Governance & Control Resume Sample

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Willard Jast
503 Alysa Mill,  Detroit,  MI
+1 (555) 403 6087

Work Experience

Governance & Control Manager
02/2017 - PRESENT
Los Angeles, CA
  • Develop, manage and maintain the BCM Conformance Testing programme
  • Ensure the programme is sufficiently robust and challenging
  • Agree the scope of individual assessments with BCM Regional and Function Heads as well as the corrective action plan for any deficiencies identified
  • Present findings to BCM Management and Risk & Control functions, including but not limited to the O&T Risk and Control Committee
  • Coordinate implementation and delivery of the BCM Conformance Testing Programme
  • Responsible for developing and executing the Company’s annual SOX management strategic plan in collaboration with senior management
  • Manages the development and coordination of the company’s Sarbanes-Oxley activities. Communicates and provides accurate reporting to management
Governance & Control
11/2011 - 09/2016
Los Angeles, CA
  • To oversee/drive the development and implementation of quality management guidelines and sales & branch operations surveillance programmes
  • To build & nurture strong awareness and competency in risk management /culture, in line with best practices and internal and regulatory requirements and standards
  • Support/lead in trouble shooting and unlocking key business issues, making sense out of ambiguity and drawing on knowledge of the function and other group wide initiatives to make sound judgements
  • Support the management of the internal governance of CCO teams, including project portfolio governance and reporting, tracking of progress and managing key meetings and interventions
  • Work with stakeholders e.g. Risk, Compliance, Audit and Business Area Managing Director’s to ensure that there is adequate governance around implementing new risk and compliance policies and procedures. Conducting current state assessments, presenting findings and recommendations, negotiating changes in control SLA’s and leading implementation plans
  • Risk events governance and monitoring – follow up on risk events to adhere to Standard timelines and escalate issues as appropriate
  • Risk issues governance and monitoring – follow up on issue remediation, those nearing due date and escalate as appropriate
  • DWBs governance and monitoring – collation of DWB information and reporting thereof
  • Audits and issues governance and monitoring – liaison with BIA stakeholders, reporting of audit issues/audit progress
Security Governance & Control
06/2004 - 05/2011
San Francisco, CA
  • Provide insight into current control effectiveness by analysing control and business KPI’s and performance, weighing up the cost v risk of each control and also externally benchmarking industry standards and then recommending and designing solutions to improve to Business Area’s control environment
  • Take responsibility for my own personal and career development, working in a way that is aligned fully to Barclays Values
  • Focus and deliver superior customer experience from front end Consumer Banking teams i.e. both Direct Sales Channel staff and Branches by root cause analysis on customer complaints and on boarding reports. It is achieved at an operational level through performance management, root cause and solution-based joint initiatives that enhance customer experience
  • Provide leadership, oversight and motivate the Country Consumer Banking Control Teams across Africa including Absa. Develop Consumer and Business control Managers through coaching, training and mentoring and have succession plans in place
  • Guide country teams to imbibe regulatory and Bank policies within the Consumer
  • Establish a Consumer Banking control framework at both the current level and in the event of the increase in numbers in the Consumer Banking footprint i.e. increase in number of Direct Sales Channel staff or the number of branches
  • Create strategic assurance alliances with key independent parties such as BIA,
  • Compliance, RCR, HR, Fraud Risk, Customer Service and other functional teams to ensure Consumer Banking processes are robust. Discuss the country challenges with them and agree on requisite guidelines and controls for the Consumer Banking umbrella


Globe University / Minnesota School of Business
1999 - 2004
Bachelor's Degree in Accounting

Professional Skills

  • Strong interpersonal skills including demonstrated conflict management and negotiation skills
  • Exceptional attention to detail and numerate. Excellent communicator, both written and oral, with strong interpersonal and relationship management skills
  • Excellent time management skills with a proven ability to meet deadlines
  • Experienced: Proven professional experience in business controlling / audit and / or business management role
  • Very strong inter-personal, communication and influencing skills
  • Strong presentation and communications skills both written and verbal
  • Excellent analytical skills with the ability to synthesize summary reports

How to write Governance & Control Resume

Governance & Control role is responsible for interpersonal, presentation, relationship, analytical, english, communications, leadership, reporting, retail, finance.
To write great resume for governance & control job, your resume must include:

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

Contact Information For Governance & Control Resume

The section contact information is important in your governance & control 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 Governance & Control Resume

The section work experience is an essential part of your governance & control 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 governance & control responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular governance & control position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Governance & Control resume experience can include:

  • Strong implementation and organization skills in rolling-out initiatives across locations
  • Strong stakeholder engagement skills, ability to build rapport, garner respect & exercise authority in a collaborative manner, across all levels & locations
  • Min. 8 years of professional experience in the banking industry with good understanding of transaction banking products, risks & controls and compliance
  • Review and assess adequacy of process documentation, perform design effectiveness and operating effectiveness testing and report control issues
  • Fully embed effective Consumer Banking RCA to check the robustness of Consumer Banking processes and provide oversight and track the closures
  • Self-starter demonstrating good initiative, ability to challenge ways of working and adaptable to change

Education on a Governance & Control Resume

Make sure to make education a priority on your governance & control resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your governance & control 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 Governance & Control Resume

When listing skills on your governance & control 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 governance & control skills:

  • Good knowledge of Bank’s audit management process security impacts, security training & awareness and compliance testing
  • Previous experience in Audit, Risk or Compliance procedure writing and testing
  • Experience working or managing risk programs is considered an asset
  • Experience of working within a regulatory and control environment
  • Prioritise and work under pressure, delivering to tight deadlines and multiple demands
  • Experience of working in a risk, control, audit or governance function

List of Typical Experience For a Governance & Control Resume


Experience For Governance & Control Manager Resume

  • Create strategic relationship with L&D and country Consumer/Business teams to implement effective training programs for the Consumer Banking teams and front end channel/ lead generators to improve the productivity and controls across Consumer and Business banking
  • Providing business with appropriate direction and guidance on the implementation and embedment of the operational risk framework. Ensure that through the effective facilitation of the Risk and Control Assessment process, that the control environment within business is effectively managed
  • Strong organisation skills with ability to prioritise and complete a combination of regular and ad hoc tasks to tight deadlines
  • Strong numeracy and written presentation skills
  • Strong strategic, analytical and problem solving skills with attention to details

Experience For Accounting Governance & Control Manager Resume

  • Work independently, interface and execute with a sense of urgency and deliver tasks effectively
  • Solid and agile Governance Structure (Minutes, Action Trackers, Reporting etc.) ensuring demonstrability of SMR requirements
  • Experience working with both front line and risk and compliance teams
  • Support the development of effective surveillance and monitoring parameters and Key Risk Indicators (KRIs), Risk Control Self-Assessment (RCSA) and others
  • Good understanding of operational risk and control processes and procedures
  • Good understanding of various digital and customer engagement channels
  • Support the strategic initiatives to ensure that risk and controls are adequately managed and addressed prior to implementation
  • Good knowledge of the related regulations, policies and standards
  • Excellent written and verbal communication in English, Cantonese and Mandarin

Experience For CRO AML Governance & Control Manager Resume

  • Strong knowledge of risk assessment process and methods and TD's three lines of defense
  • Solid knowledge of business risk and regulatory compliance requirements applicable to industry best practices
  • Experience in surveillance and health check functions in the financial industry
  • Strong knowledge and application of regulatory requirements and standards (such as FAA, SFA, BSC Framework)
  • Training/ Culture Change that generates staff understanding of the conduct rules and SMR
  • Creating a dashboard that provides management information that can be used to track performance and drive continuous improvement
  • Prepare, review and collaborate with Regional Training team on implementation of RDIP related certification programs
  • Perform risk assessment of new business initiatives including new product or process development

Experience For Senior Governance & Control Manager Resume

  • Broad and in-depth knowledge in Consumer Banking business related products, services and activities
  • Support the successful launch of project and programs by finding the right balance of governance & controls
  • Be the Subject Matter Expert/first point of contact for respective risk/control function responding in a timely manner to support agile execution
  • FAA Sales Complaint Handling Procedure
  • Perform surveillance function and provide analysis, recommendation and reporting
  • Execute against a broad range of surveillance and regulatory activities including some Tier 1 supervision accountabilities
  • Escalate issues and advocate on behalf of SRMs as required, with Senior Managers and other supporting departments

Experience For Marketing Governance & Control Senior Analyst Resume

  • Provide guidance to Senior Regional Managers on addressing client complaints, and when needed manage and escalate client concerns to the National Office
  • Risk control mindset with ability to achieve a balance between managing risk, customer needs and productivity
  • Create, maintain and coordinate approvals for a standardized set of product programs across all products offered in countries
  • Provide guidance and support on RDIP implementation to countries
  • Support Regional Governance head in the Regional Investments Supervisory Committee meetings, which provide oversight of the Wealth Management Business in the Asia Consumer Bank
  • Manage updates / deliverables to the US Regulators
  • Partner with key regional Control Functions to identify significant franchise, operational and regulatory risks related to investment products distributed in countries
  • Ensure best practices are shared with country businesses to drive business growth with enhanced controls

Experience For Head of Consumer Banking Governance & Control Resume

  • Manage research SLA with CIRA on velocity access for country businesses
  • Developing, implementing and monitoring adherence to the company's policies, the FCA handbook relating to Client Assets (CASS), Conduct of Business Sourcebook (COBS), Dispute Resolution (DISP), Data Protection Act (DPA) and tax compliance
  • Providing an effective link between the first line of defence (Operational Management) and the second and third lines of defence (Compliance and Internal Audit)
  • Appropriate Management Information (Inc. Operational and Risk Management information), to enable Escalation and/or Red Flags
  • Clear delegation of SMR Responsibilities and subsequent checkpoints/ escalation procedures
  • Ensure GTS’ compliance with new and revised regulations
  • Timely implementation of Group’s risk policies and guidelines through facilitation and providing advice and guidance in driving operational risk and compliance initiatives and tools
  • Lead and manage cross functional units’ operational risk management and compliance-related projects and initiatives, including process improvement programmes

Experience For Gcg-product Governance & Control Manager Resume

  • Handle serious / priority complaints personally to reinforce the Bank’s reputation, turn complaints to business and minimise financial losses arisen from claims for damages
  • Enhance risk governance within Unit in driving the Unit’s operational risk committee or equivalent forum
  • Develop and continuously improve management reporting to ensure relevance and value of governance activities
  • University or equivalent professional qualification
  • Pro-active, creative and independent

Experience For Assistant VP, Governance & Control Resume

  • Provision of regular reporting including inputs to GOC reports, Headcount variance reporting, Goals dashboard, Functional area updates and Project activity recording
  • Preparation of risk, audit & compliance pack for Operations monthly SLT risk meeting
  • Maintenance of Risk dashboard and provision of risk data for Goals and UBOC reporting
  • Oversight of risk, audit and compliance action points working with process and functional owners to reach timely resolution
  • BCP governance including call tree tests, monthly adherence to Global BCP requirements and liaison with team BCP reps and Global BCP team
  • Production of SICAV monthly oversight report and quarterly distribution certificate
  • Maintenance of BCP playbook and co-ordination of BCP initiatives and actions
  • Can do attitude with a desire to make things happen and take ownership

Experience For Analyst / Associate, Governance & Control Resume

  • Ensure timely completion of quality RCSA and provide guidance on the identification / assessment of risks and controls. Ensure proper issues and action plans arising from the RCSA are tracked to completion
  • Review and analyse the key operational risks and control related data trends and root causes. Ensure timely reporting and escalation of risk events or significant incidents, and work with the process and business owners to develop action plans to remediate and mitigate risks
  • Drive a strong control culture where there is readiness in proactive risk management and issue self-identification
  • Manage the gap analysis and the implementation of both local and regional policy requirements and standards
  • As the focal resource for reference, to respond to any regulatory consultation and ensure that the implications of any proposal or its associated issues are understood. Provide support and guidance to the teams, covering all aspects of risks, audit and incident management activities

Experience For Risk Analyst Cams Business Governance & Control Policy & Process Resume

  • Ensure that the Consumer Banking Group business’ exposure remains aligned with their risk appetite
  • Ensure all changes in policies, procedures, projects and regulations are updated and embedded within the business structure, including the required testing if applicable
  • Expert knowledge of governance, controls, risk practices and standards for Consumer Banking business
  • Ensure robust business continuity management with adherence to the Bank’s policies and standards
  • Drive consistency around coverage and deliverables on projects
  • Provide guidance on detailed business requirements for projects to address regulatory requirements and expectations
  • Support timely sign offs from risk control partners on requirements, processes and or other artifacts within the digital mortgage application
  • Distill and report on issues within the project or program that merit attention from 2nd Line of Defense Partners

List of Typical Skills For a Governance & Control Resume


Skills For Governance & Control Manager Resume

  • Possess strong communication, interpersonal, decision-making and problem-solving skills
  • Strong people leader who possesses the ability to effectively work in teams across the bank with multiple stakeholders and to influence and align others
  • Proven successful client relationship management skills
  • Excellent verbal and exceptional visual presentation skills with an eye for detail in numbers and statistics
  • Proven leadership and influencing skills with the ability to make and advocate for decisions
  • Strong communications skills in both English and Chinese
  • Demonstrated experience successfully leading a large scale change initiative
  • Managing oversight of risk, controls and promoting a culture of good compliance and risk awareness
  • Experience in or exposure to multiple risk areas, including compliance, privacy, anti-money laundering, operational risk, legal and technical risk

Skills For Accounting Governance & Control Manager Resume

  • Experience in conduct and reputation risk management
  • Good knowledge of the Bank’s risk management process
  • Related work experience in an internal audit, control, risk, or compliance role at a mid-size to large public company
  • Strong attention to detail with the ability to recognize and react to discrepancies
  • Some experience with TD Credit Card process flows
  • Strong collaborator who engages colleagues, business partners, external stakeholders, and employees

Skills For CRO AML Governance & Control Manager Resume

  • Risk Management and Control Framework management/RCSA knowledge/experience
  • Experience of Fidelity’s systems and organisational structure
  • Experience in risk management and control
  • Solid knowledge in wealth management business
  • Ensuring external and internal regulatory requirements are met including participating in all major regulatory projects
  • Creating and maintaining risk and control matrices
  • Developing and maintaining a credible risk-based control framework within Cash Management Operations and Control

Skills For Senior Governance & Control Manager Resume

  • Supporting business leaders to improve and maintain a sustainable control environment for Business Banking
  • Reporting for management information and control board purposes
  • Providing guidance to CMOC team members in relation to regulatory requirements and the consequences of non-compliance with such requirements
  • Expert understanding of regulatory requirements relating to ring-fencing
  • Drive proactive risk identification/reporting strategy by developing/reporting key risk metrics and leveraging automated risk analytics/tools
  • Work with the businesses to support an appropriate risk culture including providing on-going advice and education
  • Assist the business areas in regulatory engagement relating to ring-fencing
  • Support with Target Operating Model forecasting, benefit realisation and cost modelling
  • Provide thought leadership through bringing together insight and analysis including external knowledge

Skills For Marketing Governance & Control Senior Analyst Resume

  • Formulate and maintain consistent product pricing and segment pricing in consultation with country teams
  • Oversight of bank account opening, cash breaks and regulated activities involving CREST
  • Provision of regulatory training and coaching across CMOC
  • Support on ad hoc initiatives e.g. Town hall presentations, data gathering and analysis, ad hoc reporting
  • Enhance and establish a robust governance and control framework to deal with the evolving business landscape in the Consumer Banking Group
  • Keep abreast of emerging issues, trends, and evolving regulatory requirements to identify new opportunities and assess potential impacts
  • Think independently; recognize when something doesn’t make sense; ask questions

Skills For Head of Consumer Banking Governance & Control Resume

  • Pro-active and delivery focused, working to high standards of performance
  • Influence others without formal reporting lines
  • Detailed knowledge of Marketing is an asset
  • Process mapping new and additional processes for inclusion in control framework
  • Communications and Training around new compliance/risk initiatives, processes, procedures
  • Work with Wealth/Retail and the enterprise in matters relating to regulatory change

Skills For Gcg-product Governance & Control Manager Resume

  • Work with the Enterprise Control Functions in developing pragmatic solutions for the businesses and Wealth/Retail
  • Lead and coordinate risk and control assessors to ensure timely and fully accurate RCSAs adhering to policy and standards
  • Knowledge sharing of RCSA requirements across the business
  • Stand-in for colleagues where required during absence or high-demand activity
  • Provide guidelines and leadership on work with BA Consumer Banking team re New Product development
  • Establish, monitor and track BIA Issue Assurance and closures across Consumer Banking network
  • Experienced in dealing with multiple stakeholders in different business functions who have different objectives e.g. Internal Audit, Risk, Compliance, Fraud, Legal
  • Proven experience in control framework implementation and oversight
  • Understand and manage Risk, Compliance, Governance, Control & Regulatory practices

Skills For Assistant VP, Governance & Control Resume

  • Knowledge of Project Management and Change Management, proven through a relevant professional qualification e.g. Prince2, Project Management Institution would be beneficial, but is not essential
  • Knowledge of process re-engineering e.g. LEAN / DMAIC / Value Mapping would be beneficial, but is not essential
  • Knowledge of Barclay’s budgetary systems
  • Knowledge of Barclay’s security supplier management and associated contractual arrangements
  • Develop, implement and own strategies to ensure that identified physical security risks can be effectively managed through the Risk & Control Governance Framework
  • Lead the strategic response to emerging threats and risk and design appropriate control changes where necessary

Skills For Analyst / Associate, Governance & Control Resume

  • Governance of process and control documentation
  • Knowledge of Canadian Credit Card regulations is considered an asset
  • Lead Team responsible for all aspects of the business governance and control mandate on behalf of the Financial Planning, Direct Investing and Wealth Shared Services LOBs
  • Develop/Enhance FP, DI and WSS business policies procedures content, presentation, and education in response to regulatory and audit requirements/findings
  • Act as primary contact on behalf of FP, DI and WSS for AML, Compliance, Legal, Internal Audit, and Operational Risk
  • Responsibility for governance, structure, mandate, and agenda for Risk Committee Meetings (ownership of risk dashboards)

Skills For Risk Analyst Cams Business Governance & Control Policy & Process Resume

  • Delivery of the business-wide cross functional RCSA for Germany
  • Robustly hold business areas to account in case of insufficient deliverables
  • Entry of all RCSA appropriate data related to Germany into ORAC
  • Subject matter expert and contact for Germany for new RCSA requirements and policy issues from MD to AVP levels
  • Coordinate Horizontal and 2LoD/3LoD challenges and questions to the RCSA
  • Ensure new policy and standards and their amendments are appropriately communicated to the business and policy/standard related horizontal/vertical interaction/governance
  • Ensure delivery and full execution of the Barclays Control Framework in Germany being point-person for the project requirements/analyses
  • Work with stakeholders across the three lines of defence to ensure that the existing conduct and reputation risk management frameworks are implemented effectively
  • Provide insight into current control effectiveness by analysing control and business KPIs and performance, weighing up the cost v risk of each control and also externally benchmarking industry standards and then recommending and designing solutions to improve to the way BUK manages conduct and reputation risk

List of Typical Responsibilities For a Governance & Control Resume


Responsibilities For Governance & Control Manager Resume

  • Experience at programme delivery at a large financial services organisation or equivalent with experience
  • Experience interacting with other stakeholders in a audit capacity or similar
  • Expertise in, and a proven record of advising on and managing Principle Risks
  • Institutional knowledge acquired through experience in multiples roles
  • Business experience, in progressive roles

Responsibilities For Accounting Governance & Control Manager Resume

  • Business Management or Finance experience
  • Listen to and understand opposing points of view in order to arrive at appropriate conclusions
  • Comfortable challenging the status quo and open to new ideas and business models
  • Lead discussions with 2nd Line partners about potential solutions to issues identified and respond to second line of defense oversight and challenge
  • Participate in project delivery activities in alignment with the Risk Marketplace Playbook
  • Partner with other members on the Risk Marketplace Governance and Control team to assess business and regulatory risk

Responsibilities For CRO AML Governance & Control Manager Resume

  • Ensure risk issues are identified, managed and reported per enterprise policy/guidelines and ensure appropriate escalation processes are followed
  • Knowledge of business products/channels, processes, policies and procedures, and the control environment
  • Interpret and apply risk policies and procedures
  • Detail-oriented with the ability to follow up on items or determine appropriate steps for timely escalation and/or resolution
  • Assimilate and understand high volume of complex information and the ability to communicate in a concise and simple manner

Responsibilities For Senior Governance & Control Manager Resume

  • Development & Implementation of Sales Surveillance, Balanced Scorecard Framework and programmes
  • Branch Health Check Framework and programmes
  • Management of Settlement Recommendation & Procedure
  • Management of Disciplinary Action Recommendation Procedure
  • Engagement with MAS and ABS as lead and/or participant
  • To evaluate, develop and implement quality management policies and surveillance programmes to enhance sales quality in CBG
  • Develop and implement robust quality management/sales quality surveillance related framework, policies and processes
  • Assist in the development and implementation of requirements under FAIR, specifically the Balanced Scorecard Framework
  • Work with internal/external partners on implementation of surveillance programmes

Responsibilities For Marketing Governance & Control Senior Analyst Resume

  • Communicate and identify risks/gaps in processes and controls with relevant stakeholders on quality management framework, surveillance programmes and findings
  • Proficiency in the technical knowledge of Financial Advisory related services and FAA related regulatory requirements would be an advantage
  • D Ability to quickly assimilate and ‘process’ complex issues from an Information Risk and Security perspective
  • Relevant experience working in a retail banking business, preferably in investment product management, product compliance or product control
  • PMO or Project Management experience within a financial institution successfully managing complex projects through the full project lifecycle, from conception through rollout and ongoing support/sustainment

Responsibilities For Head of Consumer Banking Governance & Control Resume

  • Strong presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with senior management at all levels
  • Knowledge in the area of lending and credit cards
  • Strong relationship management experience gained in financial industry and regulatory environment. Ability to act as representative of Barclays to various external stakeholders, including regulators and industry groups
  • Strong Communication skills across a variety of forums and mediums. Proven ability to distil information into key messages and deliver succinctly according to audience
  • Develop business strategy, communicate in clear and confident manner, and act independently to implement, sometimes using creativity in approach
  • A good understanding of the Business units in consumer finance and the challenges they face in meeting regulation. In particular, an understanding of how the payment landscape is managed and how operating models are impacted by legislation such as banking reform, GDPR and PSD2

Responsibilities For Gcg-product Governance & Control Manager Resume

  • Established and evidenced leadership credentials; proven ability to maintain energy and resilience within an organization throughout a period of change and/or against significant challenges
  • Sound knowledge in project development methodology, including Agile
  • Strategic, analytical and innovative problem solver and conceptual thinker, with ability to see big picture/think outside the box
  • Collaborative with flexibility to adapt and manage within a dynamic business environment
  • Results oriented, confident self-starter, relationship builder with the ability to obtain consensus among key stakeholders
  • Consult with Legal, Compliance, Wealth Shared Services and Client Support Group as required
  • Track, trend and investigate areas of possible regulatory and/or business risk; reach sound conclusions and recommendations based on that analysis and communicate those effectively to more senior management
  • Focus on compliance strategies and issues with the management team and promote the development of a compliance culture

Responsibilities For Assistant VP, Governance & Control Resume

  • Act as the primary contact for internal and external audits for the region; providing guidance, assistance and oversight to the Senior Regional Manager team in addressing audit findings
  • Consult with Legal, Compliance, Client Support Group as required
  • Consult with Legal, Compliance, Client Support Group and the Ombudsman’s office, as required
  • Exposure in a business environment with knowledge of Trade Finance would be an advantage
  • Proactive and initiator in identifying and driving change initiatives to achieve a robust ops risk & control environment. Able to identify risk gaps and think out-of-the-box effective solutions

Responsibilities For Analyst / Associate, Governance & Control Resume

  • Support the Investment Bank Head of SOx with ad hoc tasks
  • Supporting the delivery and embedding of the Enterprise Risk Management Framework and Barclays Control Framework across BUK with particular focus on Conduct and Reputation Risk
  • Co-ordination/oversight of delivery of Policies & Standards relating to Conduct and Reputation Risk into BUK working with stakeholders across Group, BUK and SMEs within BUK and the function
  • As part of the above manage key governance processes for BUK including the quarterly conduct risk reporting and control maturity evaluation processes, Strategic Risk Assessment and Risk and Control Self-Assessment
  • Manage relationships with the relevant Principal / Key Risk Owners and Delegates across BUK and the Group
  • Managed stakeholders at a senior level
  • Knowledge of operational and regulatory environment

Responsibilities For Risk Analyst Cams Business Governance & Control Policy & Process Resume

  • Conduct current state assessments (eg through quarterly reporting, Risk and Control Self Assessments and Strategic Risk Assessments), present findings and recommendations to senior management in CCO and the business
  • Work with stakeholders e.g. Risk, Compliance, Audit and Business Area representatives to ensure that there is adequate governance around implementing new risk and compliance policies and procedures
  • Lead in trouble shooting and unlocking key business issues, making sense out of ambiguity and drawing on knowledge of the function and other group wide initiatives to make sound judgements
  • Impact assess demand for BUK CCO and ensure that it aligns with the scope / remit or BUK CCO’s operating model to ensure that BUK CCO meets its strategic goals and the demands of its customers
  • Work with stakeholders across the three lines of defence to ensure that the frameworks that regulate and support compliance with ring-fencing requirements are fit for purpose, well understood by the business areas and functions and effectively implemented
  • Provide advisory services to the business areas to help to prepare and maintain various key documents relating to ring-fencing controls

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