Business Risk Control Management Resume Sample

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Catharine Gislason
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Work Experience


Senior Manager Business Risk & Control Management
09/2015 - PRESENT
Detroit, MI
  • Ensure that GLCM has a robust and compliant Business Risk Control Management capability within ‘First Line of Defence’ aligned to the Global model
  • Implement and maintain effective BRCM framework throughout the region, which adds value to the GLCM business
  • Drive and support a culture throughout regional and country teams, which acknowledges the requirement for effective management of operational risk and control to protect the Bank and GLCM from potential operational loss (tangible and reputational losses)
  • Work effectively with Global GLCM BRCM and Regional Operational Risk leadership team, and Regional functional risk heads
  • Support GLCM teams in adherence to both internal and external directives from ‘Second Line of Defence’ including but not limited to Compliance, Operational Risk, Information Security Risk, Business Continuity functions
  • Ensure that the country GLCM team implements compliance policies and procedures in respect of CMB business, including money laundering deterrence programmes and regulatory projects (including Global Standards, FATCA, Turquoise, Slumber etc)
  • Provide timely and relevant presentation material for the Risk Management Committees, Management Committees and others as needed
  • Develop and maintain strong working relationships with Business Development, HSBC Operations, Services &Technology (HOST), Business Portfolio Risk Management, Risk and Compliance, Global Trade and Receivables Finance (GTRF) Services and Transaction Risk Management
  • Act as a GTRF champion to ensure that key objectives are prioritised appropriately within Global Banking & Markets (GBM) and Commercial Banking (CMB)
Business Risk Control Management
07/2008 - 06/2015
Philadelphia, PA
  • Develop and maintain strong working relationships with external stakeholders such as Industry Bodies, Regulators and Consultants
  • Drive best operational practice through Business Risk and Control Management (BRCM) activity, themed reviews, liaison with other functional areas and GTRF Business Management
  • Drive effective BRCM capability resulting in clean audits and Operating Risk & Internal Control (ORIC) reviews and reduced losses and incidents
  • Assist management in identifying and assessing operational risk
  • Work with business to design and implement changes to policies and practices to reduce operational risk as appropriate
  • Assist management and the business in monitoring and enhancing record retention and vendor management processes and controls
  • Provide incident management reporting to business identifying type of incident and root cause
  • Assist management in ensuring compliance with corporate business continuity policies. Identify and implement processes and practices to strengthen business continuity
Senior Manager of Business Risk & Control Management
08/2004 - 06/2008
Boston, MA
  • Assist management in monitoring compliance with corporate policies and practices (GSM/FIM/BIM) and provide tracking and follow up for internal and external audit comments
  • Review and approve loss events in the GORDON system
  • Business/Function Specific Responsibilities
  • ORIC Framework Responsibilities (Coordinate on behalf of business/function management)
  • Provide input and review output of CEO Attestation, including significant open issues in the internal control framework and obtain Management’s confirmation that all documented policies and procedures remain effective against known significant issues
  • Added: Audit Management
  • Facilitate all audit engagements, including planning, kick-off, information request, interviews with all SWD/ITO staff members, draft finding reviews, exit meeting, report review, management response submission, and remediation monitoring

Education


Keiser University - Daytona Beach Campus
1999 - 2004
Bachelor's Degree in Business

Professional Skills


  • As a Global business, CMB is required to undertake responsibilities for the effective implementation of the Group’s Operational Risk Framework. The Business Risk & Control Management (BRCM) team is part of the first line of defence in the business
  • Provides support to the reporting monitoring system to demonstrate RBWM's state of compliance, satisfy Corporate governance and external testing requirements
  • To build strong relationship with key stakeholders both internally and externally
  • To assist in establishing and rolling our common Risk and Control approach and methodology, including a common set of KPIs & KRIs, Control Plans & Ownership
  • Coordinate annual planning of SOX testing
  • To support the COO Americas Head of Risk and Control, in the implementation of the Group's Target Operating model for Operational Risk
  • To ensure that process improvement methods, projects and ad-hoc improvements are used consistently by business areas to achieve continuous improvement in operational efficiency, leading to reduction in errors & losses

How to write Business Risk Control Management Resume

Business Risk Control Management role is responsible for design, reporting, security, database, integration, training, finance, planning, sox, compliance.
To write great resume for business risk control management job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Business Risk Control Management Resume

The section contact information is important in your business risk control management 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
  • Email
  • Telephone number

Work Experience in Your Business Risk Control Management Resume

The section work experience is an essential part of your business risk control management 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 business risk control management responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular business risk control management position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Business Risk Control Management resume experience can include:

  • Manage remediation of deficiencies and keep HBCA IT management up to date on testing progress, deficiencies, issues/challenges
  • Assist in the timely remediation of issues, including internal and external audit observations and regulatory findings
  • Utilize risk and control database(s) for management and reporting of operational risk profile
  • Promote self-development through research, using Group and other resources
  • Ensure that end-user computing reviews are conducted and findings are addressed
  • Added: Sarbanes Oxley (SOX) Compliance Program

Education on a Business Risk Control Management Resume

Make sure to make education a priority on your business risk control management resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your business risk control management 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 Business Risk Control Management Resume

When listing skills on your business risk control management 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 business risk control management skills:

  • As part of the Global risk and control function, to provide regional input on operational risk matters for consideration by the Head of the business and to act as an interface between the Global risk and control function and line management
  • Delivers high quality sustainable results, considering the impact and risk of own actions and that of the business/function, both short term and long term, on the bank’s operational risk profile and appetite
  • Demonstrate a sound holistic and technical understanding of pertinent business areas and Group requirements as detailed in Group Standards Manuals, Functional Instruction Manuals (FIM), and local standards Excellent written and oral communication skills
  • Proven problem solving skills with ability to consider alternative and lateral solutions Highly developed communication, presentation and influencing skills set
  • Good understanding of the Group’s Operational Risk Framework
  • As a Global business, GLCM is required to undertake responsibilities for the effective implementation of the Group’s Operational Risk Framework. The Business Risk & Control Management (BRCM) team is part of the first line of defence in the business

List of Typical Skills For a Business Risk Control Management Resume

1

Skills For Senior Manager Business Risk & Control Management Resume

  • Sufficiently document testing details and results utilizing internal control testing methodologies and standard workpapers
  • Ensure documented policies and procedures remain current and are aligned to the processes taking place
  • Involvement and participation in the incident management process ensuring all necessary actions needed by their business areas are addressed
  • Ensure tracking, resource allocation and remediation of all security related audit findings
  • Ensure tracking, resource allocation and remediation for all security related audit findings
2

Skills For Business Risk Control Management Assistant Manager Resume

  • Provide feedback on proposed operational risk policy for the business and likely impacts
  • Provide advice to Risk owners and Control Owners regarding operational risk policy dispensations. Provide guidance to Risk Owners and Control Owners in adhering to the ORMF (Operational Risk Management Framework) and operational risk policies
  • Could be a people or process manager
  • Manage the SOX compliance program in HBCA IT
  • Provide oversight of plan execution
  • Build relationships and interact with North America ORIC team and other ‘second line of defense’ teams, Global BRCM, and others for operational risk and internal control matters
  • Escalate significant, current and emerging operational risks and internal control issues to the regional/country ORIC Team and/or regional/country ORIC Committee; such as ‘top’ risks, key indicator breaches, and ‘dark corners&#8217
3

Skills For Manager Business Risk & Control Management Resume

  • Liaison to business/function management, North America ORIC team and other ‘second line of defense’ teams, Global BRCM, and others for operational risk and internal control matters
  • Execute against a pre-arranged review plan to evaluate the design and test the effectiveness of key controls within area of responsibility
  • Demonstrate a sound holistic and technical understanding of pertinent business areas and Group requirements as detailed in Group Standards Manuals and Functional Instruction Manuals (FIM) and local standards
  • Help implement and support a plan to achieve the operational risk management goals of the business/function, including complex testing, monitoring and reporting requirements; support operational risk awareness training
  • Exhibit solid time management to complete reviews scheduled in a timely manner
4

Skills For Senior Manager of Business Risk & Control Management Resume

  • Monitor and analyze Key Risk Indicators and operational metrics
  • Maintain risk and control database(s)
  • Manage special projects as assigned by BRCM Management
  • Build relationships and interact with US Operational Risk team and other ‘second line of defense’ teams, Global BRCM, and others for operational risk and internal control matters
  • Ensure complete information asset inventories exist (applications, vendors, hardware, software, data, file shares, etc.)
5

Skills For Business Risk Control Management Manager Resume

  • Ensure appropriate access management controls, processes and procedures are in place for all applications, data, file shares, etc
  • Ensure third party security reviews are conducted and findings are addressed
  • Ensure that application security reviews are conducted and findings are addressed
  • Ensure that all security risk assessment reviews are conducted and findings are addressed
  • Provide regular information security reporting to their business unit or corporate function senior executive team including project status, security risks, issues, resource and funding needs to support BIRO program goals
  • Develop an annual security strategy, roadmap, resource and implementation plan that is reviewed and approved by SFR and the line of business or corporate function
  • Ensure proper security controls are instituted in all projects, provide sign off for all projects confirming that security controls have been evaluated, addressed and are adequate for production implementation, work with SFR as needed to ensure controls are evaluated and in place
6

Skills For Business Risk & Control Management Assistant Manager Resume

  • Identify root cause security deficiencies and contribute to resolution
  • Support the North America privacy program through BIRO and related data protection projects and activities
  • Leads the business/function in its management of operational risk appetite, ensuring business/function operates in compliance, with operational risk framework and standards
  • Liaison to business/function management, Operational Risk team and other ‘second line of defense’ teams, and others for operational risk and internal control matters
  • Provide administrative support to the Branch Internal Control Team (BIC) throughout the branch review cycle from planning, audit report issuance, entering audit recommendations as well as management action plans/progress/closure into database
7

Skills For Assistant VP-business Risk & Control Management Resume

  • Supports in the production and distribution of timely key risk reporting to a variety of stakeholders
  • Support preparation of presentation materials, i.e. PowerPoint decks
  • Coordinate mandatory training (and escalate non-completion to Senior Managers) and certifications (e.g. track responses and follow up with the business where they are incomplete)
  • Pull data queries, and extract and format reports from various sources onto Excel
  • Provide data entry support re ORION database and HR administrative support
8

Skills For Head of Business Risk & Control Management Resume

  • Maintains positive relationships with business, in order to properly provide support in the mitigation and control of risk
  • Escalates issues or concerns to Head of BRCM and Senior Managers
  • Supports the BRCM and BIC teams in the creation and maintenance of risk management documentation and procedures ensuring high quality, accessible information for staff, managers and executives
  • Ensuring that all roles and responsibilities of the BRCM as defined in the Global Risk FIM and as outlined in the Business/Function/HOST Specific Responsibilities are applied to FCC, Compliance, Fiduciary, Product Due Diligence, Vendor SOX, Security, Privacy Business continuity and Fraud
  • The importance of operational risk and control has increased over recent years and has the potential to be one of the most influential value added services available to senior management and the Group. The role holder’s ability in identifying major risk areas and key control weaknesses poses significant impact on businesses in meeting their strategic objectives

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