Business Risk Specialist Resume Sample
Rita Legros
56491 Bins Cliffs,
Houston,
TX
+1 (555) 553 7576
Work Experience
Business Risk Specialist
08/2016
-
PRESENT
Dallas, TX
- Understand the business of IPS PA which includes the offerings under an Advisory Agreement (UBS Advice, Active Portfolio Advisory) and identify, evaluate, assess and mitigate risks
- Support the Sector in close collaboration with the Sector's central functions and the Segment Heads in achieving ambitious targets with sound and efficient risk control framework
- Identify, evaluate and drive the mitigation of risks and proactively formulate holistic solutions which meet the interests of the business
- Work together with Legal Compliance & Operational Risk Control, Group Internal Audit, IPS Business Risk Management in order to clarify potential issues and to remediate identified deficiencies in current processes
- Ensure that procedures are in place to execute requirements under the UBS Operational Risk Framework and supervisory policies have been set up and implemented
- Actively manage the Active Advisory Control Framework
- Become a subject matter expert on selected topics within the team, build and share knowledge
- Take ownership for the segment's efficient implementation of the IPS Risk Governance processes
- Contribute to risk related projects with your know-how and skills
Head Business Risk Specialist
04/2012
-
03/2016
New York, NY
- Regularly evaluates and optimizes existing processes, implements new processes (incl. appropriate training) and
- Analyzes and derives metrics to evaluate and mitigate Business Area/ Sector risk
- Ensures that legal, compliance and regulatory requirements are observed, including Sarbanes-Oxley and KYC (Know-
- Experience in IT Risk, Information Security or related areas
- Advanced MS Office skills, especially in MS Excel and MS Access
- Multitask and to meet specific goals set by supervisors and management
- Willingness to understand business process delivery context and to analyse and solve issues in a complex environment
- Build strong relationships within the company
Business Risk Specialist for Months
01/2006
-
10/2011
Chicago, IL
- Experience on automated investment restrictions systems such as Simcorp, Sentinel, Charles River, MIG21 desirable
- Execution of the Business Risk Assessment (IRAM/BRAP), including establishing and monitoring effective controls within an agreed risk tolerance
- Ensures that legal, compliance and regulatory requirements are observed, including Sarbanes-Oxley and KYC (Know-Your-Client)
- Resolves non-operational client issues and complaints in accordance with firm policy and regulatory requirements
- Experience within the UK Wealth Management Services with knowledge of banking and operational procedures surrounding the Payments process
- Experience in Client Services with particular exposure to speaking with Clients on the telephone and Client interaction
- Articulate and well-spoken with emphasis on maximising Client satisfaction
Education
Johnson & Wales University (JWU Charlotte)
2001 - 2005
Bachelor's Degree in Management
Professional Skills
- Excellent MS-Office knowledge in Excel, Access VBA programming skills would be an advantage
- Excellent MS Office skills, especially in MS Excel
- Excellent organization skills and a pragmatic approach
- Your experience and skills
- Good interpersonal skills with the ability to communicate effectively with colleagues, business partners and stakeholders, verbally and in report format
- A systematic thinker with strong analytical and conceptual skills
- Strong analytical and organisational skills and as well as an eye for details
How to write Business Risk Specialist Resume
Business Risk Specialist role is responsible for access, programming, travel, reporting, security, credit, finance, english, communications, excel.
To write great resume for business risk specialist job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Business Risk Specialist Resume
The section contact information is important in your business risk specialist resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Business Risk Specialist Resume
The section work experience is an essential part of your business risk specialist resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous business risk specialist responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular business risk specialist position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Business Risk Specialist resume experience can include:
- Good banking products and front processes knowledge or project management experience (preferably gained within Wealth Management)
- The ability to multi-task and prioritise within a busy and fast paced, dynamic working environment
- Experience of working within the UK regulatory framework
- Solid background in operations processing
- Experience in banking operations or operational risk
- Experience in Banking/Financial industry
Education on a Business Risk Specialist Resume
Make sure to make education a priority on your business risk specialist resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your business risk specialist experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Business Risk Specialist Resume
When listing skills on your business risk specialist resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical business risk specialist skills:
- Good communication skills (both written & oral) in English
- Sound experience in data analysis, validation and presentation of results (MS Excel, MS PowerPoint, Tableau)
- Experience in banking/risk management- ideally with banking operations exposure,
- A good understanding of tax and regulatory reporting requirements
- Track record in the financial or risks MIS reporting and ideally a solid understanding of UBS Asset Management
- Advanced MS Excel knowledge (preferably including VBA) and solid know-how of MS PowerPoint
List of Typical Experience For a Business Risk Specialist Resume
1
Experience For Head Business Risk Specialist Resume
- The ability to build harmonious, effective and responsive relationships with cross-functional partners
- Project Management or Management experience
- Maintaining proper operating process documentation
- Joining and leading calls with main stakeholders
- Cooperating with internal as well as external auditors to ensure regulatory compliance
- Understanding of Risk Management concepts and their implementation in practice
- Represent Wealth Management Europe & Emerging Markets (WM EEM) in project teams and working groups
2
Experience For Senior Business Risk Specialist Resume
- Work closely with front staff and Process & Risk Specialists enabling them to stay compliant with internal and external regulations and requirements
- Monitor progress and raise items for discussion in working groups and management committees
- Act as trouble-shooter and 1st port of call for colleagues around the world requiring support and advice for systems and framework related topics
- Understands the importance of execution the GO Risk Framework consistently
- Can identify risks and issues and work with stakeholders to address
- Very driven and committed team player
- Preparing regular reports and collaborating with both Business and Developers to improve the value of the conducted processes and ensure risk requirements are met
- Analyse and determine the impact of such regulations and other risk related changes on Wealth Management's daily business
- Ensure the implementation of risk related processes and changes
3
Experience For Business Risk Specialist for Months Resume
- Handle day-to-day entitlement management tasks such as the assessment of requests for data access, authorization and data exports
- Configure, manage and monitor regular user access reviews
- Provide support and respond to queries on entitlement management from Asset Management employees
- Assess authorization concepts and approval processes
- Create communication and awareness materials
- Assess operational risk issues and clearly articulate the risks to the
- Organize and manage a multitude of topics (incl. various projects) and
4
Experience For Business Risk Specialist Resume
- Complete KYC review activities for customer due diligence data and documents, and ensure proper remediation steps are taken for any findings / issues
- Be the point of contact for PKR operational risk queries and markets related issues
- Closely communicate with various support functions & market teams to address PKR related cleanup topics & address the root causes to avoid re-occurrence; and
- Participate in change-the-bank initiatives & ad-hoc assignments/projects for PKR
- Able to multitask and oversee different projects in parallel
- Provide practical solutions
- Provide administrative, technical and professional support in Operational Risk area
5
Experience For Head Business Risk Specialist Resume
- Assist local management with the implementation and consistent operation of risk processes and principles
- Participate and lead projects that aim to enhance risk and governance framework in our company
- Support for the internal control owners in Internal Control Assessment Process responsibilities like control and assessment administration
- Risk related documentation creation for the function
- Define, implement and monitor Incident management and BCM framework
- Willingness to understand client's business context and to analyze and solve issues also in more complex environment
- Perform controls and assessments and maintain the data in dedicated tools
- Monitor and assess the established risk management and control framework for completeness and adequacy as well as ensure on-going enhancements flow into the change management process
- Support assessments of compliance with the regulatory environment (e.g. FINMA, FSA, BaFin) and provide compliant solutions to the business
6
Experience For Senior Business Risk Specialist Resume
- Support projects across IPS on specific product offerings
- Support reviews by the business risk organization, such as management and control processes to identify risks and to define remedial measures
- Support Senior Management in their risk management tasks
- Deliver high quality work on a consistent basis
- A desire to work and develop in a fast paced environment
- Support for the internal control owners assessment process responsibilities
7
Experience For Business Risk Specialist for Months Resume
- Define, implement and monitor Incident management and business continuity framework
- Thoroughly checking each Payment, Asset Transfer and Trade Rebook as it appears in its respective workflow tool / work queue so that the details accurately match those on the copy of the instruction provided by the Client
- Undertake independent control testing across Operational Key Processes
- Complete deep dive analysis on Operational issues and incidents
- Create Monthly Statistics and Analysis on Operations core tasks
8
Experience For Business Risk Specialist Resume
- Participate in Operations Risk Governance Forums
- Oversee the Operations risk and escalation governance best practices
- Monitor Breaches, Violations and Complaints
- A high level of risk awareness, with a right first time approach
- Team-orientated, while able to complete tasks independently
- A great communicator, with the ability to clearly articulate the rationale for decisions made
9
Experience For Head Business Risk Specialist Resume
- Previous people management role
- A great communicator with the ability to clearly articulate issues
- Well organized and able to manage a multitude of projects
- Driven and passionate to make a positive change in the organization
- Perform controls and risk assessments
- Maintenance of data and systems used to support the control framework and risk assessments
10
Experience For Senior Business Risk Specialist Resume
- Monitor and assess the established IPS risk management and control framework for completeness and adequacy
- Prepare concise, transparent and meaningful Senior Management information and presentations for various committee meetings
- Perform data analysis ( Excel, Access, Business Objects) to support reviews across IPS
- Support projects across IPS on specific product or service offerings
- Provide assistance for IPS BRO reviews, to identify risks and define remedial measures
- Support IPS Senior Management in their risk management tasks
List of Typical Skills For a Business Risk Specialist Resume
1
Skills For Head Business Risk Specialist Resume
- Advanced skills on Microsoft Excel, Word and PowerPoint packages
- Strong analytical thinking combined with the ability to generate meaningful management reports
- Experience of participating in projects
- Experience in a corporate environment on a position involving cooperation with various stakeholders
- Strong risk manager who can stand firm when being challenged
- Team-oriented while being a strong senior leader
- Previous experience in Operational Risk, IT Risk or Information Security area
- Very good knowledge of MS Excel and preferably VBA knowledge
2
Skills For Senior Business Risk Specialist Resume
- Professional experience in similar positions
- Very good written and spoken English, German as an asset
- Very good knowledge of MS Office (Excel, PowerPoint, Access as an asset)
- Very good knowledge of MS Office package, in particular MS Excel
- The relevant experience to take ownership of and remediate Operational problems
- Experience in risk management, compliance, operational risk or internal audit
- Have at least 10 years experience in the financial industry
- Knowledge of Payments, Asset transfers and other Operational transactional administrative experience with a focus around risk mitigation
3
Skills For Business Risk Specialist for Months Resume
- Confidence to build strong professional relationships with other Teams within the Bank
- Ensuring Operations meets highest data quality standards and mitigate the risk by working closely with Risk Teams
- Understanding of Risk Management concepts and their implementation in practice,
- Supporting Senior Operational Risk Managers around the Globe in operational risk management related activities
- Presenting the outcome of the remediation tasks in proper format to Senior Operational Risk Management
- Be responsible for risk governance by creating risk packs and maintaining action logs
- Promote risk culture, personally acting as a role model, empowering the Operations team to proactively manage risk
- Ensure that periodic tax and regulatory reporting deadlines and documentary compliance requirements are met; affirming compliance to the relevant body
4
Skills For Business Risk Specialist Resume
- An aptitude for identifying and anticipating Risk and Issues
- Challenge and support front office staff around risk topics and decision making
- Support the location BRO (Business Risk Organization) team in ongoing
- O performing regular independent risk assessments, risk based reviews
- An understanding of operational risk management and implementation in practice
5
Skills For Head Business Risk Specialist Resume
- Regular testing of Key Procedural Controls and independent review of control environment
- Fluent English (both in speech and writing)
- Identify and classify new and emerging Operational risk
- Play an active role in Operations related project, overseeing risk and issue resolution
- The ability to coaching members of the Operational teams to proactively manage risk
6
Skills For Senior Business Risk Specialist Resume
- A comprehensive understanding of wealth management business and the regulatory requirements
- Comprehensive understanding of wealth management business and the regulatory requirements in Singapore
- Act as a trouble-shooter and 1st port of call for global colleagues requiring help for systems and control framework related topics
- Make responsible decisions on judging access to systems and applications
- Support the AM Divisional Information Security Office in implementing other information security measures
- Support markets in PKR risk reviews, service deliveries and improving operational processes
- Process orientated and ensuring defined SLA's are upheld
7
Skills For Business Risk Specialist for Months Resume
- Identify and analyze information security related incidents
- Investigate the business context of an incident and assessment of the risk
- Drive continuous improvement of the overall incident management process
- Collaborate with key stakeholders and partners in IT
- Work well with team members, business partners from all parts of the
- Perform periodic Know Your Client (KYC) review activities, e.g. review customer due diligence data, documents and transactions, perform name screening and ensure that proper remediation steps are taken for any findings/issues
- A good understanding of capital market products, operational and financial processes ( Key process Controls)
- Keep abreast of new KYC policies and requirements and implement new processes into the periodic KYC review processes
8
Skills For Business Risk Specialist Resume
- Focus on the assurance of quality and consistency in Client Due Diligent (CDD) standards in accordance to the prevailing requirements; and within stipulated timeframe across Hong Kong & Singapore
- Design, implement and coordinate the management information reporting to the Asset Management Executive Committee; Asset Management Operating Committee; Asset Management Front-to-Back Committees and Asset Management COO Management Committee
- Communicate HR and Compliance requirements to the Asset Management business functions and coordinate and monitor the implementation of protocols addressing the requirements
- Oversee and coordinate the control reports to support the Asset Management front to back Committees
- Thoroughly checking each Payment, Asset Transfer and Trade Rebook as it appears in it's respective workflow tool / work queue so that the details accurately match those on the copy of the instruction provided by the Client
- Cross-checking that the instruction has been given in line with current and valid indemnities for the Client, as determined in the Account opening documentation. This includes verification of authorised signatures and maintaining that only authorised Clients, Powers of Attorney or Third Party Mandate holders give instructions
- At all times giving strict adherence to FLS' procedures
9
Skills For Head Business Risk Specialist Resume
- Liaising with key internal service providers and stake holders (including Client Advisors, Client Advisor Assistants, Risk, Operational Teams and, Credit Risk) within the Bank to ensure the timely execution /resolution of FLS related queries and obtaining the appropriate exemptions, waivers and approvals
- Implementation of internal and external directives and guidelines in daily transactions
- Constantly working to increase customer satisfaction and improve the function/service offering by reviewing, recommending and implementing new processes within the Team
- Experience in audit, risk, technology or internal control areas (compliance, operational risk) (preferably within the financial industry or professional services firms)
- Very good communication and social skills (English level – B2/C1)
10
Skills For Senior Business Risk Specialist Resume
- Knowledge & experience on Internal and SOX audits
- Design and implement new initiatives and projects
- Experience ( min2- max4 years) in audit, risk, technology or internal control areas (compliance, operational risk) (preferably within the financial industry or professional services firms)
- Good English and German language skills, both oral and written are required, additional language skills are an advantage
- Knowledge & experience on Internal and SOX audits/ testing
- Experience in Banking/Financial/Risk industry
- Experience (preferably in Banking/Financial industry)
- Experience of stakeholder management,
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