Oversight Officer Resume Sample

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Rozella Fay
409 Prosacco Passage,  San Francisco, CA
+1 (555) 690 9449

Work Experience

Senior Liquidity & Market Risk Oversight Officer
12/2017 - PRESENT
Houston, TX
  • Support and interface to Internal and External Control organisations(Internal/external audit, Regulatory, MCA, Compliance, Finance etc.)
  • Provide team and department management with an independent view of the risks pertaining to the Firm’s systems and information based on the risks assessment control assurance activities
  • Ongoing review and development of the risk based thematic monitoring and surveillance programme to ensure it covers all regulators and regulations relevant to the firm’s business
  • Assist in the development of current testing programme to improve and develop the methodologies in line with the business
  • Assessment of the firm’s business to identify areas or processes of concern, key regulatory risks or regulator industry reviews aligning monitoring activity as necessary
  • Collaboration with Firm Wide Compliance within the Legal department, Internal Audit and Risk Management sharing ideas in order to develop, where appropriate, testing consistency or to coordinate testing plans
  • Maintain and develop knowledge of current and upcoming regulations, such as MiFID II, to ensure that programme remains relevant
Operational Risk Technology Risk Oversight Officer
12/2012 - 06/2017
Houston, TX
  • Review of external technology applications and engage with external developers on monitoring systems. Conduct cost based analysis versus firm’s risk to determine if external technology systems can be used to improve monitoring of firm activities
  • As required, assist Compliance Managers and Attorneys within Legal department with regulatory projects to interpret impact on the firm’s existing monitoring programme and develop testing accordingly
  • Using a broad range of sources to maintain a current view of key risk and regulatory developments across the market, preparing analyses that can be used to inform and challenge Group Audit’s coverage plans
  • Reviewing audit coverage plans with regards to internal and external risk drivers, including contributing to the development of a pro-active coverage gap analysis process (‘Hot Spots’) e.g. considering market developments, peer incidents, new regulations, risk driver analysis etc
  • Providing effective challenge to the 1st Line Treasury team activities and operating procedures to ensure proper governance and control over liquidity and market risks in line with Wintrust’s Risk Appetite, Policies, and within Regulatory Guidance
  • Ensuring the integration of Wintrust’s broader Enterprise Risk Management framework throughout Wintrust’s liquidity and market risk activities
  • Monitor and evaluate Wintrust’s liquidity and market risk exposures and regularly apprise the CRO and executive management of risk exposure, emerging risks, and risk related developments
Delegation Oversight Officer
02/2008 - 07/2012
Philadelphia, PA
  • Continue to refine and improve the risk infrastructure around Wintrust’s liquidity and market risk management activities to ensure that its liquidity and market risk management infrastructure is evolving as the organization grows and evolves
  • Prepare an annual independent assessment of the bank’s liquidity risk management practices and measurement techniques and the major critical assumptions used in the risk measurement process
  • Define cyber security requirements as they relate to the firm’s Infrastructure and production environment
  • Collaborate on a permanent basis with security operational and engineering teams in charge of developing the required controls in the Firm’s environment
  • To ensure that EHS practices are being maintained in packaging lab
  • Reporting of ZAP and their timely closures to meet site target of ZAP reporting
  • Actively participate in safety and health related events and improve the working conditions in order to maintain a safer and healthier environment
  • Experience in a custody or fund administration within a financial institution
  • Can work well as part of a team but also independently


University of Alaska Southeast - Ketchikan Campus
2003 - 2008
Bachelor's Degree in Management

Professional Skills

  • Excellent communication skills, both verbal and written, in English. French or German would be considered an asset
  • BSc in Scientific or Engineering discipline or equivalent experience, ideally gained working in a Pharmaceutical Manufacturing Facility
  • Experience in protective service planning and delivery
  • Gather information through questioning or observing individuals, and to record such information accurately
  • Knowledge of current Good Manufacturing Practice requirements within major pharmaceutical markets
  • Knowledge of accepted investigation practices and investigative report writing pursuant to all applicable protocols, policies, and procedures
  • Knowledge and application of the principle of the Quality Management Systems (QMS)

How to write Oversight Officer Resume

Oversight Officer role is responsible for events, manufacturing, reporting, trading, security, database, finance, health, german, french.
To write great resume for oversight officer job, your resume must include:

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

Contact Information For Oversight Officer Resume

The section contact information is important in your oversight officer 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 Oversight Officer Resume

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

Representative Oversight Officer resume experience can include:

  • Work within specified timeframes and meet deadlines
  • Knowledge of protective services and how they are distinguished from other types of services
  • A completed certified Compliance Professional/Officer education
  • Experience in Compliance (or Compliance-related) with demonstrable experience in CDD, AML and/or sanctions, and/or incident management and remediation processes
  • Demonstrable experience in regulatory investigations, either internally or as external legal councel or consultant
  • Team builder and change agent

Education on an Oversight Officer Resume

Make sure to make education a priority on your oversight officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your oversight officer 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 Oversight Officer Resume

When listing skills on your oversight officer 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 oversight officer skills:

  • Excellent project management and business change skills
  • Experience in the financial industry, preferably within Banking (Retail, Wholesale and/or Financial Markets)
  • Experienced in working within an international context
  • Prepare and present concise and accurate oral and written reports
  • Analyze and determine the applicability of data, to draw conclusions, and make appropriate screening recommendations pursuant to all applicable protocols, policies, and procedures
  • Strong interpersonal skills and ability to work with, including but not limited to, DPPC staff, EOHHS agencies and employees, advocacy groups and law enforcement personnel

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