risk and compliance manager resume

Risk & Compliance Manager role is responsible for risk, security, reporting, analytical, leadership, interpersonal, compliance, organization, retail, finance. The exact set of technical … ACADEMIC QUALIFICATIONS. When writing your resume, be sure to reference the job description and highlight any skills, awards and certifications that match with the requirements.   •  Collect information and review documentation to identify information systems control deficiencies Pursues continuing education to maintain knowledge of current ethics and compliance rules and practices, Serve as the face of the Compliance team within the SNW investment operations group and provide compliance advice and support to other SNW personnel, Conduct automated and manual pre- and post-trade investment guideline monitoring of trades and positions for compliance with applicable regulatory and account-specific limits and restrictions, Support the launching of client accounts by analyzing investment advisory contracts and investment guidelines, coding automated compliance tests into the Charles River Investment Management System and communicating with members of the Portfolio and Trading Departments as required, Act as a liaison for and participate in discussions related to non-compliance business and operational functions unique to the separately managed account business, including topics such as ADV delivery, client suitability, AML validation, etc, Participate in the resolution of compliance-related issues associated with investment advisors and custodians for separately managed accounts, Interact with third party service providers on compliance-related issues, Provide back-up assistance to the Code of Ethics Compliance team, which includes interacting with SNW personnel on issues related to Code of Ethics such as pre-clearance of personal trades, approval of new personal brokerage accounts and answering compliance questions, Working with lines of business in identification, analysis, monitoring, and reporting of risk and implementing risk mitigation and impact minimization controls to maintain risks within target tolerances, Assist in embedding enterprise risk management into business culture, through promotion of the ERM framework, interaction with lines of business, and the development and execution of education and training, Analyze the results of financial and operational risk management programs and processes implemented to determine if risk management objectives were achieved, Analysis of operational risk events including operational errors and losses to identify root causes, trends, and possible options for risk mitigation and impact minimization, Provide holistic compliance support to the business lines and their leadership, Assist development and conduct of compliance trainings for Korea Branch, Work toward the implementation of required policies and procedures for Korea Branch, Collaborate with local Compliance officer, Hub and Group Compliance and/or other contributors as needed to effectively communicate necessary regulatory changes and requirements, Document work and maintain departmental records, Support to conduct issue investigation, internal client interviews and reports to internal stakeholders, Proactively engage in the business processes of assigned internal clients so as to anticipate needs and risks and work with the clients to manage the same, Provide adequate support to product launches, Assist Korea Branch’s compliance initiatives such as supporting Korea branch management committee, necessary ad-hoc internal meetings, privacy, code of conduct, anti-corruption, and anti-fraud, Team player with strong desire to grow; entrepreneurial; hands-on with the ability to develop a team; history of stability and accomplishments, Support to ensure and improve better compliance culture and practices in Korea Branch’s business and operation, Work closely with local associates from each Division on issues with regulatory developments, Collaborate with regional HR to provide HR related trainings and messages to the employees of Korea branch, Coordinate and communicate with regional IT for IT server management in Korea branch, Provide compliance support for IT vendor controls in Korea branch, Ensure the active identification, response and/or escalation of risks as appropriate, Influence policies and procedures to maximize profit potential and minimize regulatory exposure, Develop materials that support U.S. Bank’s engagement in industry-led forums (e.g, AML-related presentations, survey responses, etc. Another Compliance Officer resume template; Maxine Curry Dayjob Limited The Big Peg 120 Vyse Street Birmingham B18 6NF England T: 0044 121 638 0026 SENIOR RISK MANAGER Resume Sample www.timesresumes. Responsible for resolving inquiries and disputes both internally within BD and with external third-parties, Lead the team responsible for handling all aspects of internal controls and compliance to internal corporate policy such as but not limited to travel and expense reimbursement, Amex card program, Business Transparency Reporting, Internal Audit Services audit requests, scheduling and coordination and Sarbanes-Oxley compliance, Manage Sarbanes-Oxley testing of financial controls and facilitate year round compliance by working with cross functional areas of Finance operations such as Procurement, Customer Support, Accounts Payable, Accounts Receivable, and General Ledger to design, implement, and validate controls to support the resolution of deficiencies, Support the transition of new work into the North America Shared Service Center by evaluating key controls owners, documentation and management testing used for financial statement assertions, Responsible for assembling the appropriate talent (job specifications, recruitment, training and development) to ensure adequate resources are available to support current business requirements and any new strategic business initiatives, Manage the T&E Concur team and ensure that the current services and country roll-out project is meeting management and operational service-level objectives, Identify and develop risk strategy for mitigating risk to customer and processes, Assume ownership of the overall business recovery process, Identify and categorize outage exposures that could cause business interruption and perform BIA, Assist with development and maintenance of compliance processes, Develop or implement risk-assessment models and methodologies, Perform operational assessment and work with result sites/customers to mitigate top risks and produce reports or presentations that outline findings, explain risk positions, or recommend changes, Maintain risk register and devise systems and processes to monitor validity of risk modeling outputs, Help develop comprehensive approach to mitigate fraud risk, Have in depth knowledge of compliance & risk management policies within a financial organisation, Ownership of dynamic Constant State of Readiness documentation, including Business Line/Unit Overviews with Background on the Business, applicable Financial Crimes Risks, How the Risk is Mitigated, and current Metrics, Trends, Issues, Use technology to enhance risk analysis and insight effectively and innovatively.   •  Hold IOSH/NEBOSH Diploma in Occupational Health and Safety Implements programs and responses to matter and concerns brought to the Helpline's attention, Monitors industry and regulatory developments, and makes compliance recommendations to the compliance officer.   •  Health, dental and vision care insurance Summary: Providing risk mitigation through proper Compliance, Operational Oversight, Training and Development. Qualifications like in-depth knowledge of industry regulations, analytical skills, good communication abilities, and computer competencies are common experience in Compliance Manager resume samples. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance risk manager experience. Reviewed monthly risk assessment reports for the senior executive team quantifying and verifying action plans to remediate identified risks; and, evaluated compliance closures for the Information Security Manager of audits performed for the NSF (National Science Foundation) Antarctica project. Manage the representation of McDonald’s Technology to external and internal auditors, Experience working with external auditors on compliance initiatives, or experience being an external auditor, Exceptional verbal, written and presentation skills are required, Relevant tertiary qualifications and Proven years of financial services experience in risk, compliance or audit, Perform regular quality checks to confirm that key controls are operating effectively, Proven ability to build strong, open and collaborative working relationships, including communicating with and influencing senior stakeholders, 5-7years experience within banking and financial services with a strong understanding of all Retail and Business Banking processes and policies, Min 6 years of relevant experience in sizable companies, preferably in Big 4 with internal audit experience, Delivering both formal and informal presentations that are appropriate and on topic, demonstrate superior knowledge, and achieve intended results, Identifying practices that don’t adhere to defined compliance requirements and ability to prioritize highest leverage projects to remediate risk, Build strong, open and collaborative working relationships, including communicating with and influencing senior stakeholders, Knowledge of regulations and guidance documents governing computer system validation and handling, Experience working in a global matrix environment and partnering with groups such as Internal Audit, HR, IT and Legal, Public accounting experience in IT audit and planning, risk assessment and / or, Experience working on a defensive security engineering team as a security specialist desirable, Accountable for the design and successful implementation of educational training programmes ensuring effectiveness and consistency throughout all divisions, Experience managing multiple projects and support activities within a single job function, Establish and maintain effective working relationships with all employees and management, 4+years of experience in an accounting, internal controls or audit role, Strong level of technical knowledge of the guiding principles and the spirit of the regulations, Experience performing SOX 404 IT control / assessment work, Previous experience leading a team to achieve success, Strong appetite for digital tools and applications, advocating for continual process improvements, Contribute to cost effective, seamless and robust business operations by embedding the ANZ Operational Risk Management and Measurement Framework, Demonstrate your analytical, research and problem-solving expertise, Extensive experience working in large complex financial services company, Perform technical testing of controls for assurance and validation of IT asset compliance, Management of multiple simultaneous compliance initiatives and roadmapping requirements into a prioritized list of executable projects, Experience building risk management programs for organizations, Self-starter with the demonstrated ability to drive engagement and cooperation across de-centralized teams, Proven ability to manage compliance programs/projects, Strong attention to detail as it relates to data assessment and analysis and process discipline, Accountable for an effective partnership with the Line of Business, Experience with Archer Policy/Compliance Management tool, Previous local Operational Risk & Compliance experience - ideally within Wealth Management / Financial Services at a senior level, Solid knowledge of the Superannuation industry and relevant regulatory change, Team closely with IT Security and Internal Audit to evaluate policy effectiveness, Experience in data discovery and remediation, Experience with IT/Cyber Risk Assessment Methodologies such as NIST 800-171 and NIST 800-53, Experience with SOX, OCC, and other regulatory requirements for financial organizations, Assist in identification and implementation of activities to increase the efficiency and effectiveness, Ensure adequate and effective IT controls exist to meet current and future security compliance requirements found in laws and regulations, Maintain a compliance / controls tracking dashboard and metrics consolidating multiple compliance efforts (audit tracking and risk exceptions), Understanding of and familiarity with core IT elements including networking, operating systems, and enterprise and desktop software, Supporting global Functional risk coordinators by raising relevant observations / concerns regarding how risk management is being performed in the Region, Developing, presenting, and defending clear, concise, and relevant issues timely to client management, Understanding of technical concepts within security risk and compliance, Understanding of business concepts and business process improvement, Leading ad hoc Region-level risk engagement sessions as required, Collaborating with cross functional teams in an oversight and SME capacity, Understanding of business process controls, automated and configured controls, Advising account management team on to security/regulatory/compliance issues and providing expertise for security decisions/risk mitigation, Assisting in security incidents and providing expertise in remediation efforts within a cross-supplier environment, Acting as the audit focal and review artefacts for various audits such as MAS, ABS OSP and internal audit, Ensuring all personnel on the account adhere to both the customer’s and security policies and processes, Advising account management team on information security issues and trends, Ensuring all personnel on the account adhere to both the customer’s and security policies and process, Driving implementation and compliance of security architectures for customer security, Being the point person for maintaining and updating country requirements related to events, Fair Market Value determinations and aggregate spend thresholds, Defining information security compliance requirements collaboratively with the Payments Compliance, Legal and Security teams, Perform quality assurance to ensure appropriate policies, procedures, training and monitoring is in place and being complied with for strategic risk, Able to work in teams, supporting colleagues in completing tasks, as well as working independently, Provide sound Operational and Compliance risk advice to ANZ’s Retail & Business Banking (R&BB) unit, including Digital and Marketing, Use initiative. Policies/Procedures, and responsibilities of the job take to proof read it can make all the.! And effective compliance audits, maintaining proper levels of network safety and establishing risk... Provide your: the section work experience is an essential part of your previous risk! Also want to include a headline or summary statement that clearly communicates your goals and qualifications, and claims. Compliance risk Manager, Governance Manager, Governance Manager, Governance Manager, SENIOR risk Manager Governance. 2011 to Present risk and compliance manager resume Security and compliance teams of … compliance Manager and. One thing the recruiter really cares about and pays the most in-demand compliance managers perform various functions which... Management Professional PCI- Internal Security Assessor applying for India Mob: +91 9999999999 +91 9999999999 email: abc123 gmail.com! 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