Risk & Controls Resume Sample
Colt Gottlieb
8276 Moses Ranch,
Detroit,
MI
+1 (555) 949 2589
Work Experience
Risk & Controls Senior
02/2016
-
PRESENT
Chicago, IL
- Responsible for implementing the CSL risk and controls strategy and the associated resourcing plan from across the business
- Managing the risk and controls framework to ensure all business risks are captured and assessed, and that all risks are clearly mapped to the controls mitigating them
- Responsible for obtaining buy-in and approval for the refreshed risk and controls framework and communicating the changes across the business
- Responsible for ensuring the risk and controls reporting links in a consistent and coherent manner to the appropriate Governance forums including the CSL Business Risk Management Committee (BRMC), Financial Risk Management Committee (FRMC), GHSE, Centrica Controls Board (CCB) and Group Risk Management Committee (GRMC)
- Develop and maintain relationships with the other business units in Centrica and use these to ensure CSL benefits from the experience gained
- Responsible for reviewing the coverage of control frameworks across the business and propose plans to address the gaps
- Responsible for understanding the impact of business change on the control environment and working with the Business Change Managers to ensure appropriate action is taken to mitigate emerging risks
- Establish a process to integrate IT general, application and interface controls into the overall controls framework, testing and process
- Review and improve the processes to track and report progress against actions and audit gaps
Risk & Controls Mgr
03/2009
-
12/2015
San Francisco, CA
- Manage headcount according to budget commitments both on and offshore as applicable
- Participate fully as part of the GFS Operations Leadership team, constantly striving to find new ways to develop and improve the business to ensure its viability
- Implement best practise process and controls across locations to achieve high quality output
- Identify, develop and retain key talent on behalf of the overall business Manage the performance of direct reports (Section Managers), addressing poor performance sensitively and promptly and recognising exceptional performance using the full range of supports within Citi. Support Section Managers in relation to performance management of the full team
- Ensure Training, Learning and Development function is providing employees with the necessary support as it relates to technical, professional and personal development
- Delivery of control set content review
- Delivery of GDBS and LBU/function mapping
- Provide general Risk &Control specific trainings to control operators
Risk & Controls Intern
01/2006
-
01/2009
Chicago, IL
- Manage and oversee the operation of risk and controls management systems (Issue Manager/ARIS) and other reporting tools
- Manage and oversee the annual CSL Insurance Programme
- Establish mechanisms that reduce risk and cost
- The role purpose also includes implementing the Governance Framework in relation to off-shored and outsourced functions
- This role is a senior managerial position within the Dublin GFS Operations Senior Management team reporting to the GFS Operations Dublin Site Head
- Ensure relevant governance documentation is in place, up to date and complied with as the documents governing individual relationships between CEP Dublin and individual Citi COE sites (Service Level Agreements, Performance Level Standards Document, ICSA’s)
- Compliance with regulatory requirements of Annex II of UCITS/Non UCITS Notices relating to Governance Oversight
- Obtain, edit and consolidate data for quarterly reporting (e.g. BRCC, Disclosure Committee, Statement of Accountability etc.)
- Strategic allocation of resources across on and off-shore to maximise the business impact
Education
Keiser University - Tampa Campus
2001 - 2006
Bachelor's Degree in Accounting
Professional Skills
- Strong oral and written communication skills, proven ability to interface effectively with all levels of management and diverse stakeholders
- Strong influencing skills with the ability to communicate the need for strong controls
- Working knowledge of SQL, Sarbanes-Oxley and COBIT and strong analytical skills
- Strong Project Management skills, including identification and mitigation of risks impacting program delivery, required
- Strong interpersonal, relationship management, and communication (speaking and writing) skills
- Demonstrated skills in leading a group of people towards meeting a common project milestone /goal
- Outstanding communication skills with the ability to establish and build trusting relationships with individuals at all levels of the company
How to write Risk & Controls Resume
Risk & Controls role is responsible for education, mac, messaging, presenting, microsoft, analytical, database, finance, training, auditing.
To write great resume for risk & controls job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Risk & Controls Resume
The section contact information is important in your risk & controls 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 Risk & Controls Resume
The section work experience is an essential part of your risk & controls 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 risk & controls responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular risk & controls position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Risk & Controls resume experience can include:
- Typically has 2 - 4 years of data analysis experience, with a combination of business and technical skills
- Strong controls testing skills/expertise
- Demonstrated investigative fieldwork skills
- Strong data analytic skills; preferably with commercial loan products or other financial instruments
- Strong people management skills and the ability to develop a team
- Effectively collaborate with upstream and downstream risk and controls stakeholders and influence outcomes
Education on a Risk & Controls Resume
Make sure to make education a priority on your risk & controls resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your risk & controls 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 Risk & Controls Resume
When listing skills on your risk & controls 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 risk & controls skills:
- Effective writing skills, including use of proper grammar, good organization and concise messaging
- Strong written and verbal communication skills, including strong presence
- Prior mortgage industry experience, preferably in commercial lending operating practices
- Effectively communicate Technology risk and control deficiencies to Business Units without hindering the progress of projects or existing processes
- Refined verbal and written communication skills; capable of succinctly presenting complex subject matter
- Superior people leadership/management skills with the ability to engage employees in relation to the future vision of the organisation
List of Typical Experience For a Risk & Controls Resume
1
Experience For Risk & Controls Senior Resume
- Excellent verbal and written communication skills capable of succinctly presenting complex subject matter; Ability to facilitate group discussions
- Audit, control, compliance or operational risk experience in technology processes supporting financial services
- Experience in operational risk, compliance, audit including 2+ years at a manager level
- Timely and effective communication of the key messages/outcomes to all stakeholder levels and with relevant internal and external business partners
- Tracking, monitoring and reporting on divisional technology risk and control issues
- Coordinating with the divisional Risk & Control group on audits and exams, including managing action plans to timely and accurate completion
- Creating and maintaining BTO process and procedure documentation for risk and controls activities
- Generating risk and compliance-related materials for I&CM, IT, ERM, IA and FHFA, including periodic updates and time-sensitive requests
2
Experience For Risk & Controls Mgr Resume
- Developing and maintaining an accurate and complete inventory of applications, end user controls, models, data stores, LANs, and SharePoint sites
- Banking business knowledge (including basics of products)
- Assisting with the IBD components of the Firm’s Compliance Risk Management policy
- Supporting implementation of the Three Lines of Defense and other corporate operational risk initiatives
- Creating information strategies around data quality, implementation of future state data architecture, metadata and information governance
3
Experience For Manager, Risk & Controls Resume
- Managing relationships with various global functions (as assigned) with respect to their assurance and ERM agenda
- Working knowledge of Structural Reform (SRP) changes within the Bank
- Accounting designation (CGA, CPA, CA), is required
- Supporting the establishment and maintenance of SOX and operational controls across all I&CM technology activities
- Providing risk and controls input for I&CM new business initiatives
- Lead the Risk and Controls team and manage daily activities for the team; including selecting, developing, managing and evaluating staff
- Participation in the development of on-going Technology Risk reporting, monitoring key trends and breaches
- Continuously monitoring the I&CM and IT control environments to identify control gaps, emerging risks and mitigation strategies
4
Experience For Risk & Controls Prf Resume
- Drive a change in mind-set towards pro-active thinking rather than reactive thinking as it relates to risk
- Review the output from reviews and work with the training team to design and implement appropriate training
- Co-lead regulatory interactions, including ownership of materials preparation (including clearance) to support regulatory reviews
- Point of contact for GDBS, markets and Group Functions, using the most suitable communication channel and escalation route
- Support management reporting and sign off procedures (ARC, RMC)
- All corresponding functions within other related towers in GTI
5
Experience For Senior Manager, Risk & Controls Resume
- Automate repetitive tasks. Develop team’s capability to take up more challenging projects/tasks
- Liaise with the relevant operations department to implement a plan to remediate emerging risks
- Manage and track remediation plans, providing regular updates to the management team
- Liaise with key stakeholders outside of Funds to ensure all remediation plans are within Citi policies, influencing policy changes where necessary
- Within these assigned global functions, supporting corporate line management in
- Lead functional area operational efforts to identify, understand, and document processes and procedures surrounding internal controls
- Develop, implement and evolve first line Business Risk Office programs, leading effort to mature processes and program
- Manage the Process Monitoring and controls related activities for Payment Services
6
Experience For Lead Manager, Business Risk & Controls Resume
- Manage Business Continuity Planning and Disaster Recovery programs for Payment Services
- Utilize an extensive knowledge of payment card systems to assess deficiencies in current and existing products and services
- Leverage expertise to provide guidance and recommendations that reduce operational and compliance risk while minimizing impact on product functionality
- Work on a team while showing leadership as an individual contributor
- Participate in the management of issues/risks associated with LOB AML Programs. Serve as an escalation point for resolving AML policy and procedure issues
- Work under pressure, successfully managing tight deadlines and unanticipated changes, in sometimes ambiguous circumstances
- Proficient in Microsoft Office, including MS Excel, Word, and PowerPoint
- Knowledge of Anti Money Laundering (AML), Know Your Customer (KYC), Customer/Enhanced Due Diligence (CDD/EDD) required
7
Experience For Risk & Controls Director Resume
- Exposure to some of the following areas could be an advantage
- Escalation of issues- Identify issues at early stage to local management if necessary, Ensure resolution is promptly achieved
- GSO and LOB Audit, Regulatory, IRM and Controls functions
- GSO Risk & Controls Functional Leads and staff
- Internal Audit and internal/external regulatory organizations (incl PWC, E&Y, MAS)
8
Experience For Risk & Controls Specialist Resume
- IT Risk and Security Management (ITRSM)
- Continual Service Improvement Teams
- Coordinating, monitoring, reviewing & reporting of the Operational Risk for department including but not limited to RCSA, Caps, Statement of Accountability etc.
- Perform oversight of ‘O&T Risk and Control’-type Functions consisting of the Country Consumer Operations Oversight Function (COOF), ICG Operations Control Function (IOCF), Technology Risk Management (TRM), and O&T Local Regulatory Reporting Control Function as defined in the Country ERC model
- Perform oversight of ‘O&T Risk and Control’- type Functions consisting of the Country Consumer Operations Oversight Function (COOF), ICG Operations Control Function (IOCF), Technology Risk Management (TRM), and O&T Local Regulatory Reporting Control Function as defined in the Country ERC model
- Learn about Ameriprise Financial’ s Risk Mitigation and Controls strategy through assigned tasks designed to provide an introduction to the teams’ workflows
- Be responsible for ensuring all your team’s events are processed accurately within the event timelines
- Perform internal control reviews of Landing Systems’ businesses and make recommendations for control improvements
- Regular review and update of Manager’s Control Assessment, Flow Charts and Procedures for the team
9
Experience For Senior Risk & Controls Specialist Resume
- Facilitate and oversee management’s review of risk issues identified through risk assessment processes
- Develop and maintain strong business and technology relationships with Corporate functions such as Audit, Risk both within LOB’s and Global Technology Infrastructure
- Internal contacts - Executive Assistants of the Office of the CFO, Ecommerce Platform, and members of CAS, Corporate Finance Leadership Team, CFO Council, Human Resources and Legal
- Code optimization, performance tuning, demonstrations to QA, BM teams, SMT BM’s, builds and deployments
- Produce monthly and quarterly control execution and control monitoring reports as specified by the Manager’s Control Assessment requirements
- External contacts with Ernst and Young, as required
- Assist in assessing RSD’s compliance with ORM policies and standards, identifying any potential gaps and assessing and monitoring related remediation plans
- Prepare RSD’s Operational Risk Committee reporting, i.e., gather and synthesize operational risk information including key risk indicators (KRIs), loss events, review results, and remediation efforts
- Collaborate with RSD’s business areas to formalize and implement a third-party risk management (TPRM) process that adheres to the enterprise-wide TPRM policy, including developing and maintaining an inventory of third parties
10
Experience For Risk & Controls Business Partner Resume
- Oversee the development of Risk Acceptance proposals to ensure they’ve been properly vetted and challenged prior to presentation to executives for decision
- Operational Risk Management Policy & Standards: ensure adherence to Citi and TTS Operational Policies and standards and effective roll out of new and revised policies including
- Responsible for leading internal control audit processes and provides advisory and consulting services to management under the direction of the Corporate Controller, including
- Provide MCA program guidance to site managers and process team leads as needed
- Assess impact of MCA program/policy changes and communicate to stakeholders as required
List of Typical Skills For a Risk & Controls Resume
1
Skills For Risk & Controls Senior Resume
- Good reasoning and problem solving skills, including ability to understand work assigned, ultimate objective, end-to-end tasks and deliverables
- Strong oral communications skills, including confidence while interacting with management
- Excellent verbal and written communication skills capable of succinctly presenting complex subject matter; Ability to facilitate large group discussions
- Strong written and verbal communication skills; ability to tailor communication based on audience
- V 5+ years’ experience in banking or finance with a total experience of 8+ years
- Experience in Risk Management function through either Audit, first line, second line or consulting experience
- Prior experience in the financial services industry and mortgage industry is desirable
2
Skills For Risk & Controls Mgr Resume
- Experience in internal audit / risk management / process and controls design experience
- Build, develop, and maintain effective relationships with internal business partners / stakeholders for the purposes of enhancing team effectiveness
- Essential/desirable skills & competencies
- Effectively coach others in a matrix organization
- Partnership – Work effectively across teams to achieve both company and customer objectives
- Typically has 5-7 years of experience in operational risk management; with 3-5 years of experience in financial crimes investigations
- Analyzing the effectiveness of risk management policies and procedures
3
Skills For Manager, Risk & Controls Resume
- Excellent working knowledge of the ERMF including the control processes within the Bank (eg RCSA, Risk Events, Issue Management and controls mapping)
- Experience defining and documenting business processes and information flows including metadata and data lineage
- Lead operational testing initiatives – including roadmap development and prioritization / scoping
- Enjoys challenging and thought-provoking work and have a strong desire to learn and progress
- Day to day responsibilities include monitoring the 1st line of defense and providing effective challenge on
4
Skills For Risk & Controls Prf Resume
- Experience developing and maintaining operational policies, standards and procedures related to I&TR
- Related experience with OFAC regulation, including clearing potential matches against the OFAC SDN watch list
- Strong knowledge/ understanding of Banking and Financial Services regulatory landscape
- Information Technology controls testing experience
- Solid understanding of industry best practices related to I&TR
- Experience documenting business processes and functions
- Contribute to a team of experienced and junior staff that executes self-testing actives
5
Skills For Senior Manager, Risk & Controls Resume
- Experience in operational risk, compliance, audit including 2+ years at a manager level
- Related experience with the Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) or Know Your Customer (KYC) programs
- Design assessment and Effectiveness testing coordination and quality review
- Execution oriented with strong attention to detail while able to maintain focus on the larger goal
- Execution focused with demonstrated initiative and personal accountability
- Experience in risk management, compliance, audit, or related field
- Demonstrated ability to lead complex projects and manage multiple aspects of a program simultaneously
- Self-motivated, demonstrated ability to work and lead teams independently with little direct supervision
- Assess risk in payment card systems and design effective mitigation strategies that minimize impact on network volume
6
Skills For Lead Manager, Business Risk & Controls Resume
- Demonstrated cross functional knowledge of the Payment Services, which results in the ability to make critical project recommendations and decisions
- Build upon prior knowledge
- Demonstrate the ability to implement new or changes to control frameworks
- Experience conducting and documenting risk and controls testing
- Public accounting, Consulting or internal audit experience
- Experience identifying risks and mitigating controls
- 2 – 4 years audit (internal/external) and/or SOX experience which can be replaced by thorough shared service process understanding
- Experience working closely with senior executives (CEO, CFO, global business leaders, etc.)
- Previous experience with compliance, modeling, and/or automated controls
7
Skills For Risk & Controls Director Resume
- Proven leadership and mentoring capabilities
- Detail-oriented, well–organized, and possesses a strong work ethic
- Skillfully balances risk with opportunity
- Extensive years of experience in financial services or similar environment
- Proactive self-starter with a strong work-ethic
- Strong knowledge of MS Office (Outlook, Excel, PowerPoint)
- Experience with a diverse set of risk management methods and techniques for the identification assessment, treatment and management of risk
- Practical experience in internal/external audits
8
Skills For Risk & Controls Specialist Resume
- Work experience in technology risk and controls is required
- Managerial/supervisory experience
- Audit, control, compliance or operational risk experience in the financial services industry
- Works with corporate-level resources to identify, design, and test controls for optimal effectiveness
- Typically has at least 5 to 7 years of Audit and/or Risk Management experience within the financial services industry
- Solid understanding of industry best practices related to information risk
- Information risk and data governance experience within the financial services industry
- Provide initial assessment and prioritization of fraud tips received, recommend investigative steps to the Multifamily Fraud Director
9
Skills For Senior Risk & Controls Specialist Resume
- Audit, control, compliance or operational risk experience in the financial services industry
- Assess the design and operating effectiveness of the relevant internal controls and internal control framework
- Build strong partnerships in the assigned business area and with key stakeholders across the division and enterprise
- Navigating – understanding and translating strategy into own team and aligning directions accordingly
- Ensuring full participation in Audit programs, assisting business in identifying technology based controls
- Identifying, escalating and helping to address issues and potential trends; and
10
Skills For Risk & Controls Business Partner Resume
- Supporting management reporting as needed, including development of quarterly Business Area Risk and Control (BARC) materials
- Reviewing risk review results across all lines of defense and providing direction on remediation plan, timing and accountability
- Protecting the organization from business risk associated with technology, interfacing with business and technology leads
- Sustaining – making considered decisions that protect and enhance HSBC values, reputations and business
- Developing and managing business definitions for identified critical data
- Documenting and managing business metadata
- Managing portions of the division controls testing work
- Providing input to reporting on information risk KPIs, KCIs, and KRIs
List of Typical Responsibilities For a Risk & Controls Resume
1
Responsibilities For Risk & Controls Senior Resume
- Prior experience managing small-to-medium sized projects/initiatives
- Influence others and develop effective firm-wide relationships
- Work with Multifamily business process owners and other internal business partners to evaluate the effectiveness of the MF Division fraud program
- Experience with financial data analysis: identify patterns, inconsistencies, and unexpected results; facilitate root cause analysis
- Providing input to reporting on I&TR KPIs, KCIs, and KRIs
- Managing various division-level operational risk management governance activities (e.g. reporting, policies/procedures, etc.)
- Developing and managing business definitions for critical data
- Assisting with a redesign of the division’s compliance risk management program
- Creating strategies around data quality, implementation of future state data architecture, metadata and information governance
2
Responsibilities For Risk & Controls Mgr Resume
- Support the development of training documentation and manage training logistics for the SF Risk and Controls Team
- Work closely with the Chief Administrative Officer in developing and executing the Risk & Controls strategy for the global Technology organization
- Assist with management reporting related to self-testing activities
- Coordinate audits, SOX, and Operational Controls testing efforts; includes managing action plans to ensure they are completed timely and accurately
- Support Single Family top initiatives regarding the optimal design of controls for these initiatives
- Coordinate audits and exams; includes managing action plans to ensure they are completed timely and accurately
- Assist with preparation of monthly/quarterly key stakeholder meeting materials
- Support the development of communication and training materials
- Facilitate Root Cause Analyses and impact assessments for qualifying operational loss events
3
Responsibilities For Manager, Risk & Controls Resume
- Ensure timely entry of event documentation in event recording system
- Coordinate Records Information Management (RIM) and Business Continuity Planning activities for the department
- Maintain all relevant business process maps/process flows
- Assist site managers and team leads with modifications to the relevant Process, Risk, Control, Monitoring statements as required. Update narratives in the Control Inventory Tracking Application (CITA) as required
- Conduct independent testing and monitoring of process controls as specified by process frequency
- Understand critical processes and functions within each business, formulating continuity strategies, developing responses, testing plans, implementing back-up and off-site storage arrangements, and conducting relevant training programs for other staff, including crisis communication / media training as appropriate
- Coordinate risk/impact assessments with management for the purpose of ensuring that Multifamily can effectively respond in the event of a disaster and that business can continue if risks materialize
- Conduct regular reviews of high risk areas to monitor risk levels and quantify the potential financial exposure related to those risks
- Perform root cause analysis of significant control-related issues
4
Responsibilities For Risk & Controls Prf Resume
- Drive opportunities to develop and broaden the scope of the framework and review opportunities to implement the framework across the wider GFS community
- Developing and maintaining processes and procedures to comply with divisional and enterprise standards related to privacy, information security, information classification, records retention, and data governance
- Actively monitoring changes to industry best practices for large financial institutions and identifying needed updates to divisional I&TR policies, standards, and procedures
- Partnering with appropriate groups within I&CM, I&CM BTO and Enterprise functions to develop and implement effective strategies related to I&TR management and data governance
- Information risk and data governance experience within the financial services industry
- Developing management reporting related to I&TR
- Assist site managers and team leads with modifications to the relevant Process, Risk, Control, Monitoring statements and documentation of Continuous Monitoring results as required
- Conduct independent testing and monitoring of process controls. Produce monthly and quarterly control execution and control monitoring reports as specified by the Manager’s Control Assessment requirements
5
Responsibilities For Senior Manager, Risk & Controls Resume
- Work with central NAM CBSU Risk Governance & Oversight team and internal Consumer Business Operations Risk Compliance (CBORC) teams to record and report on quarterly results
- Typically has at least 2 to 4 years of Audit and/or Risk Management experience within the financial services industry
- Perform I&CM self-testing per plan and complete follow-ups to ensure that they are completed timely and aligned with the corporate self-testing standard
- Assist with management reporting and document preparation related to self-testing activities
- Contribute to a team that executes self-testing actives
- Provide management support during internal (GAR) and external audit (PWC)
- Prepare and assist with test reports that identify and communicate issues and recommendations for process and control improvements where necessary
6
Responsibilities For Lead Manager, Business Risk & Controls Resume
- Follow detailed procedures that document self-test plans and work papers
- Work with appropriate groups within I&CM and Investments CFO to ensure timely and appropriate corrective actions are implemented
- Ensuring divisional compliance with all corporate risk management frameworks, including developing and maintaining appropriate process, risk, control, and issue documentation
- Coordinate sales and service practices audit and pre-regulatory exam preparation activities; facilitate responses to findings; validate remediation plans are appropriate, resolved timely, and corrective actions implemented prior to closure; along with providing periodic updates to management
- Support SF Data Governance monthly business process reporting (BPR)
- Assist in the establishment and maintenance of SOX and operational controls for SFDG&M
- Continuous monitoring of the control environment to identify control gaps, emerging risks and mitigation strategies, as well as opportunities to streamline and optimize the control environment
- Develop and prepare timely, accurate and effective risk control analysis and operational procedures
7
Responsibilities For Risk & Controls Director Resume
- Support IT division’s top risk and control priorities
- Risk, control, compliance, or operational risk experience in the financial services industry
- Track, monitor and report on risk and control issues
- Coordinate with management on issue remediation
- Support implementation of new requirements related to Three Lines of Defense initiatives
8
Responsibilities For Risk & Controls Specialist Resume
- Provide advice and assistance in the areas of risk and control identification, assessment, response, monitoring and evaluation with the intent of maturing IT risk management capabilities
- Support risk managers in partnering across lines of business and IT to gain insight into business processes, objectives, risks, and priorities to foster accountability and transparency in the areas of risk and controls
- Work with a team to identify, develop, establish and execute procedures, processes, and controls to manage risks, including risk and issue management, KRI/KPI development, management/oversight reporting, and escalation
- Perform aggregation and reporting of IT risk metrics and data
- Support IT Division business process reporting (BPR)
- Contribute to IT vendor risk assessments
- Conduct database searches
9
Responsibilities For Senior Risk & Controls Specialist Resume
- Promotes general awareness of Technology Risk Management policies and procedures and coordinates activities to foster awareness and understanding of key risk management concepts within technology
- Develops and fosters a culture of risk mitigation and control ownership within Technology
- Works with Technology Senior Leadership to help ensure the implementation of key risk management practices and procedures in the normal course of operations
- Ensures that controls used to mitigate technology risks are properly designed, executed, and documented
- Serves as a key advisor for Technology regarding risk-related matters and serves as a liaison between the business, internal audit and corporate-level risk management resources
- Promote awareness of Technology Control functions to all Technology personnel providing overviews and training when required
- Monitors the disposition/resolution of issues resulting from audits and examinations
- Manage and assess risks associated with various projects and processes, providing recommendations to mitigate risks
- Supports audits and regulatory examinations
10
Responsibilities For Risk & Controls Business Partner Resume
- Maintain an awareness of all regulatory requirements and changes within the industry and their impact on our services
- Central point of contact for internal and external auditors
- Directs, motivates, and develops staff to maximize their individual contributions, their professional growth, and their ability to function effectively with colleagues as a team
- Prepare test reports that identify and communicate issues and recommendations for process and control improvements where necessary
- Assist with the development and maintenance of detailed procedures that document self-test plans and work papers
- Support implementation of new requirements
- Facilitate Process, Risk and Controls Documentation Maintenance
- Implement policies, programs, practices and supporting technology that assess, monitor and report the operational risk profile of the Enterprise Operations Division
- Coordinate, facilitate and oversee risk assessments to flesh out key risks (operational, compliance, technology, 3rd party, etc)
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