Business Risk Manager Resume Sample

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Abelardo Mitchell
23931 Lisette Plains,  Dallas,  TX
+1 (555) 645 1592

Work Experience


Business Risk Manager
06/2015 - PRESENT
Los Angeles, CA
  • Strong interpersonal and communication skills, with the ability to effectively manage key relationships with Senior Management in Finance
  • Able to probe and challenge senior Finance managers
  • Co-ordinate and consolidate information from a variety of sources
  • Well organized with strong planning and analytical skills
  • Keep abreast of and partner with other control teams such as General Counsel and other risk teams in ensuring the relevant regulatory requirements are understood and embedded within the Bank’s control framework and processes
  • Sound knowledge of Luxembourg regulatory environment in KYC/AML requirements
  • Solution oriented behavior combined with diplomatic flair, flexibility and coordination skills
Business Risk Manager IPS & Suitability
11/2008 - 02/2015
Philadelphia, PA
  • Good knowledge of MS Office (PPT, Excel)
  • Motivated, team-oriented and ability to work under time pressure
  • Good command of English and German or French. Further European languages skills are an advantage
  • Review and finalize written reports on findings and recommendations from team’s project work
  • Develop the incumbent’s expertise in a specialization and reputation as a business advisor
  • Drive Deloitte’s risk mechanism for client and engagement acceptance
  • Keep abreast of and partner with other control teams such as General Counsel and other risk teams in ensuring the relevant regulatory requirements are understood and embedded within the Bank’s control framework and processes. Advice and lead the Business in ensuring all regulatory requirements are embedded as required within the existing processes/controls
Senior Business Risk Manager
10/2002 - 09/2008
Chicago, IL
  • Conduct and/or support in strategic reviews/initiatives
  • Drive the execution of the F2B Risk Framework across UBS AM APAC, including
  • Complaints Management and coordinating for other global and/or local projects for control improvements and/or implementation
  • Financial services industry/technology experience. Several years Internal control, risk management or project management experience
  • Problem solve, and evaluate issues/problems of high complexity to make sound decisions
  • Strong verbal and written communication skills, and ability to package information at a high level
  • Strong project management, analytical skills and understanding of processes
  • Full-spectrum of risk management including a full understanding of an operational risk framework and the importance and execution of this framework as it relates to operations

Education


Kent State University - Stark Campus
1998 - 2002
Bachelor's Degree in Business

Professional Skills


  • Strong interpersonal skills, with experience in interacting with a multicultural staff at all levels within the organization
  • Strong organizational skills with proven ability to collaborate in a global, matrix environment
  • Strong oral and written communication skills in English, including excellence in making effective formal presentations to groups of all sizes and at all levels
  • Structured thinker with excellent analytical, written / oral communication and project management skills
  • Strong skills in standard office applications
  • Excellent interpersonal, managerial, organizational, presentation, verbal and written communication skills
  • Proved partnering skills, including success in influencing outside of direct reporting line

How to write Business Risk Manager Resume

Business Risk Manager role is responsible for analytical, general, financial, compliance, interpersonal, regulatory, business, legal, technology, organizational.
To write great resume for business risk manager job, your resume must include:

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

Contact Information For Business Risk Manager Resume

The section contact information is important in your business risk manager 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 Manager Resume

The section work experience is an essential part of your business risk manager 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 manager 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 manager position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Business Risk Manager resume experience can include:

  • Provide challenge and guidance in key risks forums including the responsibility for driving consistency in the semi-annual assessment of controls, documenting risk events, self-identifying issues and tracking risk remediation across Wealth Management Americas Operations
  • Effective organizational and time management skills, including the ability to prioritize
  • Strong analytical and conceptual skills coupled with excellent attention to detail
  • Strong organizational and management skills needed to handle the coordination of multiple priorities
  • Maintain a deep understanding of CIAS integration points within WM USA to effectively drive identification of forward-looking risks and sustainable solutions
  • Demonstrated history of strong/disciplined risk management improving risk culture

Education on a Business Risk Manager Resume

Make sure to make education a priority on your business risk manager 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 manager 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 Manager Resume

When listing skills on your business risk manager 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 manager skills:

  • Solid writing and verbal communication skills, strong analytical capabilities
  • Strong interpersonal and stakeholder management skills and assertiveness
  • Effective internal client's management skills
  • Effective people interaction skills
  • Providing regional leadership and effectively communicate the function's vision
  • Experience in building effective teams and programs and the ability to lead through engagement with others, with or without supervisory responsibility

List of Typical Experience For a Business Risk Manager Resume

1

Experience For Business Risk Manager IPS & Suitability Resume

  • Monitoring and tracking corrective action plans, overseeing appropriate and on-time remediation of risk issues
  • Researching and recommending best Enterprise Risk Management practices, tools, and methodologies to improve the understanding and communication of risk
  • Supporting the oversight of acceptance and review of high risk clients, including PEP reviews, and also intermediary risk assessments
  • Supporting the commercial implementation of Citi wide policies and procedures in the Private Banking business
  • Acting as the Mandatory Absence Co-ordinator for the EMEA Private Bank
  • Motivating, inspiring and training colleagues, as well as supporting the application of the sampling protocols for intermediaries
2

Experience For Global Functions Continuity of Business Risk Manager Resume

  • Guide on-boarding operations in understanding and complying with CIP requirements
  • Preparation of the quarterly Entity Rating process for the key Private Banking locations in EMEA
  • Co-ordination of the monthly Operational Loss Review Committee, including the preparation of materials and tracking of actions
  • The ability to respond to a fast paced, rapidly changing dynamic environment
  • Be accountable for the India hub from a BARS (business aligned Risk Services) perspective covering GO
  • Sufficient authority to challenge Service Delivery heads to ensure that common standards are applied and blind spots managed
  • Manage and manipulate large volumes of data
  • The role is both a control and a management function and consequently requires an ability to work at the detailed ‘hands-on’ level but to retain a strategic perspective to understand the ‘bigger picture’ in order to focus and meet objectives
3

Experience For Senior Business Risk Manager Resume

  • Actively work to promote and foster a risk culture across IPS APAC
  • Partner the business to ensure that the business in the location is adequately prepared for audits, both internal and external
  • Ensure that all open action plans assigned to the Location, including action plans resulting from Audit and Business Reviews, are carried out and closed off within target deadlines
  • Co-ordinate the front office control plan, ORI certification process and KRI reporting
  • Drive, in collaboration with the business, the development of control plans and procedures for IPS sectors and locations
  • Foster and promote a risk conscious work culture
4

Experience For Institutional Business Risk Manager Resume

  • Willingness to understand client's business context and to analyse and solve issues also in more complex environment
  • Analyze key risk indicators and perform targeted reviews of processes / deep dives to
  • Assess and report material operational risks to Operations management
  • Challenge and assist management to assess and facilitate the resolution of risk related
  • Very good communication and interpersonal skills (written and verbal) to interact with, support and challenge senior management, coupled with independent and proactive working style - solution oriented
  • Demonstrate a sound holistic and technical understanding of Asset Management and Group requirements as detailed in Group Standards Manuals and Functional Instruction Manuals (FIM); set example for others
  • None direct; leads cross-functional team of business leaders with respect to ERM and regulatory activities
  • Develop strategy and manage the CoB Programs in close collaboration with regional and global programs
5

Experience For Uhnw Business Risk Manager Resume

  • Ensure a strong understanding across the Region of the CoB Policy, identification of Internal, Regulatory, Reputational and Compliance gaps and provide appropriate consultation to the businesses about options for resolution
  • Provide oversight over CoB-related issues and ensure closure within targeted timeframes
  • Ensure effective management of CoB programs including metrics to provide early & timely detection, reporting, escalation and remediation of Risks and unresolved issues
  • Continually explore and implement solutions to efficiently manage the CoB programs and simplify the processes
  • Demonstrate a comprehensive understanding of industry knowledge about how the disciplines of CoB Controls collectively integrate to contribute to achieving business goals
  • Detailed knowledge of Excel
6

Experience For Private Bank, Business Risk Manager Resume

  • Familiarity with Access, SQL, Sharepoint or similar tools
  • Familiarity with global payment card industry Rules and Regulations
  • In person meetings with clients
  • Ability and willingness to undertake business travel regionally and globally as required
  • Review and take actions to improve the quality of inputs in the Group’s operational risk management system
  • Support the respective business/function/HOST as per the activities outlined in the areas of focus for this role including Policy and Governance, Risk Appetite, Core Operational Risk Management, Oversight, Use and Embeddedness, and Reporting
  • Identifying and providing solutions to a wide range of business risk management issues and managing specific risk situations, producing regular risk management information, maintaining databases and managing Guernsey struck-off and dissolved companies
  • Motivating, inspiring and training colleagues, as well as supporting the application of the Sampling Protocols for Intermediaries in Guernsey
  • Execution and oversight of the Private Bank’s Risk and Control assessment process (Managers Control Assessment)
7

Experience For Business Risk Manager, ERS Resume

  • Collation and reporting of key risk and control related metrics both within the EMEA region and in support of the Private Bank’s Global risk assessment process
  • Co-ordination of the quarterly Operational Loss Attestation process
  • Preparation of Business Risk management information, including presentation of risk MIS to key governance committees including the Business Risk, Control and Compliance Committee (BRCC)
  • Manage regulatory or corporate policy changes that impact IAS from an APAC and Institutional perspective. Represent business stakeholders and work with Legal/Compliance to determine impact. Develop and implement actions for regulatory changes and internal policy changes affecting Institutional Sales and Marketing activities
  • Managing specific risk situations, producing regular risk management information, maintaining databases and ensure timely escalation of any instances
  • Identifying and providing solutions to a wide range of business risk management issues
  • Manage projects to maintain or establish adequate controls for APAC and Institutional business activities
  • Identifying and providing solutions to a wide range of business risk management issues, managing specific risk situations, producing regular risk management information, maintaining databases and managing Jersey struck-off and dissolved companies
  • Preparing monthly local risk committee information, supporting the various risk oversight initiatives, training and supporting colleagues as well as supporting the application of the Sampling Protocols
8

Experience For Private Bank Business Risk Manager Resume

  • Supporting in training, coaching and mentoring to embed and enhance Risk knowledge and awareness of colleagues in support of Onboarding new propositions and also for the continued stewardship of such
  • Strong written and verbal communications skills are required, with the ability to effectively liaise with all levels with the business
  • Identify the project priority/constraint for the project plan
  • Inputs into the annual review on inherent risk landscape, risk scenarios design effectiveness and test definition of Key
  • Take on ad hoc projects assigned by the department head
  • To be the key member of the new initiatives
  • To drive and gather user requirements, understand the process and analysis accordingly
  • Engage and work closely with project team, senior leaders and other stakeholders
9

Experience For Senior Business Risk Manager Emerging Europe With Focus on Israel Market Resume

  • Implement, deliver and complete the assigned projects on timely manner
  • Able to make feasible recommendation and presentation for management review
  • Face off to Senior Stakeholders locally, regionally and globally across multiple Operations service lines
  • Potential to obtain light people management accountabilities in the future
  • Identifying and providing solutions to a wide range of business risk management issues and managing specific risk situations, producing regular risk management information, maintaining databases
10

Experience For Location Business Risk Manager Resume

  • Strong analytical skills. as well as a need for thoroughness, ability to prioritise, meet deadlines and attention to detail
  • Support - Policy and Procedure
  • Develop policies/ procedures and processes in Wealth Management
  • Establish and enhance policies and procedures/ guidelines for business operations and products/ services to ensure full compliance with regulatory requirements, internal/group guidelines and adequate control
  • Regular review of end to end processes, identify area for continuous improvement to ensure operational effectiveness, sufficient control and risk mitigation in place
  • Good understanding of HKMA, HK SFC and MAS guidelines, in relation to Suitability and Selling process
  • Broadcast and provide training on policies and procedures changes and updates
  • Collaborate with Business Risk Managers to ensure proper process documentation is in place including process maps

List of Typical Skills For a Business Risk Manager Resume

1

Skills For Business Risk Manager IPS & Suitability Resume

  • Strong executive presence and the ability to effectively interact and influence senior management within operations and multiple business units
  • Excellent communication skills, in both English and Mandarin
  • Has good interpersonal skills and can communicate clearly with product specialists
  • Has strong interpersonal and stakeholder management skills and assertiveness
  • Work experience in Operations within a financial institution and good understanding of the front to back Operations processes
  • Effectively manage a portfolio of internal audit clients
  • Organizational and administrative skills and ability to manage multiple projects. Accuracy and the ability to meet deadlines
2

Skills For Global Functions Continuity of Business Risk Manager Resume

  • Strong experience in Operational Risk, IT Risk or Information Security area
  • Great organisational skills with ability to handle multiple tasks and to meet specific goals set by management
  • Great organizational skills with ability to handle multiple tasks and to meet specific goals set by
  • Liaise and communicate effectively with key stakeholders such as FO management, Location Mgt, Compliance etc
  • Critical thinking and problem solving experience required, with ability to challenge existing practices
3

Skills For Senior Business Risk Manager Resume

  • Strong understanding of industry standard BC planning principles, tools and techniques
  • Demonstrated capability to apply risk management concepts, analysis, and support to strategic decision-making processes
  • Implementation experience through the entire BC planning cycle
  • Excellent understanding of Citi’s activities, functions and processes (or those of a similar multilateral development organization)
  • Experience in dealing with external parties such as public emergency responders, and with IT infrastructure, facilities and recovery service providers
  • Strong initiative and business/common sense in analysis, decision making, issue resolution and escalation
  • Experience in banks and regulated securities brokers, in functions like risk management, risk control, compliance, monitoring, internal audit, etc
  • Experience as a Registered Principal (S24), supervising sales of various financial solutions
4

Skills For Institutional Business Risk Manager Resume

  • Collaborate with ERM to confirm priorities and agenda’s, both short and long term in nature
  • Proven ability to drive tasks and resolve issues under tight timeframes
  • Experience in collaboration/document management and project management tools
  • Significant experience in vendor management, risk management, business continuity management gained in a management or risk / control position
  • Experience with general risk management – preferable with a history in fraud investigations and Wealth Management
  • Experience in project management and change initiatives
  • Work experience in Operations within a financial institution or risk management in managed services for more than 5 years
5

Skills For Uhnw Business Risk Manager Resume

  • Experience within the Financial Services industry
  • Exhibit solid time management to complete responsibilities in a timely manner
  • Execute against defined controls, and present evidence in a structured format
  • Good knowledge of asset management / equities business
  • Strong process and control orientation
  • Take part in business reviews to validate adequacy of risk management processes and controls
  • Strong knowledge of APAC/HK private banking risks environment and relevant controls would be an advantage
6

Skills For Private Bank, Business Risk Manager Resume

  • Ongoing interaction with Business Heads to inform, discuss and advise on an efficient way of managing risk issues / events and to provide advice and guidance
  • Accounting qualification or Business Administration, Audit, Information Technology or equivalent
  • Testing of Key Procedural Controls (KPCs) and carry out periodic internal audits on Information Security, Operational Risk and BCM
  • Understanding of the GO Risk Framework
  • Proactively support the management in identifying, preventing and minimizing business risks
7

Skills For Business Risk Manager, ERS Resume

  • Exceptional track record, being a high performing risk management and internal audit professional seeking a new challenge in your career
  • A challenging and interesting role within the Business Risk Management team
  • Proactivity in not only spotting issues, but proposing solutions
  • Utilize internal control testing methodologies and standard work papers to execute control monitoring
  • Be a subject matter expert by understanding and implementing requirements relevant to Citi policies, legal and regulatory requirements that impact CoB
  • Fundamental understanding of retail financial products/services as well as of various regulations within the banking/financial services industry
8

Skills For Private Bank Business Risk Manager Resume

  • An understanding of WM UK process, policy and systems
  • Manage a Team of Service Line Risk Analysts in Weehawken NJ responsible for delivering elements of the RRM Service Catalog
  • Prepare and support the C&SL businesses for internal assessments and audits and for the implementation of resulting recommendations
  • Define and perform regular monitoring and control tasks
  • Prepare regular and ad hoc reporting and readouts to senior leadership
9

Skills For Senior Business Risk Manager Emerging Europe With Focus on Israel Market Resume

  • Quickly develop an understanding of client’s business and needs
  • Relationship building, collaboration and management across remote locations and virtual teams
  • Comfortable with challenging business areas and senior management
  • Be creative in evolving the risk management process and workflow, to better address changes in the industry and regulatory environment
  • An in depth understanding of Annuity and Insurance Products, and the risks associated with them
  • A successful track record of managing either a Risk Management function or Operations functions within the first line of defense
10

Skills For Location Business Risk Manager Resume

  • Knowledge of regulations applicable to US broker dealers and banks including rules set by FRS, FDIC, SEC, FINRA, and OCC (Office of Comptroller and Currency)
  • Data modeling and analytics
  • Utilize risk and control database(s) for management and reporting
  • Provide transparent risk reporting to management, regulators and other internal units
  • Identify, evaluate and mitigate risks, proactively formulating holistic solutions
  • Represent the global Business & Risk Manager in stakeholder meeting various committees
  • Oversee the location risk landscape and activities, ensuring processes are robust and adhered to
  • Support the identification and escalation of emerging risks
  • Member of Americas RRM Management Committee

List of Typical Responsibilities For a Business Risk Manager Resume

1

Responsibilities For Business Risk Manager IPS & Suitability Resume

  • Strong analytical skills and the ability to synthesize complex information within a short period of time
  • Quality Assurance (e.g. re-validation of SOX / KPCI assessment)
  • Strong knowledge of the front-to-back processes within a PBWM setup, preferably in the Products space
  • Consolidate and challenge risk assessment of locations
  • Execute Operational Risk submissions, lead project management for tracking of ongoing risk mitigation, and fully brief business heads for risk meetings
  • Work together with the teams responsible for developing and running the Divisional control framework
  • Collaborate with Business Risk Managers on incident management including assessment and escalation for the business unit
  • Preparation of Business Risk management information, including presentation of risk and control related MIS to key governance committees (e.g. Country, Region)
  • Self-motivated and multi-tasking
2

Responsibilities For Global Functions Continuity of Business Risk Manager Resume

  • A proactive and self-dependent working style, self-starter
  • Provide operational requirement for system enhancement to automate manual processes and build in control where necessary
  • Prepare and maintain documentation to ensure compliance with internal and regulatory requirements
  • Responsible for Enterprise Risk Management System (ERMs) data integrity for the business unit
  • Collaborate with Business Risk Managers and corporate risk for root cause analysis, creation, validation, and timely fulfillment of Findings, Action Plans, and Risk Acceptances at the business unit level
  • Responsible for identification and development of risks, controls, and metrics that reside at the business unit level in accordance with corporate risk management requirements
  • Responsible for control test identification and evaluation at the business unit level
3

Responsibilities For Senior Business Risk Manager Resume

  • Collaborate with Business Risk Managers with regards to development and evaluation of a new, modified or expanded product assessment
  • Understand risks associated within each risk pillar (Credit, Market, Operational, Legal, Compliance/Regulatory, Strategic, Reputational, and Liquidity) and collaborate with the Business Risk Managers to communicate to assigned business units
  • Ensure timely escalation of all issues requiring attention to Segment Risk Officer, senior management, and corporate risk
  • Provide risk oversight regarding all product changes, strategic goals, and performance analysis
  • Provide input in policy and procedure development. Ensure business unit adherence
4

Responsibilities For Institutional Business Risk Manager Resume

  • Work across CIAS business areas to proactively drive culture of risk awareness, self-identification or issues and proactive mitigation
  • Support all business risk and control related matters including ORI creation & mitigation, KPC maintenance and assessments, risk metrics & driving annual RCSA completion
  • Collaborates with executives and managers to create, sustain and strengthen UBS's internal control framework through risk and control identification and control design and implementation
  • Provides guidance, training and motivation necessary to create risk and control awareness, ownership and accountability by all business areas within CIAS organization
  • Oversees and leads regular Internal Control Assessment meetings with business aligned risk managers, ensuring risk issues are appropriately highlighted and escalated¬
  • Represents CIAS in cross-divisional initiatives and business as usual activities, including regulatory reporting, records management, end user application governance, vendor management, business continuity management
5

Responsibilities For Uhnw Business Risk Manager Resume

  • Conduct independent risk assurance work for UBSCL Operations, including testing and risk assessment
  • Face off to Senior Stakeholders locally and regionally across multiple departments
  • Inputs into the annual review on inherent risk landscape, risk scenarios design effectiveness and test definition of Key Procedural Controls (KPC) in partnership with Group Operations management
  • Facilitation of risk process (e.g. Key Procedural Control Incidents (KPCI) Assessment Process)
  • Provide assurance and advisory in relation to Regulatory Adherence, Business Continuity Management, Outsourcing & Offshoring, New Business Initiatives and policies
  • Conduct independent risk assurance work for APAC Operations, including testing and risk assessment
  • Conduct risk analytics and execute risk administration such as risk reporting and deep dives etc
  • Champion 1st LOD risk management in Business Areas specifically in the Cards and Account areas within the Banking group
6

Responsibilities For Private Bank, Business Risk Manager Resume

  • Preparation of the quarterly Private Bank Entity Rating process for Luxembourg
  • Liaise with Group Internal Audit, Compliance & Operational Risk Controls, local Business Risk Organization and regulators
  • Adherence review with Group Operations risk framework
  • Execution and oversight of the Private Bank’s Risk and Control assessment process in Luxembourg and other related locations
  • Collation and reporting of key risk and control related metrics relating to Luxembourg / the EMEA region and in support of the Private Bank’s Global risk assessment process
7

Responsibilities For Business Risk Manager, ERS Resume

  • Execution and oversight of controls testing activity across a variety of processes for the Private Bank, including key processes and controls relating to Luxembourg (e.g. AML, MIFID II Suitability)
  • Provide overight and advisory support in ensuring processes are robust and adhered to by driving, in collaboration with the Business, the development of control plans and procedures
  • Support projects across IPS providing risk related advice and cooperate with the business on risk related inquiries from various stakeholders
  • Assist the APAC Head of Products BRM in defining the control unit mandate, framework and activities
  • Manage AML-related metrics reporting
8

Responsibilities For Private Bank Business Risk Manager Resume

  • Perform analysis of KYC; ensuring all appropriate customer documentation is on file in accordance with internal and external guidelines
  • Maintain an in-depth knowledge of client on-boarding data and document requirements as required by UBS policy
  • Conduct and/or support in special reviews/initiatives
  • Advise Local Heads BR & RM (Local Risk Unit) in international Advisory Offices on Risk Matters
  • Review of Local Risk Reports and Risk Assessments
  • Partner with various stakeholders (including Product stakeholders, GC, LCOO representatives etc.) in conducting the relevant risk reviews and control checks in accordance with the agreed annual risk control plan
  • Competent learner with at least 6 years of experience in a risk/control or related function in the Financial Industry or Consulting
  • Confident personality with experience in business and operational risk issues and control matters
  • Time management and work prioritization abilities are essential
9

Responsibilities For Senior Business Risk Manager Emerging Europe With Focus on Israel Market Resume

  • Client and service orientation, enthusiasm and flair to deal with people
  • Continuously and proactively identify and assess risks, and lead risk assessments of the business, define and implement mitigation measures
  • Identify, capture and communicate risk-related information to the relevant decision makers and facilitate the information flow through the organization
  • Support Senior Management in their risk and regulatory management tasks
  • Work with the Risk Managers and various stakeholders across the organization
  • Have a mandate to lead the support of regulatory compliance processes, e.g. Volcker
10

Responsibilities For Location Business Risk Manager Resume

  • Business Continuity Planner Certification (CBCP/MBCP) or equivalent accreditation
  • A professionally recognized controls based background in Compliance, Audit, Risk Management or similar
  • Experience in a business management / policy and procedure and/or projects management with the relevant understanding of Front Office operational framework is highly appreciated
  • Analyze high risk counterparties, reputational risks, and politically exposed persons ("PEP")
  • Oversee Know Your Customer (KYC) quality assurance
  • Interact daily with Advisors, Branch Management, Compliance and legal regarding the questions or issues with account documentation to ensure the timely opening of accounts
  • Perform Red Flag and RBA Reviews based on outline as defined by FCC
  • Be responsible for escalation of FCP exceptions: contact person for FCP Core Team to follow up on outstanding attestations and other FCP related items including FCP/Country Remediation's
  • Professional Japanese language skills

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