Controls Officer Resume Sample
Nathanael Moore
81946 Durgan Alley,
Philadelphia,
PA
+1 (555) 923 6445
Work Experience
Oversight & Control CCB Controls Officer Manager
07/2016
-
PRESENT
Houston, TX
- Works closely with Senior Management Team globally to oversee and manage reporting responsibilities as well as internal and external informational requests impacting the controls framework
- Responsible for global coordination and oversight of management controls reports and process-related tasks (i.e. project managing ICG Risk Management deliverables vs the relevant OCC Bulletins)
- Liaison with multiple functions within Citi including, but not limited to: Operational Risk, Regulatory Risk, Internal Audit, FCR, Product Control/Finance, Operations, Accounting Policy, Human Resources, Enterprise Risk Management, etc
- Compliance Assessments – Provide support for business unit management in completing risk assessments for compliance-related matters, including FMA’s processes in support of CCAR/DFAST, Volker and other requirements not covered by the Compliance department
- Coordinate and lead the Manager’s Control Assessment process as well as Continuity of Business Plan within ICG Risk
- Support ICG Risk Talent Management planning strategy with input on effectiveness of risk managers’ engagement and accountability in managing the controls framework
- Assess, evaluate, and validate controls through processes and tools such as the Manager’s Control Assessment (MCA), Key Risks Indicators (KRIs), and the AsPac electronic Departmental Control Functional Checklist (eDCFC) process and work with the process owners to develop action plans to remediate the weaknesses
Controls Officer
06/2010
-
05/2016
Phoenix, AZ
- Excellent team management and communications skills with the ability to manage remote teams
- A strong background in a risk/audit function within a financial institution
- A successful track record in a matrix organisation, encompassing functional and geographic diversity
- Assisting and supporting the ABC Regional Head for UK MEA, as part of Deutsche Bank’s 3 Lines of Defence (3LoD) programme, and in collaboration with the Anti Financial Crime (AFC)/ABC Risk and Control Officers
- Acting as a primary point of contact and escalation for advice, relating to compliance with Deutsche Bank’s ABC policies and procedures, including the engagement of business development consultants, gifts, entertainment and business events and hiring practices
- Designing an integrated control framework, covering bribery and corruption risks and contributing to global ABC’s global risk & controls framework
- Acting as an active interface between AFC’s Risk & Control function, the Divisional Control Officer functions (DCOs) and other Infrastructure Internal Controls functions (ICOs)
- Assisting and supporting the ABC Regional Head for UKMEA, as part of Deutsche Bank’s 3 Lines of Defence (3LoD) programme in collaboration with the Anti-Financial Crime (AFC) / ABC Risk and Control Officers
- Acting as a primary point of contact and escalation for advice relating to compliance with Deutsche Bank’s ABC policies and procedures, including the engagement of business development consultants, gifts, entertainment and business events and hiring practices
Project Controls Officer / Project Assistant
07/2007
-
05/2010
Phoenix, AZ
- Business Recovery Coordinator, responsibilities include ensuring compliance with Citi’s Continuity of Business programme, Business Impact Analysis, Business Recovery Plan and Testing for the relevant
- A proven track record in developing and implementing risk frameworks
- Experience in implementing risk management tools and rolling out associated training
- A professional appearance
- A proven track record in operating a measurements based culture, leading to continual improvement
- Excellent written and presentation skills with a strong analytical ability
- Strong project management and organisational skills, with the ability to reprioritise as the situation demands
- A results-based work ethic, with the ability to work under pressure in a high performance environment
Education
Kennesaw State University
2001 - 2006
Bachelor's Degree in Risk Management
Professional Skills
- Strong interpersonal skills and the ability to build excellent working relationships with the business
- Excellent MS Office skills, including PowerPoint, Access, and Excel
- Proven executive presentation skills including the ability to communicate risk posture clearly and concisely
- Demonstrated experience on significant design engineering projects
- Very Strong analytical and data analysis tools with experience in handling larger data sets
- Effectively manage and prioritize multiple projects simultaneously and work successfully under time pressures
- Proven experience working with Custody and Fund Services products and markets
How to write Controls Officer Resume
Controls Officer role is responsible for communications, presentation, training, finance, credit, security, trading, planning, reporting, design.
To write great resume for controls officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Controls Officer Resume
The section contact information is important in your controls officer 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 Controls Officer Resume
The section work experience is an essential part of your controls officer 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 controls officer responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular controls officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Controls Officer resume experience can include:
- Solid capability in understanding Business line(s)’ business strategy, needs and technology
- Strong understanding of risk assessment methodologies and standards with expectations to track risks and manage
- Experience of working in a control management team (i.e. Front Office Controls, Audit, Risk, Compliance) within financial services
- Excellent attention to detail, delivered at speed
- Strong ability to work and communicate with diverse groups of people in different cultural, functional and geographical areas
- Designing an integrated control framework, covering bribery and corruption risks and contributing to global ABC’s global risk and controls framework
Education on a Controls Officer Resume
Make sure to make education a priority on your controls officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your controls officer 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 Controls Officer Resume
When listing skills on your controls officer 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 controls officer skills:
- Strong command of both Japanese and English is required to be able to effectively communicate with both local regulators and global leadership
- Effectively communicate progress and challenges to senior management, including identifying solutions
- Applies S&P internal controls and effectively communicates around S&P’s internal control framework, policies and procedures
- Effectively communicates around S&P’s internal control framework, policies and procedures
- Understanding of the Japan regulatory framework and experience with the practical application of regulations
- Recent industry experience working in an engineering consulting environment
List of Typical Skills For a Controls Officer Resume
1
Skills For In-business Controls Officer Resume
- The ability to analyze and provide a credible assessment of the effectiveness of the internal
- Experience working with Project Management software highly desirable
- Experience in Buildings market sector highly desirable
- Consolidate and process information from multiple sources to create meaning insight and reporting for stakeholders
- Group Effectiveness & Communication
- Experience in Financial Services preferably within a control or compliance function
- Understanding of the market, credit and operational risks operating facing trading and banking business
- Overseeing the execution of the control model within the context of the firm’s global compliance mandate
2
Skills For Risk & Controls Officer Resume
- Working knowledge of AS4817
- Risk assessing the Group’s branches & affiliates regarding non-compliance issues through a permanent risk oversight
- Oversee documentation, tracking and closure of Action Plans in the firm’s risk reporting system (FORCE) across all global Compliance matters
- Knowledge of the regulations governing the business as well as market practices used to supervise these businesses
- Commercial awareness and product knowledge of complex trading products
- Knowledge of control frameworks and control testing
- Knowledge of pricing and valuation of investment instruments
3
Skills For Avp-embedded Controls Officer Resume
- Manage complex, critical and dynamic environment where work tasks vary and processes are changing
- Detail-oriented to conduct comprehensive supervisory reviews
- Liaise with internal audit and compliance
- UCITS ( Undertakings in Collective Schemes)
- AIFMD (Alternative Investment Fund Managers Directive)
- Plan, coordinate, and execute the Bank’s annual/ongoing SOX 404 compliance internal control assessment project. Evaluate the design of internal control activities, maintain and update key controls, ensure SOX documentation reflects a high level of quality
- Coordinate and facilitate the annual external audit of the Bank’s SOX 404 internal control assessment with the Bank’s independent auditors and regulators
- Communication with the Board of Directors Audit Committee about internal controls, programs and any issues, including deficiencies and remediation plans. Prepare management’s quarterly/annual assessment of the effectiveness of internal controls over financial reports for senior management review and approval
4
Skills For Project Controls Officer Resume
- Support/lead in trouble shooting and unlocking key control / risk related issues, making sense out of ambiguity and drawing on knowledge of the function and other group wide initiatives to make sound judgments
- Support the development and implementation of appropriate governance and reporting structures that provide insightful reporting and oversight on the maturity of all aspects of compliance and risk & control profile across business areas
- Mature the control framework and, where necessary, advise on remedial actions to fix control issues to ensure compliance with Group Policies and External Regulations
- 6 – 8 years’ experience in a banking environment
- Experience in General Inspection/Audit/Controls in complex global financial services organization
- Support local management’s internal governance, including key risk oversight and reporting, tracking completion of control related actions
- Provide insight into current control effectiveness by analysing business risk and performance indicators, weighing up the cost vs. risk of each control. This includes benchmarking against external industry standards, then recommending and designing solutions to improve the control environment
- Support local management during regulatory inspections and with any regulatory requests
5
Skills For Internal Controls Officer Resume
- Help develop forward looking metrics to predict emerging trends and themes, preventing issues before they occur across the customer journey (on-boarding, customer lifecycle management through to exit). Where possible, identify and oversee the deployment of automated controls to reduce cost and increase customer satisfaction
- Work with stakeholders (e.g. Risk, Financial Crime, Compliance, Audit and Business senior leadership) to ensure that there is adequate governance around implementing new Compliance, Risk and Financial Crime policies and procedures
- Conduct current state assessments, presenting findings and recommendations, negotiating changes in control SLA’s and leading implementation plans
- Provide training (as required) on Barclays Enterprise Risk Management Framework (ERMF) and the Barclays Control Framework (BCF)
- Awareness and execution of Control Self-Assessment (MCA – Manager’s Control Assessment)
- Highly productive/Gets things done
- Demonstrated relevant work experience in a Business Analyst, Program/Project Management, Technical Lead or similar role preferably in Identity & Access Management (IAM), Information Security, or Cybersecurity
6
Skills For Oversight & Control CCB Controls Officer Manager Resume
- Lead individuals and projects and experience with executive presence
- Excellent interpersonal skills, written skills and strong, broad-based communications skills - ability to discuss range of topics with a variety of business managers from operations through executive and build strong working relationships
- Working knowledge of scheduling software tools such as Primavera P6 or Microsoft Project
- Relevant qualification highly regarded
- Agility and flexibility to meet deadlines
- Strong communication abilities with well-developed report writing skills and presentation skills, including self-organization, planning and project management abilities
- Form and debate an opinion and constructively challenge stakeholders at all levels
- Awareness of all aspects of Conduct and Operational Risk, and the ability to apply this within a Financial Services context
- Establish their own network and identify colleagues with whom it is appropriate to collaborate with across different business functions / areas
7
Skills For Cib-iam Controls Controls Officer Manager VP UK Resume
- CIA, CPA, ACA or equivalent qualification from Audit / Risk or relevant Business background
- Project Portfolio Governance
- Meet deadlines and resistance to stress
- Knowledge of the asset management industry is an advantage
- Work with the Bank’s senior management team
- Highly organized, flexible, proactive with the ability to adhere to deadlines
8
Skills For Finance Business Unit Risk & Controls Officer Resume
- Manage and drive technology risk management projects
- Review team member’s performance and provide performance assessment and feedback
- Update the KRI results through KRI Manager / testing results and ensure any resulting Issues / CAP’s are raised accordingly. Work to ensure that any corrective actions arising from these reviews are tracked
- Strong affinity with Accounting
- Knowledge of IFRS/ SII Insurance Investment Accounting
- Work to become a ‘CASS Champion’ – become a point of contact for any CASS related queries
9
Skills For Functional Controls Officer Resume
- Conduct meaningful analyses of the Firm’s internal and Third Party Provider portfolio and prepare reports to senior management on a consistent basis which includes - summary findings, identifying trends, drawing conclusions
- Operational Risk Management, including Risk and Control Self-Assessment (RCSA) process
- Front to Back framework of controls
- Governance, Policies and Standards
- Conduct Risk & Conflicts of Interest
- Financial management
10
Skills For Cib-business Controls Officer Resume
- 3) Control & Governance
- Reporting to the Senior Manager, TDS –UK, the Controls Officer is responsible for executing TDS desk top controls in and accordance with documented policies and procedures to ensure that trustee/depositary’s oversight obligations in respect of the fund are discharged in compliance with UK and EU regulations
- At least five years relevant working experience in the financial industry
- General support
- FCA COLL Rules
- FCA FUND Rules
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