Risk Control Specialist Resume Sample
Work Experience
- Support senior Risk Managers with the management and coordination of effective delivery of high quality, cost effective, pragmatic and business driven IT Risk services across the CIO area
- Build relationships with IT & Business stakeholders across the CIO areas to pro-actively identify issues, ensure CIO areas are effectively driving remediation activities and to continuously improve IT Risk services
- Provide control commentary into IT Risk reporting on key services, audit, risk and regulatory issues and attend any appropriate IT and Business Risk committees. Ensure that the IT Operational Risk metrics, assessments and reporting are in line with the expectations of the UBS Group and that they are supplied with the correct data and that effective risk
- Undertake proactive thematic risk reviews in order to proactively identify risk issues and act as an SME reviewer of technical risk assessments covering the functional area
- Liaising with internal and external auditors
- Liaising and partnering with our IT ORM peers covering other CIO areas, as well as Information Security and Legal & Compliance organisation to ensure complete risk profile understood
- Build relationships with IT & Business stakeholders across the CIO areas to pro-actively identify issues, ensure the Application Delivery area is effectively driving remediation activities and to continuously improve IT Risk services
- Support senior Risk Managers with the management and coordination of effective delivery of high quality, cost effective, pragmatic and business driven IT Risk services
- Build relationships with IT & Business stakeholders to pro-actively identify issues, ensure technology division is effectively driving remediation activities and to continuously improve IT Risk services
- Liaising and partnering with our IT ORM peers, internal and external auditors, as well as Information Security and Legal & Compliance organisation to ensure complete risk profile understood
- Experience in the financial services industry, preferably in Risk Management (e.g. Credit Risk, Market Risk, Treasury Risk or Operational Risk) and/or Operations (Settlements, Payments, etc.)
- Excellent skills in Microsoft Office tools and programming in VBA
- Excellent English language skills, in both writing and speaking
- Thorough, but pragmatic work style, demonstrating diligence and attention to detail
- Strong organizational skills, responds well to pressure with the ability to adhere to tight deadlines and meet client needs
- Personal integrity, given the criticality and sensitivity of the information involved
- Provide second line of defense oversight for the Investment Banking Information Technology function
- Undertake proactive thematic risk reviews in order to proactively identify risk issues
- Pro-actively identify issues, ensure technology division is effectively driving remediation activities and to continuously improve IT Risk services
- Provide control commentary into IT Risk reporting on key services, audit, risk and regulatory issues and attend any appropriate IT and Business Risk committees
- Partner with our IT ORM peers, internal and external auditors, as well as Information Security and Legal & Compliance organisation to ensure complete risk profile understood
- Design and implement Control risk assessments for deep dive reviews and ensure adherence with the Risk and Control Assessment framework: Work closely with the regional Control leads to deliver relevant and accurate risk assessments
- Advise and assist in mitigating risks that arise from weakness, errors and external event demands (Audit/Regulatory), in partnership with the division
- Instil a control mind-set across the organisation, ensuring that control focus is prominent
Education
Professional Skills
- Strong written and interpersonal communication skills, thorough but pragmatic work style, demonstrating diligence and attention to detail
- Outstanding interpersonal relationship building skills
- Critical thinking, ability to capture enterprise view and team building skills
- Demonstrated ability to effectively manage your day and meeting expectations
- Proven experience in client service (ideally in Banking) and relationship
- Experience with running/managing projects with flow diagrams, PowerPoint and SharePoint
- Valid California Driver’s License, driving record in good standing, and daily use of a personal automobile for business travel
How to write Risk Control Specialist Resume
Risk Control Specialist role is responsible for english, analytical, programming, design, finance, presentation, security, credit, training, integration.
To write great resume for risk control specialist job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Risk Control Specialist Resume
The section contact information is important in your risk control 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 Risk Control Specialist Resume
The section work experience is an essential part of your risk control 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 risk control 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 risk control specialist position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Risk Control Specialist resume experience can include:
- Excellent analytical skills, good and convincing communicator
- Excellent risk assessment and evaluation skills
- Keeping their own skills updated with new developments in their field
- Process orientation design and assessment skills including methodologies such as ITIL, Lean Six Sigma
- Prior experience working in a Valuation group, Risk group, or some other control function within an Investment bank
- Responsible for evidence gathering and validation for issue remediation and Audit/MAR-SOX/Regulatory requests
Education on a Risk Control Specialist Resume
Make sure to make education a priority on your risk control specialist resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your risk control 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 Risk Control Specialist Resume
When listing skills on your risk control 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 risk control specialist skills:
- Strong analytical skills-Previous business analysis experience in Risk Control in finance services industry
- Effective problem solving/investigation/analytical skills and decision making capability
- Define the nature and extent of evidence required to demonstrate appropriate control design, implementation and operating effectiveness
- Strong problem solving skills with an analytical, open mindset
- Coordinate with MAR/SOX team to identify evidence requirements and prepare appropriate plans to obtain and validate evidence on an ongoing basis
- Good project management, planning, and organization skills
List of Typical Experience For a Risk Control Specialist Resume
Experience For IT Risk & Control Specialist Resume
- Proven work experience in Risk Management area
- Good knowledge of security technology, access control, CCTV systems, alarm systems and fire prevention
- Project experience in security area
- Strong academic background in a Finance related area or in Mathematics, Physics, or Statistics
- IT Risk Management / IT Audit experience with certification such as CISM, CRISC or similar an asset but not essential
Experience For Risk & Control Specialist Resume
- Technical and / or specialist experience in a related function, e.g. Research, Economist, Risk Officer or Finance areas
- Demonstrated ability to take initiative and drive projects to completion
- Investigating, tracking and driving remediation of any issues identified in the monthly RADAR report
- Creating reports basing on external and internal stakeholder’s requirements
- Assist marketing agents in securing and retaining business
- Support the monthly budget forecasting and three year strategic planning
- Perform local / regional control processes to ensure all Trading Activity is monitored and consistent with defined trading mandates and risk limits
Experience For Claims Risk & Control Specialist Resume
- Contact clients using GoToMeeting to provide tutorials of their websites, verify assessment information, build relationships, and prospect client visits
- Contact clients using GoToMeeting to provide website tutorials, verify assessment information, and answer safety related questions
- Delivery of GDBS and Local Business Unit/function mapping
- Support management reporting and sign off procedures (Audit & Risk Committee, Risk Management Committee)
- Sound understanding of financial markets and investment products such as equities, bonds, mutual funds, structured products and hedge funds
- Pro-active working approach and willingness to go the extra mile to support the team
Experience For Senior Risk Control Specialist Resume
- Knowledge of Loss Control & Safety regulatory requirements including, but not limited to, OSHA, ANSI, NYFD, NYCDOB, etc
- OSHA Construction 500/502 Outreach Training Certified Recommended
- Basic understanding of property and casualty insurance and OCIP/CCIPs
- Conceptual understanding of quantitative and qualitative risk management techniques and financial mathematics
- Co-ordination, delivery & execution of global sector reviews, ensuring timely delivery of a high ‘value added’ quality product
- Understand how to influence company culture and leadership behaviors with the goal of assisting clients in the journey to zero incidents
Experience For Divisional Risk & Control Specialist Resume
- Ensure all breaches are thoroughly investigated, understood, documented and promptly escalated to Management according to policy
- Conduct ergonomic evaluations using an online ergonomic evaluation form
- Collaborate with the risk control web master to ensure web page content is current and engaging
- Coordinate and manage a learning management system for clients
- The understanding that we work with our Willis Values in mind
- Maintain local and regional relationships with all major trading partners
- Prepare and conduct basic safety and loss prevention training courses on limited topics
- Assist Technology management with issues and actions plans, to ensure risk remediation activities are being addressed in a timely manner
- Conduct property valuations utilizing industry standard software
Experience For Global Documentary Services Risk & Control Specialist Resume
- Prepare and present loss control reports to the board of directors that detail ongoing loss control activity
- Also accountable to the internal and external customers being served
- Compile and provide analysis of key management data, including ability to process & prepare senior management reports, monthly, quarterly and on ad hoc basis
- Advise on Roles & Responsibilities and other risk policy amendments, including maintenance of delegated Credit Risk and Market Risk authorities
- Take part in managing operational risk and audit items across their lifecycle
- Get involved in the processing of Credit Reviews
- Act as liaison between internal and external Audit and the client, and co-ordinate audits on behalf of TDI TS and WTS from planning through to remediation
- Problem solving Citi is an equal opportunities employer
- MBA or Masters in accounting, business, or information technology
Experience For FIA Risk Control Specialist Resume
- Sound knowledge of IT outsourcing regulatory requirements, controls and governance
- An understanding of Citi’s management structure, its businesses and governance structures is an advantage
- Basic understanding of KYC
- Computer data and word processing technology and applications
- Follow a disciplined approach to ensure that the team objectives are met and implemented by both Control and Ops/Corporate Service teams
- Proactively question and challenge the divisional teams to identify areas of potential weakness
- Establish and maintain strong relationships with the divisional teams and its management to build an effective partnership to reduce risks across the organization. To understand and implement standards, contribute to the practical design of controls and monitor their application
Experience For Assistant VP Global Markets Valuation & Risk Control Specialist Resume
- Active involvement in weekly/monthly risk & control calls to ensure risks identified are appropriately escalated and proactively investigated to ensure timely resolution
- Support the business in relation to any ad-hoc crisis action plans or responses
- Provide guidance to senior stakeholders within Risk Methodology with respect to operational risk management. Support the Chief of Staff function in opening, tracking and closing of audit and regulatory issues
- Take ownership for the preparation of Risk Methodology committee meetings and support senior staff with the preparation of agendas, the collection of committee material and the meeting minutes
- Support the Chief of Staff in various tasks of daily operations (e.g. headcount tracking, hiring strategy or the organizational set-up of the Risk Methodology team) and in implementing and maintaining adequate processes and tools
Experience For Risk & Control Specialist Senior Resume
- P&C – Delivery, Development
- Enterprise Operational Risk Management
- Sales and Service Divisions
- Support the analysis of issues and risks to identify root causes, triggers and help understand the complete regulatory impact
- Respond to the queries from Corporate Audit Division (CAD), and 2nd line, as needed, in the context of PRC/Application testing, review of technology controls, and CAD retest readiness for remediated control deficiencies
Experience For Traded Risk Control Specialist Resume
- Test key technology controls on an annual basis, ensure that test results are documented, verifiable, transparent, re-performable and provide the assurance that technology controls are designed and operating effectively
- Demonstrate expertise in dealing with technology organization, within TBCG, and key stakeholders (Risk Management, Compliance) on topics related to PRC/Application framework
- Performing a number of key IT control procedures
- Performing risk and control assessments across a wide number of IT specialisms
- Assisting with the maintenance of a number of documents
- Working together with colleagues to coordinate external audit activities across the Bank’s IT functions
- Provide advice on PRC/Application framework, based on learnings from testing and as it applies to the technology organization
List of Typical Skills For a Risk Control Specialist Resume
Skills For IT Risk & Control Specialist Resume
- Strong leadership and stakeholder management as well as influencing skills
- Solid communication (written, oral and presentation) skills with the ability to understand complex information and summarize in a clear, concise fashion
- Strong analytical skills with the ability to collect and analyze significant amounts of information
- Apply best practices and effectively manage emerging risks
- MS Office skills including
- Facilitate the development and implementation of controls or mitigants to ensure operational risks are effectively managed and/or controlled
- Demonstrated industry and regulatory knowledge gained through experience and relationships
Skills For Risk & Control Specialist Resume
- Proven experience in Process Development / Change Management
- Expert knowledge and skillset in audit standards, procedures, ITGCs and application controls
- Experience working in a team; sharing information and ideas and developing & maintaining relationships
- Experience with managing and extracting management information out of large data sets
- Experience processing electronic recommendations, summaries, meeting agendas and Excel spreadsheets
- Exercise good judgment in appraising situations and making decisions
- Establish and operate monitoring activity to provide early warning of potential control defects
- Assist in production of IB CRO Operating Committee materials including the Balanced Scorecard (Organizational Effectiveness, Productivity and Control metrics)
- Good understanding of the following CISSP certification domains
Skills For Claims Risk & Control Specialist Resume
- Good understanding of Windows, IT Operations, enterprise collaboration, messaging, remote access and mobile technologies
- A good understanding of IT processes and governance
- Experience working within a fast pace dynamic environment
- Conduct effective training to employees and clients
- Lack of ability on prioritisation, urgency and problem solving
- Has experience in remediation planning and execution
- Experience working in an investment bank
- Construction and Manufacturing Segment experience
- Experience in SLA Management and reviewing KPIs
Skills For Senior Risk Control Specialist Resume
- Experience utilizing Microsoft Excel, Word, and web-based programs
- Demonstrate capability through expert knowledge and understanding of the bank’s PRC framework, Application controls, methodologies and processes
- Good understanding of Risk Management and Information Security Management
- Experience of working within a technology organization
- Familiar with key risk concepts and measures across asset classes-Good knowledge of IT and banking processes-Motivated and be able to work independently
- Understand complex issues quickly and set priorities according to technical and strategic considerations
Skills For Divisional Risk & Control Specialist Resume
- Ability/experience operating in functional global teams
- IT Audit (internal or external) experience, preferably in a financial institution setting
- Some relevant experience within an IT Audit, Assurance or Risk and Controls role
- Conduct effective risk control and safety training to client members and public agencies
- Lack of ability to communicate and co-ordinate with different stakeholders in an effective way
Skills For Global Documentary Services Risk & Control Specialist Resume
- Very good communicator (English level – C1) with the ability to work in a team
- Experience in a safety-related position; background in Insurance Risk and/or Loss Control
- Experience likely built over the past 2-3 years
- Risk control or safety experience
- An understanding of operational risk management and implementation in practice or have a strong interest to develop expertise in this area
- Experience in IT risk management, compliance or audit
Skills For FIA Risk Control Specialist Resume
- Experience training employees, supervision and leadership on various high level safety and risk topics
- Understanding of the banking industry risk appetite, policy, reporting structure, procedures and processes
- Outstanding interpersonal relationship building
- Commanding understanding of bank’s PRC/Application framework
- Understanding and command over control testing requirements
Skills For Assistant VP Global Markets Valuation & Risk Control Specialist Resume
- Working knowledge of NC Building Codes and National Fire Prevention Association Regulations
- Working knowledge of building materials and construction practices
- Identifying and reporting process improvements within the scope of their work
- Acting as a single point-person for all issues, events, and programs related to audit findings and regulatory requirements
- Understanding of technology and risk management organization, landscape and disciplines
- Identifying cross-functional opportunities to secure cost and efficiency savings
- Initiating actions to change processes and procedures in the firm
- Providing standard administrative, technical, and/or professional support to senior management
Skills For Risk & Control Specialist Senior Resume
- Acting as a subject matter expert for a specific area
- Play a key role in providing the results of automated monitoring and testing via Key Performance Indicators (KPI) and Key Risk Indicator (KRI) metric reporting
- Coordinate with the IT Compliance Coordination function on preparing and delivering IT issue status reporting to senior leadership
- Certification or ability to obtain certification in order to conduct training in the following areas
- Loss control/risk management including a working knowledge of relevant statutes, standards, guidelines, and safety requirements
- Ensure Trading Mandates are vetted and signed–off by Trading and Management; changes are documented and exhaustively maintained
Skills For Traded Risk Control Specialist Resume
- Involved in coordinating and strategic planning beyond the scope of their specific area
- Conceptualize and implement appropriate tools and templates for control testing
- Produce, analyse and report risk information according to UBS Europe SE’s risk profile across risk categories
- Provide day-to-day support and consulting to CIO and TDI TS and WTS on any items related to IT Risk
- Contribute to building a proactive risk culture
List of Typical Responsibilities For a Risk Control Specialist Resume
Responsibilities For IT Risk & Control Specialist Resume
- Ensure a robust set of controls is designed and operating effectively through effective ownership, challenge, impact assessment, and evidencing
- Perform Design Effectiveness (DE) and Operating Effectiveness (OE) testing as per the defined testing approach
- Valid Driver’s License, driving record in good standing, and daily use of a personal automobile for business travel
- Skilled trainer with several years of practical experience
- Demonstrates solid knowledge of one or more areas of systems technology from a risk and control perspective
- Prior experience in a IT risk / audit function
- Develop and maintain a strong working relationship with our first and second lines of defense teams including Risk, Regulatory, Audit and Compliance
- Several years of on the job experience in security in financial or security industry
- Field experience i.e. Loss Control, Claims and or Construction
Responsibilities For Risk & Control Specialist Resume
- Strong independent work habits, ability to travel frequently
- Proven ability to collaborate with stakeholders from multiple teams
- Controls and Process testing experience
- IT experience in Financial Services Industry
- Solid knowledge of Process Risk and Control frameworks
- Loss control experience
Responsibilities For Claims Risk & Control Specialist Resume
- Establish effective working relationships with agency representatives
- Developing new reports; continuous improvements for new advanced reports and change implementation
- Understanding of quantitative risk management techniques and financial mathematics
- Maintain the testing documentation and logs, ensuring they are kept up-to-date and detailed
- Engage in all aspects of Stress loss submissions, including Balance Sheet Planning, Model Creation, Model Documentation and Model verification
- Knowledge of Loss Control & Safety procedures including but not limited to OSHA and, ANSI
- Discuss and report any potential testing issues / exceptions to appropriate teams
Responsibilities For Senior Risk Control Specialist Resume
- Ride in vehicles for extended periods when travelling for on-site visits, as well as frequent air travel
- Work independently, self-disciplined and self-motivating
- Flexibility to work from home with a designated work area free of distraction during normal work hours of 8am-5pm
- Used to international exposure and to different cultures
- Readiness to discover new fields in security
- Expertise in the field of finance / risk analysis ideally within a broad risk control or risk management capacity
- Broad specialist level knowledge of technology such as: Mainframe, UNIX, Windows, databases, network infrastructure and middleware services
- Proficient in windows and Microsoft office environments
Responsibilities For Divisional Risk & Control Specialist Resume
- Experience in the financial services industry, preferably in a regulated environment within Risk Management (e.g. Credit Risk, Market Risk, Operational Risk, Treasury Risk) / Audit
- Previous exposure to risk models in a financial institution
- Ooperative and team-oriented, while able to complete tasks independently with high quality standards
- Self-motivated, thorough and responds well to pressure, ability to adhere to tight deadlines and meet client needs
- Partnership with Research, Political & country risk, Methodology, Transaction Decision & Underwriter teams, across all ranks and across all geographic locations, to identify, define and drive out individual sector risks, including ‘non-consensus’ views
- Knowledge of the credit risk, market risk and economic measures and ability to apply new economic scenarios to these measures
- Strong written and verbal communication skills, ability to influence across all levels. Confidence and ability to articulate observations and challenge in an open forum
- Proven experience in manipulation and interpretation of data and complex information. Knowledge of Microsoft Office - Excel, Business Objects- is essential. Familiarity with UBS risk systems an advantage
Responsibilities For Global Documentary Services Risk & Control Specialist Resume
- Proven strong organisational skills, with a track record of producing quality work to tight deadlines. Ability to work independently and flexibility to deal with ad-hoc requests alongside key mandate
- Act as liaison between internal and external Audit and the client, and co-ordinate audits on behalf of CBAW TS from planning through to remediation
- Understand the Insurance Industry and coverages
- Assists in the coordination and implementation of the risk management program to meet regulatory expectations
- Develops risk expertise while working with the businesses and other risk partners (e.g., Compliance, Technology Risk, etc.) to proactively identify risk exposures across PNC
- Participates in challenging business self assessment results (including new initiatives, business as usual activities, and risk management program) and reviews applicable independent analyses
- To report and advise on the performance of the Claims Department and esure’s External Suppliers
Responsibilities For FIA Risk Control Specialist Resume
- Support and ensure activities related to key R&C programs for the region including, but not limited to Manager’s Control Assessment (MCA), Continuity of Business (CoB), Fraud Management and Audit and Country Reviews are consistent with global risk assessment objectives
- Strong ability to lead and review control risk assessments, guide test approach and analyse test results to identify control weaknesses requiring remediation action
- Embrace change and transformation to move towards the team’s targeted future state
- Remain objective and to independently raise areas of operational risk exposure, while maintaining an effective working relationship with the division and other areas within DB
- Strong ability to identify process inefficiencies, suggest improvements and implement where feasible
- Available after-hours, weekends, holidays for unexpected incidents and emergency actions
- Conduct on-site safety assessments in the areas of workers’ compensation and liability,
- Conduct client on-site safety training in areas such as injury and illness prevention, ergonomics, hazard communication, hazard identification, accident investigation,
- Provide assistance with customizing various client safety programs to ensure they are feasible, effectively implemented, and in compliance with regulatory requirements
Responsibilities For Assistant VP Global Markets Valuation & Risk Control Specialist Resume
- Write communications to apprise clients of new or timely safety information
- Write concise, creative follow up communication to clients
- Manage the appropriate level of resources for our clients
- Conduct ergonomic site inspections and make recommendations to client
- Conduct limited scope risk assessment inspections
- Responsibilities across multiple products and/or processes of medium to high complexity
Responsibilities For Risk & Control Specialist Senior Resume
- Responsible for day to day activities within the First Line Control, Risk and Issue Management function
- Develop and refine the governance model in place for the First Line Control, Risk and Issue Management function to ensure successful delivery of key services
- Develop and document related risks and controls for identified IT issues
- Conduct timely loss control surveys of the membership, identify exposures, provide members with assistance in controlling exposures and mitigating or eliminating hazards, issue recommendations and provide resource materials
- Write safety related newsletter articles
- Meet loss control standards and guidelines
- Conduct client on-site safety training in areas such as injury and illness prevention, ergonomics, hazard communication, hazard identification, accident investigation, etc
- Conduct on-site ergonomic evaluations and workplace inspections
- Works independently, and as part of a team, to identify and provide recommendations based on statistical and analytical research to improve current policies and procedures. Collects and analyzes loss data for large Farm and Personal Lines losses and creates annual reports for Management
Responsibilities For Traded Risk Control Specialist Resume
- Trains underwriters and claims in all regions on Loss Control related topics and unusual underwriting topics (overnight travel to regional offices is required to complete this responsibility)
- Provides technical and underwriting eligibility information to district underwriters, Home Office underwriters, agents and insureds. Assists underwriting, when requested, in risk selection and property appraisal
- Advanced knowledge of fundamentals of property/casualty risk assessment and control, including life safety and special hazards (sprinkler systems, cooking, manufacturing, healthcare, etc.)
- Advise Control Owners on the control design to meet control objectives and provide sufficient coverage of in scope applications and supporting infrastructure
- Solve complex and challenging problems and follow up actions on identified Risks
- 5) Support the analysis of issues and risks to identify root causes, triggers and help understand the complete regulatory impact
- 6) Respond to the queries from Corporate Audit Division (CAD), and 2nd line, as needed, in the context of PRC/Application testing, review of technology controls, and CAD retest readiness for remediated control deficiencies