Operational Risk Controller Resume Sample
Alanna Nienow
41829 Windler Trafficway,
Houston,
TX
+1 (555) 985 5724
Work Experience
Senior Operational Risk Controller
08/2015
-
PRESENT
San Francisco, CA
- Proactively supervise the identification, assessment, measurement, mitigation and monitoring of operational risk in the assigned portfolio and escalation of high and critical risks
- Providing an independent and objective assessment of Operational Risk arising in the firm
- Assessing the integrity of each functions process to identify OR and the adequacy of the functions OR management techniques employed
- Assessing whether functions have set clear standards and responsibilities where business processes cover multiple functions
- Escalating all high and critical operational risks
- Providing independent review on both internal and external events
- Raising awareness within the asset manager of the importance of our approach to operational risk, as part of the aspiration to embed it into it's culture
Operational Risk Controller
08/2008
-
04/2015
Detroit, MI
- Independent oversight of the functions and controls relevant for liquidity and funding, capital and balance sheet utilization for our US operations
- Delivery of an operational risk assessment scoped for the US combined operations in line with our Operational Risk Framework
- Design and execution of oversight processes focused on limit management/ utilization and model assumptions, including through day to day engagement with other functions responsible for these controls
- Co-ordination with the C&ORC team completing independent management testing for the IRF to understand their test plan, the status of testing, identified control issues and remediation plans
- Lead collation of the final IRF reports and presentation through US governance committees
- Assess the effectiveness of management's processes to identify, assess, record, manage and remediate OR both functionally and on a front-to-back basis
- Become a Subject Matter Expert for a range of OR types overseen by Corporate Centre Risk control, using this knowledge to: (i) ensure the correct controls, issues and events are correctly mapped in internal OR systems, and (ii) identify control gaps and propose solutions
- Reporting and/or escalation of the exceptions identified to the funds or management companies’ board of directors
- Preparation of reports for the funds or management company’ board meetings
Operational Risk Controller Global Asset Management
08/2002
-
03/2008
Houston, TX
- Review and approve the function’s approach (including ongoing significant changes) to internal controls assessments
- Ensure LEC’s have reported key control issues (e.g. GLAO/SOX/Control Improvement Points/Operational Loss) through FWS and Pune Process Performance Monitoring Report
- Post-qualification experience
- Risk Assurance/Advisory (i.e. Internal Audit, SOX 404 etc)
- Investment Banking Experience required
- Assist in developing and implementing risk governance, policies, principles and standards for operational risk management within all China branches
- Partner with the business and support units across all China branches in implementing relevant operational risk governance, policies, standards, tools and methodologies to identify and assess key operational risks
- Provide advice and guidance to branches and units under his/her coverage on operational risk matters including risk management structure and processes, tailoring of Group policies, where applicable for location adoption
- Independently assess key operational risk issues, monitor effectiveness or operational risk management and provide timely risk analysis and reporting to senior management via the various OR tools and firm-wide ORM system
Education
University of Phoenix - Vancouver Learning Center
1997 - 2001
Bachelor's Degree in Management
Professional Skills
- Demonstrate a strong knowledge of internal control design, traded product front-to-back processes, cross product support (incl. roles and responsibilities) and risk management principles
- Provide oversight and independent challenge to ensure all compliance, conduct and operational risks (OR) are understood, owned and managed to the firm's risk appetite
- Strong written and verbal communication skills with the ability to covey complex issues succinctly to non-technical persons; report writing for senior audience
- Strong business analysis and problem solving skills. Ability to easily manipulate and analyze broad range data
- Strong capital markets/ treasury/ asset liability management experience
- Strong market and credit risk experience
- Exceptional management and communications skills
How to write Operational Risk Controller Resume
Operational Risk Controller role is responsible for english, events, design, reporting, analysis, equities, trading, auditing, credit, finance.
To write great resume for operational risk controller job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Operational Risk Controller Resume
The section contact information is important in your operational risk controller 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 Operational Risk Controller Resume
The section work experience is an essential part of your operational risk controller 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 operational risk controller responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular operational risk controller position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Operational Risk Controller resume experience can include:
- Identify and escalate internal and external systemic operational risk issues/emerging trends across businesses, whilst ensuring that there are appropriate preventive/detective controls in place
- Assist in apprising senior management and/or board level risk committees of the overall operational risk profile and issues, including ‘hot spots’, key risk areas, loss trend analysis and key control remediation initiatives, etc
- Ensure the OR framework is applied effectively
- Assist in promoting risk and control awareness through training, sharing of best practices and lessons learnt
- TRC acts as the primary 'second line of defence' for liquidity and funding risk and oversees all Treasury risk-taking activities
- Help monitoring the Orus pending issues resolution and action plan deployment
Education on an Operational Risk Controller Resume
Make sure to make education a priority on your operational risk controller resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your operational risk controller 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 Operational Risk Controller Resume
When listing skills on your operational risk controller 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 operational risk controller skills:
- Advise business on their effectiveness in maintaining a sound risk management framework
- Legal, regulatory, compliance and/or risk experience in the financial services industry; particular to a US banking firm
- Background in control evaluation/ operational risk with experience of front office engagement
- Experience with operational risk frameworks and risk assessment methodologies
- Ensuring that correct Reconciliation Standards are applicable to PSFT accounts
- Involvement in resolving ownership dispute. Discussions with Account owners and understanding the rationale of dispute
List of Typical Skills For an Operational Risk Controller Resume
1
Skills For AVP, Operational Risk Controller Resume
- Manage and conduct formal risk assessment processes and ongoing independent oversight of risk taking activities
- Ensure that PSFT Account opening process consist of details required as per Global agreement
- Conduct GLAO training sessions for users as and when required
- Ensure timely reporting to senior management
- In-depth understanding of the regulatory environment of US Banks, particularly with the FDIC or OCC
- Support delivery of the Independent Review Function for Liquidity & Funding (IRF), a US regulatory requirement (Regulation YY S252.156)
2
Skills For Senior Operational Risk Controller Resume
- Assess the integrity of management's processes to identify, assess, manage and remediate OR both functionally and on a front-to-back basis
- Become a Subject Matter Expert for a range of OR types (particularly for treasury risk), using this knowledge to: (i) ensure the correct controls, issues and events are correctly mapped in internal OR systems, and (ii) identify control gaps and propose solutions
- Monitor resolution of significant OR and provide advice to the functions on remediation activities
- Become a Subject Matter Expert for a range of OR types (particularly for market and credit risk), using this knowledge to: (i) ensure the correct controls, issues and events are correctly mapped in internal OR systems, and (ii) identify control gaps and propose solutions
- Ensure smooth and timely Account Ownership sign off completion in GLASS tool on a monthly basis
- Ensure that monthly reconciliation templates are made available for review by Group Finance
- Detailed reconciliation breaks reviews after GLASS close. Ensure that break has been understood thoroughly with respect to IT issue, downstream issues, timing differences etc
3
Skills For Operational Risk Controller Global Asset Management Resume
- Ensure that an appropriate commentary is provided by owners for monthly MIS reporting
- Ensure correct break grouping is applied e.g. Historical/aged breaks to be categorized accordingly
- Co-ordinate with PC Ops Risk and GROUP Ops Ops Risk teams to ensure the breaks in their departments are reviewed appropriately
- Ensure monthly Regional/GLOBAL Account Ownership report is accurate and all the material breaks are covered for discussions with LEC’s
- Ensure adherence of GLAO policy
4
Skills For Operational Risk Controller Foreign Exchange Resume
- Quality Assurance Reviews for Group Finance and CFO Other department
- Release QAR ratings based on discussions with Account balance owner and judgments
- Comply with the annual targets
- Support departments such as Corporate Real Estate and Services (CRES) and Tax
- Other regional Operational Risk and Control teams
5
Skills For Market & Credit Risk Operational Risk Controller Resume
- ORC IT department for GLAO system
- Self- starter with a track record of success and progression
- Technical expertise in treasury and asset/ liability management; and
- Background in control evaluation/ operational risk control
- Help us meet our risk assessment and corporate governance requirements
- Identify and remediate control deficiencies
- Partner with colleagues from different functions to meet tight and unexpected deadlines
6
Skills For Operational Risk Controller Equities Resume
- Help review and evaluate the adequacy and effectiveness of liquidity risk management processes for our US operations, including assessment of compliance with applicable laws, regulations, supervisory guidance and sound business practices
- Support the Head of the IRF to provide oversight of the functions and controls relevant for liquidity and funding, capital and balance sheet utilisation for our US operations
- Aid completion of an operational risk assessment scoped for the US combined operations in line with our Operational Risk Framework
- Engage daily with the functions responsible for execution of certain controls, including limit management and model review, to assess their design and operation
- Co-ordinate with the C&ORC team completing independent management testing for the IRF to understand their test plan, the status of testing, identified control issues and remediation plans
- Support development of the final IRF reports to be presented through US governance committees
- Keep abreast of industry developments, and ensure the bank’s ORM processes are aligned industry best practices
- Report to management the 1st level control result declared by operations team in Orus
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