Senior Control Analyst Resume Samples

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H Von

Haskell

Von

98819 Keebler Inlet

San Francisco

+1 (555) 775 6858

98819 Keebler Inlet

San Francisco

Phone

p +1 (555) 775 6858

Experience Experience

Houston, TX

Senior Control Analyst

Houston, TX

Stamm Group

Houston, TX

Senior Control Analyst

Proactively provide feedback to the Issue Management Unit Head to improve issues management practice
Lead, coordinate and manage all Third Party Management activities to implement the Third Party Management Program for HR
Manage monthly Senior Management Risk Review meetings
Monitoring MI and identifying trends in business performance, escalating risks and/ or concerns to management in a timely manner
Identifying opportunities for development or improvement of existing processes and controls within GSO and delivering effective solutions
Promote adoption and consistent usage of processes and technologies deployed to manage the Global Third Party Management Program
Actively participate in recurrent issues management working groups

Dallas, TX

Rcsa Senior Control Analyst

Dallas, TX

Reichert Inc

Dallas, TX

Rcsa Senior Control Analyst

Perform side-by-side observations, evaluate data, and execute re-performance testing methods
Develop meaningful and effective working relationships; partner with colleagues across the business and the Controls organization and encourage collaboration
Develops comprehensive testing strategies and review plans that encompass company policies, existing process / procedure and compliance with regulatory guidelines
Seeks, develops, and facilitates a strong working relationship with business partners through ongoing coordination of operational matters, utilize effective communication, and problem resolution
Comprehensive testing of controls following stated CCB Oversight & Controls policies and standards and all corporate, state, and regulatory guidelines to ensure effective mitigation of identified business risk
Assist with testing schedule and ongoing reconciliation between ALM testing tool and Firm’s operational risk management system (FORCE); resolve errors in set up content and scorecard results
Provide incremental support and coverage for manager

present

Detroit, MI

Oversight & Control Ccb-rcsa Senior Control Analyst

Detroit, MI

Ledner-Mraz

present

Detroit, MI

Oversight & Control Ccb-rcsa Senior Control Analyst

present

Assist with presentations for various constituents and levels of management
Create complete & comprehensive documentation file of testing evidence
Provide analytical and reporting support to the Control team
Partner with the Operating Division to create process flows to identify specific risks (inherent & residual) and associated risk rankings
Perform side by side observations of controls, as well as procedures
Gathers, analyzes and communicates change control information to senior management and other risk/control groups
Perform root cause analysis of issues and recommend remediation steps which could result in action plans

Education Education

Bachelor’s Degree in Initiative

West Virginia University

Bachelor’s Degree in Initiative

Skills Skills

Strong oral and written communication / negotiation skills, with the proven ability to influence opinion, articulate/substantiate review findings and defend these if challenged by senior business management
Strong ability to manage and facilitate work projects both on the ground and with remote units
Accuracy and attention to detail in the presentation and publication of compliance testing reports to a senior audience
Strategic and goal-oriented focus
Unwavering commitment to co-operative and collaborative working
Strong project management and presentation skills
French (both written and speak) mandatory
Excellent interpersonal, written and verbal communication skills
Good organizational skills, ability to work under pressure and prioritize within tight deadlines while maintaining total accuracy
Ability to influence others and quickly earn the confidence of others

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Rcsa Senior Control Analyst Resume Examples & Samples

Build the testing scripts & complete RCSA control testing in accordance with CCB guidelines
Create complete & comprehensive documentation file of testing evidence
Perform root cause analysis of issues and recommend remediation steps which could result in action plans in the Phoenix Risk System
Perform side by side observations of controls, as well as procedures
Facilitate kick off and closing meetings with management. Manage control related projects affecting Post Closing Operations teams
Provide analytical and reporting support to the Post Closing Operations Control team
Work with the Post Closing Operations Senior Managers and the Control Officers to develop meaningful reporting, including scorecards and Key Risk indicators. Ensure KRIs and scorecards remain relevant and are accurate
Bachelor's degree or equivalent in Operations, Business Administration/Management, Information/Data Management, Accounting/Finance
3+ years of Mortgage Banking experience
Knowledge of operational processes of the Mortgage Banking sub-LOB’s desired
Knowledge of JPMC's Control Self-Assessment System (Phoenix) a plus
Must possess strong analytical and problem solving skills to be used in the evaluation and interpretation of data
Ability to adapt to rapidly changing priorities
Works well individually and in teams, shares information, and supports colleagues

Senior Control Analyst Resume Examples & Samples

The Compliance Testing Officer ('The Officer') will perform analysis against regulatory risks and associated controls and conduct testing of these in accordance with predetermined standards and test programmes
The Officer will be involved in reviews covering various businesses and processes across all sectors
The Officer will work on reviews both in the capacity of lead reviewer as well as participant in the reviews led by other team members
The Officer will perform remote reviews, both through the centralised capture of data amenable to sample-based and testing and through the development of virtual review teams, able to be directed by the Officer towards the collaborative execution of a review
Based in the regional office (London) the officer will work with various countries in providing consultancy on control issues surfaced during compliance reviews in the respective countries
Reviews will be conducted based on both those planned for the year (thematic, horizontal, targeted, ad-hoc) or on account of regulatory and/or business/industry issues
The Officer will work on individual projects assigned from time to time within the Compliance Testing remit
The Officer will be a member of the regional Compliance Testing Team and will be expected to provide a strong advisory role in the unit’s activities, strategy and development
Minimum 5 years industry experience with a background in Compliance, Risk or Audit, preferably gained in an international financial institution
In-depth understanding of audit methodology, risk and control analysis
Very good knowledge of Corporate Banking products, processes, procedures and regulations
A good knowledge of multiple control testing environments
Strong oral and written communication / negotiation skills, with the proven ability to influence opinion, articulate/substantiate review findings and defend these if challenged by senior business management
Strong ability to manage and facilitate work projects both on the ground and with remote units
Accuracy and attention to detail in the presentation and publication of compliance testing reports to a senior audience
Unwavering commitment to co-operative and collaborative working
Strong project management and presentation skills
French (both written and speak) mandatory

Rcsa Senior.control Analyst Resume Examples & Samples

2-5 years experience in audits/consulting engagements including SOX reviews or other related audit or process improvement work
Mortgage background preferred
Strong oral/written communications
Dynamic and self-starter

Senior Control Analyst Resume Examples & Samples

Thorough analysis and flowcharting of both existing and recommended business processes
Identification of key stakeholders
The impact of various solutions is analyzed and realistic and workable recommendations are made to management
Analysis and design of solutions to rectify control issues. Some examples include writing new policies and procedures and updating existing policies as identified. This includes researching laws, regulations, and bank wide policies as well as obtaining the required approvals
Providing detailed requirements to the systems group to create audit reports that flag exceptions. These reports will be used by the business to audit their processes
Creating audit programs with test steps, for the business, that will monitor the ongoing effectiveness of operational and management controls implemented
Scheduling and implementation of solutions to rectify issues
Accountable to ensure the effectiveness of operational and management controls in the Card Products Division
Participate as the Business Controls representative on new and existing business initiatives primarily to ensure that compliance and controls are built in up-front on projects
Ensure that project teams adequately prepare business requirements and/or process flowcharts. Analysis thereon to identify control and compliance opportunities and/or deficiencies
Thorough identification and analysis of existing business processes and their associated risks and controls, including identification of significant control weaknesses
Conduct risk analysis including mitigation strategies, and present to relevant stakeholders as appropriate
Negotiate appropriate balance between internal control and business needs with varied levels of management
Complete ad-hoc reviews as required (ie. in response to production issues, FCAC complaints, new operational processes etc)
Implement creative, innovative and well controlled processes into the operational environment
Update, create and implement business policies as required, including introduction of new policy requirements identified during projects and ad-hoc reviews
Influence stakeholders from varied backgrounds, with differing priorities and over which one does not have direct authority
Accountable for performing high quality work in reasonable time limits. This includes meeting time deadlines where assigned. If deadlines are not assigned, the position is accountable for setting and meeting reasonable time deadlines
Multi-task and organize multiple ongoing reviews and projects. Deal with expected/unexpected workload issues. Conduct assignments efficiently and effectively

Ccb Oversight & Control Rcsa Senior Control Analyst Resume Examples & Samples

Assess processes in an end-to-end manner and drive testing efforts across multiple groups/operations
Partner with Control Officer team to evaluate and enhance Risk Control Matrices (RCMs) and Risk/Control Self Assessments (RCSAs)
As part of testing, perform side-by-side observations, evaluate data, and execute re-performance testing
Document testing results in comprehensive, organized evidence files within ALM and SharePoint
5+ years in the financial services industry preferred with a strong track record working across organizational lines and risk management, operations, audit, quality review, & compliance areas
Preference given to individuals with demonstrated knowledge/background in internal control principles, experience in risk and control self-assessment, including risk and control testing, process mapping, and data analysis skills
Proven ability to build strong partnerships with key stakeholders, and collaborate with business and control organization
Self-motivated and confident decision-maker with the ability to lead, challenge and influence change where necessary
Prior people management experience with demonstrated ability to coach, negotiate, collaborate, set priorities, plan, and direct activities is a plus
Working knowledge of the Phoenix Operational Risk Management system preferred
Working knowledge of ALM/Quality Center and SharePoint preferred

Senior Control Analyst Resume Examples & Samples

Work with the Risk and Control teams to analyze latest program and project scorecards, preparing execute summary reports for IT management
Knowledge of service management (ITIL) with previous working experience in process improvements is an advantage
Previous experience in Production Support and Application Development roles is an advantage
Good organizational skills, ability to work under pressure and prioritize within tight deadlines while maintaining total accuracy
Ability to coordinate/manage initiatives from end-to-end with minor supervision
Strong knowledge of Microsoft Office with Excel, Outlook, and PowerPoint skills
Bachelors Degree Required

Rsca Senior Control Analyst Resume Examples & Samples

Exceptional collaboration skills
Demonstrative analytical skills
Self motivator
Working within multi-site teams
Proficiency in MS Word, Excel, PowerPoint required (Advanced skills preferred)
Proficiency in MS Access preferred
Experience with ACL Analytics Software or comparable programs preferred
4+ year of experience in technical disciplines preferred (e.g. access administration, change management)
Work effectively in a team environment as well as on your own
Experience in controls, risk, compliance, audit or testing

Rcsa Senior Control Analyst Resume Examples & Samples

6+ years in Financial Services with progressively increasing responsibilities
6+ years in Mortgage Banking, Operational Risk, Enterprise Risk, and/or Audit experience
3+ Years of management experience preferred
Knowledge of compliance with regulatory requirements in Mortgage Banking
Experience working with mid-level business management
Ability to isolate the root cause for control gaps, and able to identify and suggest viable solutions
Able to quickly learn related policies, processes and operations to effectively design/improve/perform testing
Proficient with Microsoft Office toolset (Excel, Word, Visio)
Ability to quickly comprehend information from oral and written documentation
Working knowledge of Mortgage Banking systems is preferred
Bachelor's degree required. Industry certifications preferred

Senior Control Analyst Resume Examples & Samples

Analyze data, perform root cause analysis for inconsistencies identified, propose solutions to issues developed
Assist in the consolidation of CRS' global Operational Loss events and review results with CRS Global R&C Coordinator
Coordinate with the regional Risk & Control teams on the early identification of former banking premises requiring regulatory extension requests. Ensure data is provided that meets regulatory filing requirements and interface with Citi's DPC Governance committee on the formal extension requests submission. Also, coordinate the CRS' OREO quarterly global attestation process
Participate on EI's global control calls and provide updates to CRS' regional Risk & Control teams keeping the teams informed of changes or updates in the control monitoring environment. Weekly calls include
Manager Control Assessment Work Group Meeting
ICAPS Work Group Call
Global Risk Control Monitoring; Senior Members
Track and report CRS' global data to comply with EI RCMC team's weekly and monthly deliverable requests, including
Audits-in-Flight - Issue Watch List
Updates on CRS Self Identified Issues
Coordinate global consolidation of CRS' Control related matters and assist in drafting the MOR deck for presentation to senior CRS and EI management
Consolidate CRS' regional Operating Expense results and assist in the preparation of the quarterly report to Citi's Operating Expense Governance Committee
Assist in analyzing CRS' regional Key Risk and Performance indicators and the identification of trends that warrant changes in our global MCA practices
5 Years of Audit or Analytical experience Certification a plus (CPA, CIA, etc.,) Commericial Real Estate experience a plus
Strong relationship skills - ability to partner and work collaboratively with multiple groups, developing productive and trusted relationships with business managers and Control team colleagues both regionally and globally
Excellent written and oral communication skills. Able to communicate effectively and constructively at all levels within the organization
Self starter - positive, energetic, and able to prioritize appropriately, act independently and decisively

Rcsa Senior Control Analyst Resume Examples & Samples

Design robust test scripts to ensure thorough and substantitive analysis
Perform side-by-side observations, evaluate data, and execute re-performance testing methods
Utilize automated testing techniques and strategic sampling methodologies for transactional testing of high-volume data sets
Facilitate process mapping sessions and participate in the identification of risks and determination of risk rankings
Comfortable performing peer reviews of other team members testing and providing constructive feedback
Exhibits professional skepticism. Synthesizes data quickly and communicates analysis succinctly. Using critical thinking and analysis to influence and provide direction

Rcsa Senior Control Analyst Resume Examples & Samples

Collaborate with AF Oversight and Controls RCSA Managers and peer Senior Analysts on risk mitigation testing matters, to provide guidance and direction, and to implement RCSA initiatives for the Auto Finance business
Provide RCSA Procedures and program subject matter expertise to AF RCSA Analysts at Phoenix and peer sites
Develop and Execute risk mitigation/control testing strategies
Review, challenge and substantiate inherent risk and control ratings through the testing process
Communicate testing results to business partners and control support teams
Perform on-going test strategy/script/workpaper quality evaluation to ensure desired results are achieved
Develop positive working relationships with all AF Oversight and Control team members and business partners to maintain an open environment for collaboration, risk identification, and issue solving/resolution
Provide ongoing recommendations for improvements by incorporating emerging, key business risks
Partner with peer CCB/AF Oversight and Control teams and business partners as assigned to develop and drive implementation of RCSA program strategies
Partner with colleagues across AF to drive a culture of risk awareness and proactive risk identification and assessment
Lead or participate in other Oversight and Control and partner initiatives as assigned
Advanced degree or professional certification preferred
5+ years in the financial services industry required with a strong track record working across organizational lines and risk management, operations, audit, quality review, compliance areas preferred
Preference given to individuals with demonstrated knowledge/background in internal control principles, experience in risk and control self-assessment, including risk and control testing, business process improvement, and data analysis skills
Demonstrated ability to manage multiple assignments and achieve deadlines and deliver quality results within a team environment
Strong computer skills required; proficiency in Microsoft Office applications (Word, Advanced Excel - including macros, PowerPoint); knowledge of MS Project, MS Access and Visio a plus
Expertise with the Phoenix Operational Risk Management system preferred
Expertise with ALM/Quality Center and SharePoint preferred
Knowledge of the Auto Finance business and its operational processes desired

Senior Control Analyst Resume Examples & Samples

Responsible for the coordination, implementation and oversight of the Third Party Management Governance & Compliance Program directives for the global Human Resources organization
Lead, coordinate and manage all Third Party Management activities to implement the Third Party Management Program for HR
Act as single point of contact and SME for global HR organization on Third Party Management policy requirements
Communicate effectively globally within HR to build awareness, educate, engage, adopt and comply with the Program
Work directly with designated staff within Third Party Management Office, Enterprise Supply Chain and Third Party utility to implement Program objectives and regularly report to Third Party Management Office on status of all Program initiatives
Initiate and support escalations as needed and report to HR leadership of any issues, risks and mitigation activities
Promote adoption and consistent usage of processes and technologies deployed to manage the Global Third Party Management Program
Ensure HR businesses are following all Third Party Management Governance & Compliance Program policies, standards and procedures
Conduct reviews and collect metrics to demonstrate compliance with Third Party Management policy requirements
Develop control process to ensure HR third party supplier inventory is up-to date for new and existing relationships
Provide training & awareness to HR community globally to ensure their ability to effectively implement and support the Program
Support engagement of the HR in the MCA process
Provide monitoring and metrics for MCA participation
Support the Third Party Management oversight review process
Coordinates and documents all exercising and testing activities for CoB entity
Monitors and updates approved CoB tools with relevant documents and information
Ensures any non-compliance is documented and resolved in a timely manner
Understand all Continuity of Business (CoB)requirements and monitor, implement and control Human Resources Plan according to standards
Ensure appropriate and complete documentation of test results
Perform BC Plan reviews
Demonstrated ability to lead change
Excellent verbal, written and relationship skills to be used to interact with a global group
Excellent organizational skills with ability to manage multiple projects simultaneously
Experience in direct and matrix management situations with exposure to senior level managers

Citibank Berhad Kl-senior Control Analyst Resume Examples & Samples

Fresh graduates and those with call centre or from service/sales industry are encouraged to apply
Ability to multitask, strong team player and yet able to work independently
Willing to work on shift, staggered hours, weekends and public holidays
Strong command of spoken and written English
Should be web savvy and have strong PC skills

Oversight & Control CCB Rcsa Senior Control Analyst Resume Examples & Samples

Assess processes in an end-to-end manner and drive testing efforts across multiple groups/operations including facilitating in control design walkthroughs and evaluations
Support process mapping sessions and assist in the identification of risks and determination of risk rankings
Develop robust test scripts with adequate depth and breadth to ensure thorough analysis examination of control effectiveness
Evaluate data, and execute re-performance testing; utilize automated testing techniques and strategic sampling methodologies wherever high-volume transactional testing is appropriate
Review completed testing results to ensure test steps are comprehensively documented and evidenced; validate testing conclusions appropriately substantiate assigned control ratings
Drive consistency and adherence to RCSA Standards testing procedures and requirements
Participate in meetings with business owners at various levels of management, deliver testing results and influence sustainable control enhancements
Maintain flexibility and be able to adapt to a consistently changing business environment; be able to quickly and effectively assess impacts and capitalize on change
Develop meaningful and effective working relationships; partner with colleagues across the business and the Controls organization and encourage collaboration; provide coaching/mentoring to analysts and appropriate performance feedback to the RCSA Manager and/or Controls management
Exhibits professional skepticism; synthesizes data quickly and communicates analysis succinctly; utilizes critical thinking and analysis to influence stakeholders and provide direction
Minimum 5 years experience in financial services industry with background in controls, audit, quality assurance, risk management, or compliance required; or equivalent subject matter expertise in a relevant business related function/operation
Flexible, adaptable to shifting priorities; able to work in a fast-paced, results driven environment with minimal supervision
Willingness to travel approximately 25%

Senior Control Analyst Resume Examples & Samples

Contributing to the provision of an MI framework within GSO that effectively identifies and highlights areas of potential risk
Providing analytical interpretation of MI to ensure that analysis and trends can be easily understood to support the identification of potential risk
Interrogating data from multiple sources in order to produce timely and high quality control reports/MI
To deliver continuous improvement to the effectiveness and efficiency of MI production. Continuously checking and challenging the integrity of the data used to produce MI, resolving any inaccuracies/ inconsistencies as appropriate
Supporting the oversight of business activity, providing appropriate challenge of potential risk/ control items
Monitoring MI and identifying trends in business performance, escalating risks and/ or concerns to management in a timely manner
Supporting the business in delivering key projects and business change
To question practices and procedures, identifying areas of potential risk that require investigation and developing appropriate solutions
Manage monthly Senior Management Risk Review meetings
Identifying opportunities for development or improvement of existing processes and controls within GSO and delivering effective solutions
Maintaining effective working relationships with all lines of defence to promote and improve the understanding of SOCs role in the organisation
Building constructive and supportive working relationships with management across GSO and the wider business
Monitoring and tracking of internal/ external reviews within Global securities Operations and tracking the resolution of subsequent findings

Rcsa Senior Control Analyst Resume Examples & Samples

Ensures business processes are being tested to adhere to all corporate, state and regulatory guidelines as well as applicable policies & procedures
Prepares testing materials and reviews testing materials and results of Quality Analyst and Operational Control Analyst
Ensures compliance with Chase, LOB, Department, investor, and regulatory rules and department service level agreements (SLAs) on a daily and monthly basis through account monitoring reports as well as escalations for the team
Gathers and analyzes data, reports and other documentation to determine inefficiencies, gaps in process/procedure, the integrity of data and/or training and appropriate separation of duties in each review, as applicable.Responsible for planning and completion of projects with high Legal, Compliance or Audit risk
Develops comprehensive review plans that encompass company policies, existing process/procedure and compliance with state, federal and investor guidelines
Accountable for enterprise wide system administration functions, ensuring information is consistent and structurally sufficient
Seeks, develops, and facilitates a strong working relationship with business partners through ongoing coordination of operational matters and utilizing effective communication and, when warranted, conflict resolution skills
Problem solves at a high level and exercises authority using prudent judgment to ensure that bank policy and profitability are not compromised
Minimum 5+ years’ experience in controls, risk, compliance, audit, and/or testing role
Advanced testing or Quality Assurance testing techniques preferred
Strong knowledge of the RCSA procedures and testing process frame work
Strong analytical, critical thinking and problem solving skills
Highly effective at multi-tasking and achieving deadlines/deliverable dates Excellent collaboration skills
Preferred candidate is self-motivated and requires minimal supervision
Preferred candidate will possess a proactive approach toward problem solving
Strong interpersonal skills, negotiation, and influence skills required
Strong partnership and team building skills required
BA Degree preferred

Oversight & Control Ccb-rcsa Senior Control Analyst Resume Examples & Samples

Partner with the Operating Division to create process flows to identify specific risks (inherent & residual) and associated risk rankings
Build testing scripts & complete RCSA control testing in accordance with CCB guidelines
Ensure controls are rated accordingly
Perform root cause analysis of issues and recommend remediation steps which could result in action plans
Provide analytical and reporting support to the Control team
Assist with presentations for various constituents and levels of management
Understands & complies with Operational Review methodology for thru-put and spot reviews
Strong analytical skills with the ability to: 1) understand business functions quickly, 2) assess the operational and financial impact of control issues and findings, and 3) communicate findings and develop recommendations for resolution
Correspondent Originations experience preferred
Excellent analytical/problem solving skills required
Excellent MS Office Suite skills (Word, Excel, Visio, PowerPoint, and Access)
Detail oriented and customer focused
Enthusiastic, effective under pressure
Creative self-starter with strong initiative, ability to take ownership and work independently

Oversight & Control Ccb-rcsa Senior Control Analyst Resume Examples & Samples

3+ years of Mortgage Banking experience, Capital Markets a plus
Operational Risk & Controls, Issues Management, Data Management, Capital Markets experience a plus
Understanding of general IT controls (e.g. access administration, change management, business resiliency, etc.) desired
Knowledge of operational processes of Mortgage Banking operations desired
Knowledge of the Risk Control Self-Assessment System (Phoenix) a plus
Capacity to consider issues in a broader business context
Ability to build strong partnerships with Businesses supported teams and work well with all levels of management
Ability to manage multiple tasks concurrently in an efficient and effective manner with minimal supervision
Strong skills and knowledge of (e.g., Excel, Word, PowerPoint) required
Bachelor's degree preferred or equivalent in experience

Rcsa Senior Control Analyst Resume Examples & Samples

Facilitate meetings with business owners at various levels of management, deliver testing results and influence sustainable control enhancements
Examine the design and effectiveness of controls; assign control ratings that are appropriately supported/justified
Perform side-by-side observations, evaluate data, and execute re-performance testing; utilize automated testing techniques wherever high-volume transactional testing is appropriate
Document testing results in comprehensive, organized evidence files
Develop and/or enhance Risk Control Matrices (RCMs) and Risk/Control Self Assessments (RCSAs)
Partner in process mapping sessions and lead in the identification of risks and determination of risk rankings
Develop meaningful and effective working relationships; partner with colleagues across the business and the Controls organization and encourage collaboration
Minimum 3 years with background in Risk/Control Assessment, Control Testing or Risk Management; Financial Services industry experience preferred
Extensive understanding of internal control and risk management concepts
Exceptional critical thinking and analytical skills; able to synthesize large amounts of data and formulate appropriate conclusions
Strong written and verbal communication skills; ability to present to concise findings in a persuasive manner
Self-motivated; able to work in a fast-paced, results driven environment
High level of personal initiative, ownership and accountability
Flexible, adaptable to shifting priorities
Strong interpersonal skills, exceptional relationship building and influencing skills
Positive attitude and desire to work in a team based environment
Ability to work with minimal supervision and understand when to seek guidance/escalate
Data analytics experience using software applications (Excel, Access, ACL, ALM) highly preferred

Oversight & Control CCB Rcsa Senior Control Analyst Resume Examples & Samples

Acts as a subject matter expert, determining line of business risk potential and working closely with Manager and LOB to recommend appropriate mitigating controls
Serves as SME for analysts who have responsibility for Phoenix, Change Control and Action Plan administration
Coaches to ensure that production and quality standards are understood and achieved
Gathers, analyzes and communicates change control information to senior management and other risk/control groups
Gathers and analyzes data, reports and other documentations to determine inefficiencies, gaps in process/procedure, the integrity of data and/or training and appropriate separation of duties in each review, as applicable
Accountable for enterprise wide Phoenix administration functions, ensuring information is consistent and structurally sufficient
A minimum of 4 years’ experience in financial services operations (i.e. mortgage loan servicing, legal document production, mortgage default, asset recovery, etc.) strongly preferred
A minimum of 4 years of audit, compliance or operational control experience strongly preferred
Strong experience with identifying risk and developing mitigating controls
Strong relationship building skills with a demonstrated ability to influence outcomes
Ability to interface with internal clients and translate technical data and information into user reports and presentations
Knowledge of state, federal, and regulatory guidelines strongly preferred
Prior experience reading/understanding complex loan contract and documentation strongly preferred

Oversight & Controls Rcsa Senior Control Analyst Resume Examples & Samples

Develop and/or enhance Risk and Control Self Assessments (RCSAs)
Conduct meetings with business owners at various levels of management, deliver testing results and influence sustainable control enhancements; develop recommendations to strengthen controls and improve operational efficiency
Exhibits professional skepticism; synthesizes data quickly and communicates analysis succinctly; utilizes critical thinking and analysis to influence and provide direction
Extensive understanding of internal control and risk management concepts with the ability to evaluate the adequacy of the business control environment
Exceptional critical thinking and analytical skills; able to manipulate and analyze large amounts of data to formulate appropriate conclusions
Excellent written and verbal communication and leadership skills; ability to present concise findings in a persuasive manner
Data analytics experience using software applications (Excel, Access, ACL) highly preferred

Assistant VP, Senior Control Analyst Resume Examples & Samples

 Solid understanding of Compliance Testing standards and methodologies
 Contributes to the development of testing processes improvements
 Applies solid understanding of how Compliance Testing integrates with line management and control functions to accomplish the objectives of the function and overall business
 Performs Volcker related reviews regarding the ICG or GCG businesses in accordance with corporate methodologies and standards, including drafting of reports, presenting issues to Compliance and the business and discussing practical solutions
 Completes assigned reviews within budgeted timeframes
 Recommends appropriate and pragmatic solutions to risk and control issues
 Applies knowledge of key regulations to influence review scope
 Develops effective line management relationships to ensure strong understanding of the business
 Proactively develops data mining solutions to help focus testing

Senior Control Analyst Resume Examples & Samples

Execute assigned testing, monitoring, and surveillance activities according to published productivity standards and deliver prompt, thorough, and accurate reporting
Ensure overall report quality, especially in description and classification of issues, root cause determinations, recommendations and accuracy of data recording
Manage service level agreement to ensure timely assessment execution and reporting of risks and control breaks to management of the business area tested, monitored or under surveillance
Make use of data from varying systems and repositories to develop a thorough understanding of the business area being tested, monitored or under surveillance; including identification of trends, anomalies, outliers and red-flags
Develop and maintain effective relationships with branch, oversight, and functional management to ensure a clear understanding of identified errors, drivers and potential solutions
Proactively advance the use of computer assisted assessment tools and techniques to drive at high efficiency and effectiveness in testing, monitoring and surveillance processes
Influence management in the development of effective and sustainable corrective actions
Participate in identification and escalation of potential fraud and ethics issues and identify possible risk mitigation actions
Extensive knowledge of sales, service, and operational activities and the control environment within a retail bank branch
Strong organization and time management skills with the ability to produce high quality work under rigid time constraints
Excellent analytical ability and strong decision-making skills to assess and dimension inherent risk and materiality of issues identified
Strong end-user computer acumen, including extensive knowledge of branch specific systems
Experience using Microsoft Office tools – Excel, PowerPoint, Word, Access, SharePoint
Excellent written and oral communication skills with demonstrated ability to clearly articulate issues
Minimum of 3 years of experience in a bank branch leadership role
BA/BS or professional qualification/certification preferred

Rcsa Senior Control Analyst Resume Examples & Samples

Management of RCSA Control Analysts
Recommend enhancements to the Risk/Control Self Assessments (RCSAs)
Participate in process mapping sessions as part of design and discovery phases of testing
Provide incremental support and coverage for manager
Coordinate and facilitate business reviews; prepare and distribute written materials
Partner with Business and FCOs on providing requested audit evidence and associated artifacts
Assist with testing schedule and ongoing reconciliation between ALM testing tool and Firm’s operational risk management system (FORCE); resolve errors in set up content and scorecard results

Senior Control Analyst Resume Examples & Samples

Ability to grasp, execute and adhere to Citi Corporate Compliance Testing Standards
Lead and support Compliance Testing processes and activities in accordance with established testing and documentation standards
Possess the ability to lead and manage non-complex Compliance testing duties and assignments with supervision
Possess the ability to recognize and assess control environments, key risks, and applicable consumer regulations and laws
Ability to develop and utilize Compliance Review test plans and effective testing strategies with guidance
Identification and use of data analytics to assist in completing testing and identifying issues
Completion of auditing program test steps in a timely and efficient manner, including preparation of clear and concise workpaper documentation supporting the testing performed
Completion of key compliance testing team projects
Delivering findings and recommendations in both verbal updates and in a written report format to management
Thorough understanding of Compliance testing and/or auditing processes/standards
Strong understanding of federal and state Cards related regulations and laws
Knowledgeable of functions and process associated with the Cards industry
Ability to support the development of strong senior and executive level reporting and presentations
Fully knowledgeable and capable of developing and executing on various non-complex compliance and control testing and related activities
Work collaboratively and professionally with the Compliance Testing members, clients and other Risk and Control partners
Strong communication and influencing skills during negotiation processes with clients
Strong Microsoft Word, Excel, Access and PowerPoint skills for writing reports, presentations and performing data analysis
Self-starter and organized and have the ability to work independently, with minimal supervision
Effective project management skills
BA/BS or equivalent degree required
5+ years of Cards related experience preferred
3+ years related Compliance, Audit and/or Control oversight work experience required, preferably within a Cards environment

Senior Control Analyst Resume Examples & Samples

Creation of end-to-end process maps and related process documentation
Presentation of process documentation to Sr. Management for the purpose of stakeholder approval
Executing a change-management process to maintain accuracy of process map portfolio
Identification of inherent risks, controls, and process breakages
Facilitating risk rating sessions with Sr. Management
Providing status reporting to Account Control Management, and Sr. Management
Proficiency in MS Visio is an asset
Strong analytic and problem-solving skills
Effective writing (technical), proof-reading, and reading comprehension skills
Ability to navigate the corporate matrix
Effective presentation and public speaking skills. Ability to tailor communications to various audiences and levels of management. Ability to lead large meetings, both in person and remotely
Knowledge of Basel, Six Sigma, and operational risk assessment and treatment methodologies is an asset

Senior Control Analyst Resume Examples & Samples

Daily review of Actimize™ Sales Practices Monitoring trade blotter, alerts and electronic order tickets; periodic review of escalated matters from Compliance Surveillance department
Conducts marketplace documented supervisory visits, as delegated by the RSO
Review and approve new customer account requests, account maintenance requests
Review and approve customer funds transfer instructions, including fed funds wires, check disbursements and securities transfers
Initiates outbound supervisory client contact to confirm the authenticity of high risk funds movement transactions
Review and approve new investment advisory account conversions and related paperwork
Review and approve certain operations–related and service requests, include trade errors and miscellaneous corrections
Initiates outbound supervisory client contact to research and resolve potential sales practice issues
Prepare for and assist in internal and external (regulatory) audits, examinations and other compliance testing initiatives
Participates in internal and external (regulatory) audits as a firm subject matter expert on various aspects of supervisory procedures
Provides training to newly on–boarded and less experienced SPs
8+ years of experience (in a similar role); experience with a bank–based broker/dealer a plus
Progressive levels of experience and job responsibility
Strong organizational skills and detailed oriented
Outstanding interpersonal and communication skills (both written and verbal)
Ability to multi-task, work under pressure and meet deadlines
BA/BS or equivalent work experience
(As applicable, depending on market coverage) – foreign language skills

Senior Control Analyst Resume Examples & Samples

Be fully knowledgeable in all corporate policies and procedures related to issues management as well as risk discipline, problem solving and project planning methodologies to provide Issues Management Subject Matter Expertise within the managed Business
Drive Issue Owners and CAP Owners through the end-to-end issue lifecycle, fostering adherence to corporate policies, standards and procedures
Foster prompt escalation when issues are identified and is responsible for capturing issues in iCAPS as soon as they are identified and achieving data integrity standards
Lead Issue Owners and Stakeholders for accurate issue definition, effective root cause analysis, project planning that integrates all the work required and all predictable dependencies, and timely resolution avoiding re-targets for closure
Support Issue Owners and CAP Owners to meet all Quality Assurance and Independent Validation components
Support Issue Owners and CAP Owners to process Re-target requests and approvals
Monitor entitlements for iCAPS and make sure that only the appropriate users within the managed Business have the right entitlements
Manage the Corrective Action Plans portfolio owned by the managed Business to distribute the workload as per the installed capacity, prioritizing the resolution of critical issues, based on issue severity rating and/or Business priorities
Serve as support to the business to manage interactions between the managed Business and Internal Audit, Compliance Testing, and other assessment entities for issues management related matters
Act as the primary contact and responsible to provide updates for global and local groups (including the OGC) related to issue status reporting activities
Actively participate and contribute to cross-business issues analysis to prevent occurrence in other businesses
Actively participate in training sessions and give training within the managed Business
Actively participate in recurrent issues management working groups
Proactively provide feedback to the Issue Management Unit Head to improve issues management practice
Bachelor’s degree in Administration, Engineering, Finance, Accounting or related
CIA certification preferable
PMI certification preferable
Risk management experience, 2 to 3 years of Audit experience and internal control
At least 3 years of experience in project planning and project/program management
Knowledgeable in the CIA methodology
Knowledgeable in the PMP methodology
Knowledgeable in problem solving methodologies
Experience processing large data files and multiple data sources to construct reports
Goal-oriented thinker
Strong interpersonal skills – including teamwork and organizational skills
Strong written and verbal communication skills (English and Spanish)
Strong analytical skills and attention to detail and numbers
Ability to handle frustration, work under pressure with tight deadlines and unexpected requirements and priority changes
Demonstrates solid project management skills in relation to: project plan development, budget planning, dependencies identification, identify and manage stakeholders, oriented to deliverables
Ability to follow methodologies and have limited tolerance to deviations and exceptions

Rcsa Senior Control Analyst Resume Examples & Samples

Comprehensive testing of controls following stated CCB Oversight & Controls policies and standards and all corporate, state, and regulatory guidelines to ensure effective mitigation of identified business risk
Seeks, develops, and facilitates a strong working relationship with business partners through ongoing coordination of operational matters, utilize effective communication, and problem resolution
Develops comprehensive testing strategies and review plans that encompass company policies, existing process / procedure and compliance with regulatory guidelines
Participate in quality review of completed tests to identify best practices and opportunities
Delivers findings to Functional Control Officer (FCO) and process owners and assist with the development of Action Plans to mitigate control breaks/gaps
Strong communication (written & verbal) and leadership skills
Able to effectively multi task
Highly organized and great time management ability
Team player and strong individual contributor
Proficient within Microsoft Office Suite and Application Lifecycle Management (ALM) tool