Risk Assessment Resume Sample

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Bernadette Kuphal
356 Ryann Pines,  New York, NY
+1 (555) 261 6082

Work Experience

Risk Assessment Manager
03/2018 - PRESENT
Philadelphia, PA
  • Core responsibility is to design and deliver analysis across all risks in SG’s U.S. operations to provide the ERM function with a holistic view of risks overseen by the CRO. Key risks include market, credit, liquidity, operational, model, structural IR/FX risks, as well as legal and compliance risks
  • Contribute to strategic risk management processes including execution of the Risk Appetite Exercise including drafting Risk Appetite Statements governing SG’s Intermediate Holding Company (IHC) and Combined US Operations (CUSO)
  • Assist with implementation and execution of the end to end process for the annual global CIB Compliance Risk Assessment (CRA) and Rules Mapping
  • Initiating and sustaining constructive relationships with senior Global Compliance Services stakeholders, Regional Heads of Compliance and the Product and Functional Compliance Heads for all regions so as to assist in the coordination of the global/regional Compliance Risk Assessment
  • Support continual enhancements of the processes and supporting technology within this critical area to ensure the delivery of these programmes are done effectively, efficiently and in line with the changing nature of financial markets, the firms businesses and the direction of the Head of the function
  • Provide a point of escalation of any problems or issues identified by the team and work with the VP (CIB Risk Assessment) and the Global Head of Risks Assessments and Rules Mapping or others in the function to resolve them on a timely basis and provide meaningful follow through
  • Assist Risk Assessment Leads with execution of the Compliance Risk Assessment (CRA) process from preparation through execution and quality assurance, including
  • Assist in management of updates to business desk lists
CAC In-home High Risk Assessment
03/2012 - 12/2017
Detroit, MI
  • Technical understanding of core platform, security technologies, data centre operations etc
  • Identify and analyze industry trends and influencing factors, both positive and negative, to enhance the company’s risk management capabilities
  • Consulting / advisory experience in IT risk management and IT controls design support, IT external / internal audit
  • Experience in the areas of internal controls, operational risk, or regulatory risk management
  • Broad Financial Services experience and detailed understanding of banking and insurance sectors
  • Knowledge of industry standards in risk management, internal controls (e.g. ISO standards, Basel requirements, COSO Internal Control Framework, etc.) and risk management frameworks
  • Awareness / knowledge of frameworks such as COBiT and ITIL)
  • Strong knowledge of controls design and testing
Junior Enterprise Risk Assessment
06/2005 - 02/2012
Houston, TX
  • Assist in creation and update of reference data reports
  • Assist in mapping of reference data to business desks
  • Support training activities related to the CRA
  • Assist in completeness and reasonable checks of CRA results
  • Assist in customizing and updating report templates
  • Assist in processing of responses arising from oversight reviews of CRA results by Regional
  • Applies a broad knowledge of internal audit policies and practices, risk assessment methodologies and current laws and regulations in order to facilitate the company’s Risk Assessment process
  • Ensure that conclusions and recommendations are adequately transformed into corrective actions plans CAP’s
  • Good understanding of industry regulations i.e. MAS TRM


Ottawa University - Wisconsin Campus
1999 - 2004
Bachelor's Degree in Finance

Professional Skills

  • Strong intrapersonal skills including communication skills (oral, written, presentation), conflict resolution skills, and strategic thinking
  • Develop strong computer skills including internet knowledge
  • Strong communication and influencing skills, and ability to interact with, and be credible in front of, senior stakeholders
  • Strong analytical, organizational, writing, and communications skills
  • Strong written and oral communication skills that allow dissemination of complex technical issues in a clear, concise manner are required
  • Expert level knowledge and understanding of data collection, analysis and sampling techniques and ability to leverage those skills to maximum effect
  • Manage multiple priorities while continuing to achieve strong rapport with clients

How to write Risk Assessment Resume

Risk Assessment role is responsible for insurance, programming, finance, training, auditing, analysis, reporting, design, security, automation.
To write great resume for risk assessment job, your resume must include:

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

Contact Information For Risk Assessment Resume

The section contact information is important in your risk assessment 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 Risk Assessment Resume

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

  • Certified in the following external industry certifications: ITIL v3 Foundation (or higher) , Certified Information Systems Auditor (CISA) , Certified in Risk and Information Systems Control (CRISC)
  • Strong change management and project management capability and proven experience in delivering change/projects
  • Demonstrated ability to lead a team while balancing competing priorities, workload and deadlines
  • Prior experience in the preparation of AML/Sanctions Risk Assessments
  • Experience of working in (and with) the current regulatory supervisory regime. Knowledge and understanding of current regulatory issues and upstream agenda
  • Significant IT risk management experience and understanding

Education on a Risk Assessment Resume

Make sure to make education a priority on your risk assessment resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your risk assessment 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 Risk Assessment Resume

When listing skills on your risk assessment 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 risk assessment skills:

  • Extensive experience in Risk Management with strong knowledge of Information Security practices and standards
  • Experience performing risk assessments and conducting cost-benefit analysis
  • Apply knowledge and judgment to detailed loan analysis in order to offer effective underwriting alternatives to clients
  • Experience with GAO's Fraud Framework
  • Experience in the financial services industry in operational risk or compliance
  • Experience with new product approval processes in the financial services industry

List of Typical Experience For a Risk Assessment Resume


Experience For Risk Assessment Manager Resume

  • Demonstrated ability to analyze issues and develop plans on a systemic level, thinking through potential connections and impact across the Schwab ecosystem, and developing roadmaps to achieve long term vision through short term deliverables
  • Design an appropriate risk assessment covering all areas of GDD that creates actionable intelligence from the risk assessment for the Clinical risk and Compliance group to perform pro-active risk mitigation
  • Enable and drive the design and implementation of appropriate Regulatory Compliance measures within GDD and ensure the measures are implemented throughout the function at the Global, Regional and Country levels. Inspections
  • Responsible for the management of Patient Safety inspections and inspections readiness in close collaboration with QA. Process Improvement
  • Provide expertise in the assessment of benefit for automation of Patient safety tasks

Experience For Vulnerability Risk Assessment Lead Resume

  • Conducts controls assurance testing of annual controls requirements and assesses whether any exceptions have been identified and the risk level of such exceptions
  • Ensures that reviews are completed on time and that a robust review has been conducted
  • Participates in periodic team meetings to report on the status of the testing reviews and pending questions, and assist with tracking completion of reviews and implementation of remedial actions
  • Discusses potential findings with relevant stakeholders including the business or function being tested and relevant local Country AFC Officers and Line-of-Business Compliance
  • Provide leadership and oversight for EI MCA Program, drive Path to Effective efforts for EI MCA entities and report on MCA results to EI senior mgmt
  • Collaborate with Audit and Issue Mgmt team and EI businesses to achieve MCA Effectiveness goals for EI

Experience For Risk Assessment Specialist Resume

  • Ensures that all work papers are in order, ready, and accessible for future review; and
  • Partner with EI businesses to implement and strengthen Key Risk Indicator program
  • Technical proficiency in MS Office Suite and SharePoint
  • Set up PIAC meetings Set Agenda for Product Risk Review meetings (the approval forum for changed products and services)
  • Complete Minutes for Product Risk Review – maintain accurate records in Archer (system of record)
  • Maintain Administrative Updates on all items in the Pipeline
  • Train users / troubleshoot as needed

Experience For CAC In-home High Risk Assessment Resume

  • Maintain change requests / work with IT to implement
  • Identify any inconsistencies evident in the file and work with AO, BLCO and BSA/AML group to resolve
  • Coordinate with CoDA Quality Assurance to make sure that lessons learned from QA results are incorporated into AO, BLCO & KYC Group activities
  • Manage Corporate Compliance’s risk and control assessment program (Enterprise Compliance Risk Assessment) which encompasses governance, execution oversight, management action, and reporting
  • Manage the annual Compliance Program Self-Assessment process involving Corporate Compliance senior management, 2LOD program owners, and Business Line Chief Risk Offices which is reported to senior operating committees and the Board and results in key program enhancement initiatives for the upcoming year
  • Serve as the “voice of the program” across enterprise-wide stakeholder groups, including routine active engagement with Risk Management & Compliance senior and executive management, Business Line Chief Risk Offices, and senior operating committees

Experience For Senior Risk Assessment Resume

  • Initiate and manage continuous improvement initiatives to ensure the effectiveness, efficiency, and accessibility of risk and control assessment processes and information
  • Provide leadership, coaching, and direction within individual team and across Corporate Compliance and the Business Lines with respect to risk and control assessment; potential for future direct management role -
  • Manage the annual Compliance Program Self-Assessment process involving Corporate Compliance senior management, second line of defense program owners, and Business Line Chief Risk Offices which is reported to senior operating committees and the Board and results in key program enhancement initiatives for the upcoming year
  • Provide leadership, coaching, and direction within individual team and across Corporate Compliance and the Business Lines with respect to risk and control assessment; potential for future direct management role
  • Integrate key values of transparency, professionalism, and customer service into all facets of risk and control assessment programs and processes
  • Incident Management processes
  • Vontu policy implementation
  • Patch Management processes

List of Typical Skills For a Risk Assessment Resume


Skills For Risk Assessment Manager Resume

  • Demonstrated ability to prioritize and execute on several activities/workstreams simultaneously
  • Demonstrated experience in risk and control assessment at a large financial institution or other complex company/corporation
  • Highly skilled in the MS Office suite (PowerPoint, Excel, Visio, and Word) and strong presentation development expertise
  • General banking/ compliance experience
  • Two (2) years of experience can be used to substitute one (1) year of college

Skills For Vulnerability Risk Assessment Lead Resume

  • Ensuring compliance with the RBS Risk Appetite policy standard, contributing to half yearly assessments
  • Ongoing system testing (for releases)
  • Working knowledge of U.S. banking regulations
  • Working knowledge of Bank Secrecy Act (“BSA”) as amended by Title 3 of the USA PATRIOT Act (“PATRIOT Act”)
  • Group communications involve participating in meetings, group discussions, conducting meetings and/or leading group discussions
  • Review and leverage existing frameworks and studies, including the GAO Fraud Framework

Skills For Risk Assessment Specialist Resume

  • Lead EI Emerging and Evolving Risk identification and resolution
  • Learn investor guidelines, lending policies as well as a required documentation, policy and procedures of United Shore
  • Written communications involve documentation, internal memoranda, letters, procedures, reports/proposals and technical writing
  • Written communications involve documentation, internal memoranda, letters, procedures, reports/proposals, and technical writing
  • A comprehensive understanding of appropriate tools, techniques and methodologies used to measure and report on risk

Skills For CAC In-home High Risk Assessment Resume

  • In-depth understanding of risk areas and commercial strategies
  • Expertise in bringing together disparate sources of information across all risk disciplines to develop a comprehensive view of the aggregate risk profile
  • Data Protection Strategies (e.g., encryption, segmentation, layering, etc.)
  • Vulnerability Assessment and Penetration Testing processes
  • Knowledge of the HSBC Group structure, its business and personnel, and a deep understanding of HSBC’s corporate culture an asset
  • Develop leading indicators to support prevention of Medical Governance and Patient Safety risks
  • Provide functional expertise in single case processing management and assessment

Skills For Senior Risk Assessment Resume

  • Completes quarterly global reporting templates to document findings; and
  • Work closely with ORM and actively support EI businesses during ORM Challenges
  • Provide top notch Risk Control Mgmt Reporting to EI Senior Mgmt
  • Various Monthly Reporting Responsibilities (subset list below)
  • Provide world-class service to all internal and external clients
  • Lead the project in assessing fraud risks for the Client, including helping to lead facilitated discussions to identify and prioritize fraud risks, documenting the results in a fraud risk profile, identifying and testing key existing controls and developing an antifraud strategy
  • Identify best practices and opportunities from other agencies with regards to Fraud, Waste, and Abuse tools
  • Assess resources and other constraints of the program's business processes
  • Analysis of Treasury Do-Not-Pay Tool

Skills For AML Policy / Risk Assessment Manager Resume

  • Develop a communications plan
  • Assist merchants in preparing accurate and appropriate responses to disputes; Analyze disputed transactions to determine the appropriate response and backup documentation requirements to defend disputes
  • Performs chargeback analysis and disputes investigations; processes refunds to merchants; Work with peers and leadership by communicating chargeback anomalies, or fraud trends (based on received chargebacks), and sharing ideas and information
  • Update and maintain the company's policy and procedure documents and ensure compliance with appropriate regulatory agencies
  • Orders, interprets, and evaluates diagnostic tests to identify and assess patients’ clinical problems and health care needs
  • IT General Controls (Access and Authentication, Change Management, Operations, Physical Security, Disaster Recovery, etc.)
  • Business Solution Security (e.g., on-premise, SaaS, mobile, wireless, etc.)
  • Contingent worker email block exceptions
  • Removal storage device Control

Skills For AML Risk Assessment Resume

  • Builds Trust: Consistently models and inspires high levels of integrity, lives up to commitments, and takes responsibility for the impact of one’s actions
  • Customer Focus Connects meaningfully with customers to build emotional engagement and customer advocacy. Simplifies complexity and integrates internal efforts to deliver an optimal customer experience
  • Strong analytic, logical reasoning, problem solving, and risk vs. reward skills
  • Previous Process Safety experience
  • Three to five years of experience in risk assessment/exposure is required
  • In addition, knowledge of physical chemical fate and transport modeling/partitioning is desired
  • Pursues Excellence Seeks out learning, strives to develop and expand personally, and continuously helps others upgrade their capability to contribute to Humana

Skills For Head of Risk Assessment Resume

  • Broad knowledge of technology, networking, security tools, vulnerabilities, and exploits
  • Knowledge of regulatory controls
  • Perform comprehensive written reviews of various technologies and clearly articulate identified risks, threats, and control recommendations
  • Familiarity with NIST, ISO 27000-series, SANS, OWASP, PCI DSS and similar security standards
  • Familiarity with the Treasury Do-No-Pay Tool
  • Ten or more years of experience in an applicable risk management environment including risk/compliance management and/or strategic initiatives management experience required

Skills For Gcs-risk Assessment Resume

  • Relevant experience at a retail/commercial bank with strong understanding of AML controls and requirements for retail/commercial banks. Strong ability to run accurate queries, data analysis and BSA compliance testing
  • Demonstrated strategic management of complex processes or systems, including experience managing a large-scale project that involves multiple business lines and risk oversight groups
  • Certifications: Certified Regulatory Compliance Manager (CRCM) or related designations
  • The jobholder is responsible for ensuring that the FCC Sanctions standards are in accordance with the Group Standards Manual at local levels and that the Sanctions policy aspects of the Legal & Compliance FIM are effective and relevant
  • Have a strong understanding of internal and external drivers impacting the BMOFG’s AML risk profile and has the responsibility to maintain and update the AML suspicious transaction monitoring strategy
  • Ideally s/he has some experience with the Basel regulatory frameworks, and the U.S. and European implementation of these standards as well as familiarity with U.S. regulatory mandates such as Enhanced Prudential Standards (including IHC requirements), SR 11-7, and the OCC’s Heightened Standards
  • Supporting the Head of ERM and the team in developing and embedding a Risk Appetite framework across the bank
  • Ensuring timely and accurate reporting of the bank’s risk profile to inform executive and Board decision making

Skills For Director AML \ ATF Risk Assessment Resume

  • Establish rapport and credibility at all levels of the business and build long term relationships
  • Background in environmental toxicology, biology, risk assessment or related discipline
  • Speak French is considered an asset
  • Performs role of team lead who works directly with Staff/Program Managers and executive leadership from NHQ’s Corporate Information Security Office (CISO)
  • Results-oriented and able to quickly sort through information and develop concise and clear strategies and solutions
  • Understand the business line’s operations, products/services, systems, and associated risks/controls

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