Risk & Controls Analyst Resume Sample
Hayden Hoeger
4137 Maud Square,
Los Angeles,
CA
+1 (555) 907 9754
Work Experience
TTS In-business Risk & Controls Analyst, Dir
11/2017
-
PRESENT
Phoenix, AZ
- Exposure to global Market Risk management standards and practices
- Challenging, niche environment that is rapidly evolving with ever-increasing regulator scrutiny
- Versatile and transferable skill sets relating to risk, controls and compliance
- Lead and /or assist targeted initiatives for improvement in documentation quality with direct participation in process modelling via Blue works
- Build institutional knowledge across asset classes and systems in Market Risk so as to efficiently manage the various controls & governance activities across CRIS globally including but not limited to Risk Control Self Assessment (RCSA), BCBS239, EUDA, and other controls initiatives
- Execute and continuously enhance a KRI (Key Risk Indicator) framework that meets all Policy requirements. This framework would be executed across all FLoD functions
- Partner with other FLoD Operations Control functions to ensure consistency in strategies and execution, and the effective utilization of Staff Resources
- Prompt escalation of large spikes and anomalies in metrics data with findings from independent investigations
Risk & Controls Analyst
10/2014
-
05/2017
San Francisco, CA
- Provide support, analysis and documentation on control assessments and monitor the business mitigation action plans
- Support the coordination of controls, monitoring and documentation with Corporate Audit and Compliance
- Support communication and training of business associates throughout ACFC, including facilitating the communication and training of ACFC business associates on control terminology and process
- Help business managers to effectively execute the process in a manner which enhances overall control management capabilities
- Assist in testing and reporting the effectiveness of business controls
- Assist in the monitoring and reporting of control metrics and information and supports internal risk/control reporting including working with contributors to the report; support the analysis of mitigation details
- Conduct ad-hoc control related analyses and perform root cause analyses related to issues associated with key risks/ controls
- Assist with updating existing process and controls documentation and prepare new documentation as directed
Assistant Market Risk Controls Analyst
12/2007
-
05/2014
Los Angeles, CA
- Strong data mining and analytical skills, detail oriented and solution driven
- Proficiency in MS Access, Excel applications with basic understanding of VBA, Oracle SQL codes
- Team player with proactive work attitudes and good interpersonal skills
- Report generation and follow-up’s
- Engagement with TTS staff and functional partners across the globe
- Exposure in TTS business, ORM and other forums related to MCA
- Work across cross-functional teams and gain rich process knowledge and execution skills across the functions
- Serves as Subject Matter Expert (‘SME’) regarding regulatory and compliance issues, effectively communicating complicated financial concepts to management, peers, auditors, regulators and others
- Assist in identification of control gaps throughout specific business areas of Amerihealth Caritas Family of Companies (ACFC)
Education
Adelphi University
2002 - 2006
Bachelor's Degree in Related Field
Professional Skills
- Demonstrated work prioritization skills
- Strong control mindset with a strong understanding/experience of Market Risk ideally within a Tier 1 Investment Bank
- Time management, multi-tasking, and organization skills with strong attention to detail
- Strong problem solving and analytical skills, with a scrupulous eye for detail
- Change Agent - Ability to drive change to business practices by working effectively. Self starting with the ability to multitask and prioritize
- Uses effective communication and negotiation skills during the presentation of recommendations / corrective actions for improvement
- Demonstrated experience in meeting project/work timelines and achieving required outcomes
How to write Risk & Controls Analyst Resume
Risk & Controls Analyst role is responsible for events, finance, credit, training, database, auditing, security, benefits, analysis, reporting.
To write great resume for risk & controls analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Risk & Controls Analyst Resume
The section contact information is important in your risk & controls analyst 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 Analyst Resume
The section work experience is an essential part of your risk & controls analyst 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 analyst 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 analyst position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Risk & Controls Analyst resume experience can include:
- Demonstrates good problem solving skills coupled with sound business judgment
- Proven experience in related field, finance or audit experience
- Execute well under direction, is well organized, and can display good time management. Can adapt quickly to changing priorities or direction
- Three to five years information/engineering management or closely related experience with good references
- Demonstrated experience in internal and external auditing processes
- Tracks the status of actions assigned to the business including verifying evidence and supporting the business to implement within agreed timescales
Education on a Risk & Controls Analyst Resume
Make sure to make education a priority on your risk & controls analyst 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 analyst 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 Analyst Resume
When listing skills on your risk & controls analyst 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 analyst skills:
- Self-motivated, takes ownership of responsibilities assigned to him/her and working towards closure of issues by prioritising effectively
- Prior experience in Market Risk/ Risk reporting with a good level of knowledge on the Market Risk infrastructure in an Investment banking environment
- Develop comprehensive methods for gathering critical control testing evidence to evaluate risk more effectively
- Excellent interpersonal skills, and the ability to work both individually and as part of a team
- Good interpersonal, verbal and written skills, with the ability to present to and influence senior management
- Communicate effectively and co-ordinate work with various teams in the bank and get results
List of Typical Experience For a Risk & Controls Analyst Resume
1
Experience For IT Risk & Controls Analyst Resume
- Demonstrated ability to execute critical independent thinking in order to make sound judgments
- One to three years combined or related industry experience in IT, risk management, and/or auditing
- Works with business process and control owners to ensure controls are documented appropriately, performed as designed and remain operationally effective
- Working closely with the business to ensure issues and corrective action plans are adequate and appropriate in mitigating the risk
- Supporting the Risk and Controls Manager in the review of MCA policy updates and standard templates for applicability to Legal entities
2
Experience For TTS In-business Risk & Controls Analyst, Dir Resume
- Assists lead and senior analysts with design, implementation, testing and ongoing monitoring of key controls across the division
- Create and distribute various reporting documents
- Assist Compliance Director in the identification and evaluation of risk areas for inclusion in ongoing compliance self-assessments
- Track, monitor and provide management support for reporting on the business progress of issues, incidents and quality of risk and controls information
- Help coordinate ICG Risk’s Manager’s Control Assessment processes inclusive of the Annual Risk Assessment
- Support the business to remediate control gaps identified through self-assessments and internal / external audit
- Reviews and reports on specific control issues with escalation to the Controls (Sarbanes-Oxley) Coordinator, Finance Controller and senior management
3
Experience For Organizational Risk & Controls Analyst Resume
- Assist Group Internal and External Audit where required to understand the control environment and business processes
- Works proactively with the team to support business initiatives and projects with regard to risk and control environment
- Assist with the implementation of deep trending and predictive analysis to identify patterns, support investigations, and perform/automate control testing / validation
- Develop and execute comprehensive issue and risk based tests to validate execution of control activities remediation actions
- Manage the process to update/modify internal control framework to account for changes in key business processes
- Support oversight of issue corrections and execution plans
- Assist with annual risk assessment requirements
4
Experience For ICG Risk Controls Analyst Resume
- Assisting Legal functions in identifying and documenting their Key Operational Risks, appropriate controls and monitoring methodologies during the Annual Risk Assessment process, co-ordination of the quarterly assessment exercise to ensure timely completion by all participants, and the review and reporting of results
- Maintenance and updates of entity PRC information within the CitiRisk system
- Identification and follow up of control weaknesses identified through MCA or other sources, collaboration with issue owners in the definition of robust action plans, monitoring progress, data maintenance in the Integrated Corrective Actions Plan system, and collation/verification of completion evidence
- Analysis, preparation and tracking of cross-border clearance requests for the global usage of Legal systems/applications and transfer of business data
- Maintenance of an inventory of cross-border data transfer approvals, and identification of potential approval gaps
5
Experience For Business Risk & Controls Analyst, Cleveland Resume
- Co-ordination of data gathering exercises related to changes in Citi internal controls policies, such as the Citi Privacy and Confidentiality Policy, and identification of gaps against policy requirements
- Providing subject matter guidance to Global Legal staff across a range of Citi policies and processes, including Cross-Border Data Privacy, Continuity of Business and Records Management
- Coordinate and support all efforts relative to audit management
- Support in the execution of reviews relative to the design and effectiveness of controls for operational processes, system implementations, company policies, new products and services
- Develop and execute comprehensive project plans to ensure the collection of requested data, the communication of control changes and the delivery of all audit materials and reports are timely, complete and accurate
- Analyse review results, draw conclusions and make recommendations regarding the development and implementation of new controls as necessary
- Support annual risk assessment and present review results, findings and remediation plans to key stakeholders
- Partner with the Mercer Services business teams to conduct reviews of operational controls for specific clients or processes; develop and implement new controls as necessary
6
Experience For Assistant Market Risk Controls Analyst Resume
- Maintain extensive contact with internal business partners, MGTI, Legal Compliance & Professional Affairs, Privacy Office, Mercer Information Security & MMC Internal Audit
- Build effective working relationships with middle and senior managers, MMC Internal audit and global Internal Control colleagues
- Coordinate and support the vendor management program. Support external evaluations of sub-contractor operation controls, data protection safeguards and physical/environmental controls
- Participate in changing business practices to ensure compliance with the control environment and regulatory changes
- Lead change initiatives to enhance operational controls
7
Experience For IPB Risk & Controls Analyst Resume
- Plans and performs risk assessments of all levels of complexity using the risk management framework to identify and evaluate risks, exposure, and controls relating to business processes and service/project initiatives
- Establishes and maintains relationships with mid-level management within the business
- Leads walk-throughs with the business to obtain an understanding of the process. Documents process workflows or narratives, where none exist, and highlights the risks, controls, and potential gaps
- Communicates progress of the assessment work and concerns that arise throughout the assessment process to Enterprise Risk Management and business leadership. Keeps management informed by communicating progress, issues, concerns, and opportunities
- Provides guidance and motivation as needed to less experienced team members
8
Experience For Central Risk & Controls Analyst, Assistant VP Resume
- Reviews and ensures the accuracy of the analytical findings entered into SENTINEL by others within the division
- Works with the Core Enterprise Risk Management Team to stay current with the risk management framework and maintains current knowledge of advances in the field of risk management. Shares knowledge and champions the implementation of risk management best practices with the team
- Identifies opportunities to improve the risk management plan. Presents recommendations to manager/department head and implements solutions
- Familiarity with/interest in risk management theory and risk management concepts
- The ability to provide objective, independent thought in formal feedback
- The ability to complete a ‘to be determined’ risk management certification
- Develops effective working relationships throughout the organization. Collaborates with key contacts within and outside of the organization to conduct test work and analysis
9
Experience For Market Risk & Controls Analyst Resume
- Consults with risk partners such as Enterprise Risk Management, Information Security, Internal Audit and external Audit, Corporate Compliance, Legal and other parties to conduct test work and strengthen the control environment
- Support management in the design, implementation, and/or performance of a controls testing program, including the use of data analytics or quantitative methods
- Assessments supporting the lead and senior risk and control analysts
- Special compliance assurance engagements in the areas of SOC1/SOC2 and cybersecurity requirements
- The implementation and execution of team level or leadership reports
- Entry-level to intermediate level knowledge of internal control theory and practices, and IT Audit Techniques
10
Experience For Senior Risk & Controls Analyst Resume
- Under the leadership of the VP Control Governance and Strategies – FLoD, execute and enhance a governance structure to ensure Business Partners and Leadership are engaged, understand risks associated with the current risk and control environment, and execute strategies to ensure mitigation of risks
- Execute updates to RCSA for Operational Loss events, ensuring appropriate root cause analysis, and allocation of these losses to the appropriate RCSA
- Work closely with the Central Office team to update and maintain various spreadsheets, databases, and SharePoint sites
- Attend various meetings and record minutes for review and distribution
- Assist in the coordination of events such as meetings, workshops and conferences
List of Typical Skills For a Risk & Controls Analyst Resume
1
Skills For IT Risk & Controls Analyst Resume
- Strong client focus – ability to operate at prime customer contact level typically at senior manager/director level
- Global mindset and proven record of leadership experience in operational risk
- Experience in a related operational risk or audit role, with direct experience of risk identification, management and remediation
- Advanced Microsoft Excel skills, with the capability to analyse complex datasets
- Develop and complete operational self-assessments and issue closure validations of varying complexities by applying standard auditing practices
- Effective engagement with other functional groups like BIA, Conformance Testing, Risk Oversight etc
- Experience of process and control documentation, including flowcharts
- Perform and lead operational reviews to assess compliance, effectiveness, and efficiency of processes, policies and procedures
2
Skills For TTS In-business Risk & Controls Analyst, Dir Resume
- Effective communication with Risk Management seniors and across functions
- Experience with application support or development
- Manage multiple tasks, prioritise and escalate
- Combined experience in internal or external auditing
- Exposure to internal controls policies and standards, and experience in driving organisational compliance
3
Skills For Organizational Risk & Controls Analyst Resume
- A strong personality who can cope with occasional resistance from other teams
- Supporting GLS and the wider Legal Organisation in the planning, execution and monitoring of the Manager’s Control Assessment program (MCA)
- Willing to challenge existing processes in a tactful manner
- Understanding of control frameworks and analysis, knowledge of Sarbanes-Oxley (SOX) requirements beneficial
- Participation in controls-related projects affecting the Legal organisation, including data-analysis and reporting exercises
- Occasionally attend off hour (early morning and evening) conference calls with Europe and APAC regions
- Shared Service for all Reporting and MI. (CRIS)
- Cards Models Development, including a new Risk Data Strategy & Governance team
4
Skills For ICG Risk Controls Analyst Resume
- Knowledge and understanding Barclays policies (GIS, Resilience, Data Privacy)
- Process instructions and successfully execute on projects from start to finish, meeting critical deadlines
- Drive process improvements, working in partnership with a global team
- Supports regular reporting as part of the overall Governance Framework (Committees, Boards and Zurich Group functions)
- Competent user of Microsoft Office applications, including Visio
5
Skills For Business Risk & Controls Analyst, Cleveland Resume
- Execution of quarterly internal control assessments and weekly reporting function to key stakeholders
- Perform detailed review of critical control testing
- Execute control reporting to monitor for potential breaks
- Provides peer review of colleagues’ operational review observations and identified issues
- Clearly documents all findings and communicates results of operational reviews
- Interface with various level of management on operational review findings, recommendations, and corrective action plans
6
Skills For Assistant Market Risk Controls Analyst Resume
- Standards and methodologies for all risk modelling across Barclays. Lead capital and impairment model development as well as business model development for our Cards, Retail and SME businesses
- Good in-depth knowledge of risk and control frameworks and management within the financial services industry
- Fraud Analytics supporting Cards and Retail. This also includes Model Monitoring across Barclays Risk and a newly formed Financial Crime analytics team,
- Quantitative Analytics: Wholesale Credit Risk Models, Market Risk models and Exposure Risk models
- Risk Management Program: Assist in the management of a risk program including maintaining a policy (framework) document set and SharePoint based risk register. Work with regional teams to assure risks are consistently raised, mitigated and archived. Assure overall program quality
- Incident & Escalation Program: Administer an incident and escalation framework designed to report events that take place in UBS facilities globally. Maintain site and distribution lists, update escalation call trees, develop periodic reports and administer user training
- Good EXCEL knowledge essential
- Knowledge of Clearing and Custody services would be an advantage but not essential
- Knowledge of Risk and Control frameworks would be an advantage
7
Skills For IPB Risk & Controls Analyst Resume
- Some knowledge of PowerPoint
- Establish and maintain effective working relationships within CRIS globally and other operational teams that are responsible for maintaining data which impacts reporting
- Experience in a risk and control related function required
- Familiarity with Citi’s Risk systems and comfortable and eager to learn new systems
- Proficient in the use of database applications, SQL, analytical tools such as SAS or R
- Self-starter. Consistently high standard of work. Timely and accurate delivery
- Able to overcome obstacles and challenges
- Capability to pro-actively identify and propose process improvement opportunities
8
Skills For Central Risk & Controls Analyst, Assistant VP Resume
- Knowledge of defined benefit, defined contribution, and/or health and benefit administration highly desirable
- Strong project management skills; ability to model desired work values and practices for other team members and create a team setting that encourages both individual and team accomplishments
- Advanced knowledge of all Microsoft Office program (Word, Excel, SharePoint and PowerPoint)
- Frequent travel within the tri-state area with occasional trips to Europe
- Develop criteria and transactional testing techniques, review and analyze data and processes, document and prepare work papers, communicate the results to management, and make appropriate resolution recommendations
- Support the Enterprise Risk Management (ERM) Program by facilitating Management Control Assessments by first line business units and monitor and assess risk management and control processes in the Bank’s first line units
- Perform analysis of first line risks, controls, audit findings, and self-assessment findings to develop cross-functional views of issues and remediation activities. Provide recommendations to management on opportunities for coordinated corrective action
- Perform system and data queries, provide data and test sample analysis, and produce monthly reports to support completion of self-assessments and the Compliance Management Program. (10%)
9
Skills For Market Risk & Controls Analyst Resume
- Experience of working in a complex, multi-national operating environment, preferably related to financial services
- Assist Compliance Director in the identification and evaluation of risk areas for inclusion in ongoing compliance self-assessments. (5%)
- An understanding of Operational risk and control
- Be able to deal with challenging situations
- Have the ability to be empathetic to the business needs during analysis
- Be approachable and able to provide guidance to Operational teams on risk topics and deliver training when required
10
Skills For Senior Risk & Controls Analyst Resume
- The drive and initiative to proactively identify risk and provide support in implementing long term solutions
- Conduct operational self-assessment testing of partner bank SLA measures
- Provide subject matter expertise in audit practices, business processes, systems, or products to Legal and Compliance and other business partners. (10%)
- Assist the Compliance Director with day-to-day implementation of the Compliance Management Program. (5%)
- Be able to look for ways to solve problem and provide analysis across specific operational processes
List of Typical Responsibilities For a Risk & Controls Analyst Resume
1
Responsibilities For IT Risk & Controls Analyst Resume
- Maintain constant and positive communication with all Client employees, Cushman & Wakefield employees, and vendors
- Adhere to all Client established deadlines
- Be familiar with Cushman & Wakefield policies and procedures and client policies and procedures as they relate to the position and job description
- Develop and complete operational self-assessments (self-assessment, reporting, mitigation monitoring and issue closure validation) using standard auditing practices to evaluate the effectiveness of operational controls, with primary focus on operational functions acting as service provider to partner bank portfolio accounts
- Support the Enterprise Risk Management (ERM) Program by conducting independent review of the adequacy of Management Control Assessments by first line business units and monitor and assess risk management and control processes in the Bank’s first line units
2
Responsibilities For TTS In-business Risk & Controls Analyst, Dir Resume
- Support administration of databases to consolidate and track organizational risks, controls, and audit issues for analysis and management reporting. Assist in developing and producing risk management metrics and reporting
- Perform system and data queries, provide data and test sample analysis, and produce monthly reports to support completion of self-assessments and the Compliance Management Program
- Provide subject matter expertise in audit practices, business processes, systems, or products to Legal and Compliance and other business partners
- Assist the Compliance Director with day-to-day implementation of the Compliance Management Program
- Participating in targeted assurance and/or control design/operating effectiveness reviews to identify weaknesses in the controls environment and support the business in making improvements where required
- Support incident and issues verification and assign ratings
3
Responsibilities For Organizational Risk & Controls Analyst Resume
- Exposure to a wide range of operational risk management activities in a global financial services environment
- Develop a detailed understanding of Citi control processes and methodologies, global data privacy requirements, and to the operations of a Global Legal Organisation
- Exposure to corporate strategic initiatives and change programs
- Participation in projects with high level of visibility to all levels of management
- Assertive nature and confidence to talk to other team managers face to face or to chair meetings in R&C team manager’s absence
- Proficient with business control and compliance frameworks for financial institutions
- Provides assistance for IT and security risk and control related matters with a focus in cybersecurity, physical security, logical access, and in general information security. Collaborates with internal team and technology partners to create, sustain, and strengthen IT's internal control framework through control identification, design, implementation, and testing
- Provides analytical support to ensure internal controls are properly aligned and implemented to ensure flawless service and compliance with all business partner expectations, policies, external requirements, and industry best practices. Provides guidance, influence, and support to management, process, and control owners on control design and operating effectiveness needs
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