. automated controls and QA frameworks) – working with stakeholders in the business to ensure risks are fully understood and appropriate mitigating controls in place

Senior IT Risk & Controls Manager Resume Examples & Samples

Supervise members of Risk team to monitor the delivery of program deliverables
Perform oversight and Quality Assurance over team deliverables to ensure accuracy and completeness of data
Develop and manage dashboard reporting to track team deliverables and identify potential delays in meeting completion dates
Manage Horizontal / Department wide initiatives to ensure consistency across all groups
Assist in the development and deployment of Executive level risk reporting (i,e., metric reporting,status of meeting firm level Risk Management programs, etc.)
Provide guidance to Risk team regarding Risk and Control best practices
Assist in the development and deployment of Quality Assurance testing programs to facilitate the identification of control deficiencies
10-15 years Technology Audit or Technology Risk experience
Solid understanding of a risk control framework (i.e., inherent risks, control procedures, residual risk, etc.)
Ability to identify relevant key risk indicators to measure risk exposures (metrics reporting)
Excellent MS-Office skills (including PowerPoint (for presentations) and Excel ( for manipulating large amounts of data)

Risk & Controls Manager Resume Examples & Samples

In this role, the individual will work with business units to confirm proper oversight responsibility for risk and control compliance in their respective unit
This position will be responsible for leading various key Control Document projects. SOC2 is a primary objective. Examples of other existing projects are: Defined Contribution SOC1, Defined Benefit SOC2, Sole Recordkeeping SOC1, Brokerage SOC1, FICCA, Retirement Health SOC1, and Internal Audit Management Action Plan oversight
Responsible for ensuring effective remediation of non-compliant situations within all impacted business unit through the re-design of process/controls and testing of their effectiveness
Manages the day-to-day oversight of the planning and performance of control and process audits assurance engagements) and compliance with standards and regulations
Support risk and control self-assessment and related processes and the optimization of the control environment
Regularly monitor and report progress towards goals
Establish an integrated and collaborative relationship with 2nd and 3rd line of defense partners (Risk, Compliance, and Audit) to ensure continued focus, and successful remediation of issues
5+ year’s extensive knowledge and understanding of risk management practices and principles, including experience with internal or external audit, regulations, internal controls assessment, and change management
Risk identification experience
Experience in Management Reporting, Excel, PowerPoint, Word and Visio
MBA, CPA, CISA, and/or CIA
Experience developing or testing controls in the SOC2 Framework: Security, Availability, Process Integrity, Privacy, and Confidentiality
Significant experience leading, developing, or overseeing controls
Ability to influence upwards and downwards to accomplish critical tasks
Experience SOX, FICCA, and/or SSAE16 SOC1/SAS70
Executive reporting experience

Risk & Controls Manager SOC & SOC Resume Examples & Samples

In this role, the individual will work with business units to confirm proper oversight responsibility for risk and control compliance in their respective unit
This position will be responsible for leading various key Control Document projects. SOC2 is a primary objective. Examples of other existing projects are: Defined Contribution SOC1, Defined Benefit SOC2, Sole Recordkeeping SOC1, Brokerage SOC1, FICCA, Retirement Health SOC1, and Internal Audit Management Action Plan oversight
Responsible for ensuring effective remediation of non-compliant situations within all impacted business unit through the re-design of process/controls and testing of their effectiveness
Manages the day-to-day oversight of the planning and performance of control and process audits assurance engagements) and compliance with standards and regulations
Support risk and control self-assessment and related processes and the optimization of the control environment
Regularly monitor and report progress towards goals
Establish an integrated and collaborative relationship with 2nd and 3rd line of defense partners (Risk, Compliance, and Audit) to ensure continued focus, and successful remediation of issues
Ongoing monitoring of risk management issues and mitigations, such as audit, compliance MAPS and other control activities
Responsible for ensuring the business area develops and maintains required risk and compliance standards
Oversight of Line of Business and Support Area compliance with corporate impact mitigation strategies
Conduct periodic assessment and reporting of the status of the program including gap reporting, tracking and mitigation management, and overall business disruption residual risk levels
5+ year’s extensive knowledge and understanding of risk management practices and principles, including experience with internal or external audit, regulations, internal controls assessment, and change management
Bachelor’s Degree
Risk identification experience
Proven track record managing projects and/or staff
Experience in Management Reporting, Excel, PowerPoint, Word and Visio
MBA, CPA, CISA, and/or CIA
Experience developing or testing controls in the SOC2 Framework: Security, Availability, Process Integrity, Privacy, and Confidentiality
Significant experience leading, developing, or overseeing controls
Comfortable communicating with all levels of the organization (written and verbal
Executive reporting experience

IT Risk & Controls Manager Resume Examples & Samples

Partner with key Technology Managers to monitor and manage various risk programs across the firm
Proactively manage risk metrics – focus on “at risk” or “exceeding threshold risks” – work with technology management to address root causes and remediate as required
Support technology teams in supporting firm-wide risk programs (i.e.,delivering requested artifcats, verify completness / accurcay)
Partner with technologyteams in the executionn of Risk Control Self Assessments (RCSA)
Identify root causes of reported risks and partner to design remeitation plans
Coordination with Technology Management in monitoring the execution, collection and completion of SOX control activites
Partner with Technology Management and internal audit to identify and report self identified audit issues
Provide support to Technology Management on all phases of audit activities and ensure active engagment with technology management to meet audit objectives. In addition, assit management in the validation of preliminary audit issues and the creation of remediation plans
Patner with Technology Management in the execution of quaility assurance programs – ensure completness of data and identify and moniotr required remesiation activities
7-10 years Technology Audit or Technology Risk experience
Experience in the execution of Technology Risk Assessments, Audits and SOX 404 testing
Strong ability to analyze data to identify thematic issues / areas requiring improvement
Ability to create executive level reporting
Excellent inter-personal, negotiation and influencing skills
Persistency, poise and perseverance to get things accomplished under pressure and within the set timelines