Risk & Compliance Resume Sample

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Marcus Parisian
46640 Elwyn Plaza,  Detroit, MI
+1 (555) 533 1009

Work Experience


Security Risk & Compliance Management Specialist
10/2017 - PRESENT
Detroit, MI
  • Provide support for large and complex audits, examinations, reviews, and projects related to keeping the business line in compliance with regulatory issues and requirements, specific to: CAS, CQA, E&Y, SSAE16, Basel II, SOX, OCC, CFPB audit and exam testing
  • Manage audit requests and engagements as it relates to Collections and Recovery
  • Manages Centralized Issues Management (CIM) process for RPS Collections and Recovery
  • Drives issue resolution and root cause identification around CIM’s
  • Coordinates CIM updates required around the process
  • Assign tasks and responsibilities to direct reports while monitoring workflow and performance and ensuring accurate and timely follow up
  • Drive regular audit updates within department to ensure alignment to audit findings and best practices
Chicago Risk & Compliance
04/2011 - 04/2017
Chicago, IL
  • Drive reporting, monitoring, and tracking of issues, remediation, and resolutions
  • Interface in a professional manner with Regulators, Corp Auditors, and others while representing the department
  • Perform work independently with minimal guidance and oftentimes under high levels of stress within compressed time frames
  • Provide guidance and direction to direct reports as necessary
  • Function as a stand-in for meetings, calls, etc. when management is unavailable
  • Provide regular and extensive updates of issues, workflow, and staffing to management
  • Draft clear, logical, and complete audit responses on behalf of the business line in conjunction with Business Area Owners, that are measurable and attainable
  • Manages Risk and Compliance Business Office (RCBO) initiatives for assigned area in Risk & Compliance including but not limited to: complex problem-solving, business continuity, and developing processes
IT Security Analyst Risk & Compliance
12/2003 - 10/2010
Chicago, IL
  • Develops financial analysis, modeling, and reporting to support business results tracking and decision-making
  • Conducts qualitative and quantitative analysis and prepares metrics on assigned business areas to include forecasts, incentives, budgets and/or cost-benefit analyses
  • Manages vendor Statement of Work (SoW), invoices, and tracking of project expenses
  • Helps to ensure Risk & Compliance functions are operated “as a business”, by managing costs and headcount efficiently and effectively
  • Communicate risk control parameters across the company and establish risk policies
  • Review on a quarterly basis the EPRS returns and generate risk reporting as needed
  • Maintain relations with internal and external auditors and investigate findings

Education


Walla Walla University
1998 - 2003
Bachelor's Degree in Computer Science

Professional Skills


  • Strong written communication skills, including preparation of work papers / formal report writing with sufficient attention to detail (quality focus)
  • Solid problem-solving skills and experience
  • Self Motivated, possess strong communication skills and be able to work with minimal supervision under strict deadlines
  • Excellent grammar, communication and time management skills
  • Strong leadership and communication skills with fluent English (both oral and written)
  • Utilizing project management skills in relation to data management projects, including developing project plans, budgets, and deliverables schedules
  • Helps to ensure Risk and Compliance functions are operated “as a business”, including by helping to manage costs and headcount efficiently and effectively

How to write Risk & Compliance Resume

Risk & Compliance role is responsible for reporting, security, negotiation, analytical, securities, finance, credit, training, integration, database.
To write great resume for risk & compliance job, your resume must include:

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

Contact Information For Risk & Compliance Resume

The section contact information is important in your risk & compliance 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 & Compliance Resume

The section work experience is an essential part of your risk & compliance 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 & compliance 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 & compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Risk & Compliance resume experience can include:

  • Excellent written and verbal communication, document editing and storyboarding skills
  • Strategic agility and creative mindset with proven ability to effectively partner/work and succeed in a complex, matrix environment
  • Strong interpersonal and communications skills, both to internal teams as well as to customers
  • Excellent PC skills (Excel, Word, Adobe, SharePoint)
  • Establish controls to enable the business to operate efficiently, cost-effectively and remain compliant with industry best practices
  • Demonstrable experience of influencing senior business leadership teams, strategic thinking and prioritisation

Education on a Risk & Compliance Resume

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

When listing skills on your risk & compliance 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 & compliance skills:

  • Demonstrating project management skills in relation to data projects, including developing project plans, budgets, and deliverable schedules
  • Experience implementing programs for large and rapidly growing technology companies, ideally that operate Software or Platform as a Services (SaaS/PaaS)
  • Good understanding and experience of the Compliance domain
  • Internal Audit or Operational Risk experience or experience in key controls testing
  • Thinking creatively and using individual initiative, and flexibility in prioritizing and completing tasks
  • Thinking creatively while demonstrating individual initiative and flexibility in prioritizing and completing tasks

List of Typical Experience For a Risk & Compliance Resume

1

Experience For Security Risk & Compliance Management Specialist Resume

  • Knowledge and experience in applying Risk Management Frameworks, Policies, Procedures and Practices
  • Proven collaboration, internal relationship management and teamwork
  • Knowledge and experience in Privacy Risk Management and Information Security policy and standards, and their application
  • Experience in Business Resiliency management
  • Experience in technology related risk controls, gaps and solutions
2

Experience For Director, Risk & Compliance Resume

  • Expert risk and compliance mindset
  • Organizational awareness with knowledge of RBC Business Platforms and T&O Units
  • Accurately define problems and objectively consider alternative solutions and anticipate technical, business and risk impact
  • Risk certification an asset
  • Resolves issues, concerns, and conflicts at the Senior Management Level on matters affecting the risk and compliance requirements of global sourcing initiatives
  • Participates, as Global Sourcing risk and control Subject Matter Expert in the completion of Global Sourcing Enterprise Risk and Control Assessment managed through T&O Operational Risk Management
  • Establish and maintains relationships with 1st line and 2nd line of defence risk management groups and Risk Centres of governance to create an integrated best in class global sourcing risk management and compliance framework
  • Builds a motivated, high performing team and supports team member’s personal and career development
3

Experience For Senior Manager, Risk & Compliance Resume

  • Deliver a thorough knowledge of regulatory requirements in the Banking industry and apply it to client situations
  • Implementation and enforcement of firm policies related to the Investment Adviser's Act of 1940 for the corporate investment advisor and corporate advisor
  • Oversight of compliance activities related to research and centrally managed advisory programs
  • Participates in regulatory exams, assists in the creation of new investment advisory programs and represents the department on various projects and initiatives
  • Keep up to date a working knowledge of applicable laws, regulations and company policies to identify company’s legal obligations based on GCO´s Global Legal Inventory for the market
4

Experience For Head of Technology Risk & Compliance Resume

  • Accounting and Finance Change and Analytics Solutions: through advanced technology and data analytics, we assist our clients in the implementation of new accounting standards and solve large scale data driven issues rooted in accounting and finance (e.g. reporting disconnect, accounts out of balance, complex data reconciliation); and,
  • Audit Modernization: we embed data and technology in our audits to enhance audit quality and enable our engagement teams to provide greater insight to our clients
  • Provide the ERM team with a comprehensive set of ERM tools, practices and policies to analyze and report enterprise risks, including the implementation of risk metrics and reports such as loss events and incidents, key risk exposures and early warning indicators
  • Develop and review key performance indicators/metrics to assist management in the early identification of risk trends
  • Prepare materials and escalate risks to facilitate decision making discussions for relevant management and governance committees; including quarterly reporting, annual reviews and periodic updates of existing risks, controls, and procedures
  • Provide conceptual thinking and analytical skills with the ability to analyze complex problems that include interrelationships and dependencies in order to identify common themes and solutions
  • Experience in preparing and presenting materials to an executive level audience
  • Financial services industry and risk management experience required, preferably in a risk, audit, or compliance role
5

Experience For Advanced Risk & Compliance Analytics Resume

  • Maintain the second line of defense in relation to identifying, mitigating, and managing risks in line with the policies set out by the firm
  • Identify and assess enterprise and emerging risk issues and assigns risk ratings consistent with established policy standards
  • Work with assigned business units and provide operational risk expertise and consulting for projects and initiatives
  • Be the primary advocate, subject matter expert, and resource for the organization with respect to ERM-specific policies and procedures and assist with the creation of training or support, as deemed necessary, to various stakeholders in order to drive awareness and understanding of enterprise-wide risk
  • GR Risk Reporting oversight and management
  • Global Sourcing First line of defence practice development
  • The formulation of a Trust & Fiduciary Risk & Compliance reporting process
6

Experience For Chicago Risk & Compliance Resume

  • Define the Company’s Fiduciary Risk Appetite and develop reporting metrics to ensure adherence
  • Escalate significant risk issues to the appropriate risk committee and monitor corrective actions to address issues, where needed
  • Workingknowledge of FINRA and SEC rules
  • Ensure Tech ARC KPI’s are in line and fully met
  • Ensures that global sourcing risks are consistently identified mitigated and reported/escalated enhancing RBC’s ability to anticipate and manage global sourcing risks effectively
  • Risk Assessment practices management oversight and direction
  • GR Resiliency practices management oversight and direction
  • GR Risk and Compliance support to LoBs, IT Units, GR and functional partners
7

Experience For Risk Compliance & Contracts Manager Resume

  • Experience, or equivalent in Risk/Compliance/Audit program development, internal control consulting, process improvements, or risk management utilizing various automated tools and techniques
  • Preferably 5-8 yrs. hands-on development work in a Java / J2EE development environment
  • Implement the security and privacy program’s risk and control framework
  • Ensure the Fiduciary Risk & Compliance Framework is aligned with FIS’s Enterprise Risk Management Framework and governance structure
  • Oversee the implementation of Risk best practices, risk expertise to Business leaders as they develop plans and strategies to achieve their objectives
  • Work closely with the general auditors of the company to develop audit scope and methodology in the Trust & Fiduciary business
8

Experience For VP Enterprise Risk & Compliance Partnerus Resume

  • Stay abreast of relevant legislation and regulatory requirements with respect to the Fiduciary & Trust businesses, and communicate their impact on the Company to senior management and the relevant Board committees
  • Ideally 4 years in operations and team management experience
  • Hands on experience of HTML5 frameworks AngularJS, Bootstrap, HTML, CSS, JQuery, KendoUI
  • Experience with java application servers like Tomcat7/8
  • Experienced with ISO 27001 implementations
  • Demonstrate ability to succeed within fast-paced, high-growth environments
9

Experience For Director of Risk & Compliance Resume

  • Work closely with Accuity’s data operation teams to agree on the roadmap and the financial and operational planning of how the roadmap is to be delivered
  • Meet the organisation’s policies and standards for its staff, including integrity, ethics and equity requirements
  • Work closely with members of the Legal Department
  • Foster positive relationship with each affiliate’s senior management, and risk and compliance teams. Coordinate joint meetings of the affiliates’ risk and compliance teams to facilitate knowledge sharing
  • Assist the company’s Chief Compliance Officer in performing an annual assessment of the Firm’s Code of Ethics, compliance policies and written supervisory procedures pursuant to Rule 206(4)-7
10

Experience For Manager, Operational Risk & Compliance Resume

  • Assist with the compliance testing, ensuring that the compliance programs meet or exceeds regulatory expectations
  • Work with each Enterprise risk and compliance teams to analyze new and enhanced product offerings, to assess potential compliance issues
  • Tax data with respect to the security
  • Transaction and payment data from financial institutions
  • Responsible for understanding market and client requirements as they relate to the area of sanctions and other ‘heightened risk’ data sets, and translating these into a clear and deliverable strategy with corresponding product roadmap and business cases
  • Work in close collaboration and partnership within clients’ business, audit, engineering, and information security teams. Facilitate cross functional workflows and relationships

List of Typical Skills For a Risk & Compliance Resume

1

Skills For Security Risk & Compliance Management Specialist Resume

  • Operational risk / compliance experience in a consulting / professional services firm with financial services experience
  • Overseeing the entire interview process, maintaining solid relationships and providing attention to detail at all times
  • Experience creating, updating, and applying security policies and procedures for a global company
  • Working experience in banking/markets/compliance, audit, risk or internal controls related unit
  • Experience working with and implementing a GRC tool desirable
2

Skills For Director, Risk & Compliance Resume

  • Experience auditing information technology controls
  • Regulatory compliance experience with various server/operating system environments (especially Windows and Linux), network technology and administration
  • Experience implementing large compliance programs for technology companies
  • Experience working with international regulations such as GDPR
  • Experience implementing partner and vendor risk assessment and review programs
  • Capability of operating at a senior level and a strong track record of commercial success
  • Good understanding of ITCS104 / ITC300 IBM standards
  • Experience in direct sales in Finance, Financial software and/or a management consulting role
  • Validation of underlying data, key reports and KPI’s
3

Skills For Senior Manager, Risk & Compliance Resume

  • Experience in Java programming 3-5 years
  • Generating a network of candidates via advertising, headhunting and networking
  • Promoting learning and knowledge sharing through internal and external information sources in line with the business unit’s culture
  • Developing new business opportunities via market mapping and cold calling
  • Working knowledge of web applications using Java, J2EE, JSP, JSF/AJAX (preferable IceFaces), Spring, Hibernate, JDBC, JMS
  • Demonstrating an understanding of one or more industries/sectors such as knowledge of products, operations, competitive environment, and future state
  • Maintaining client relations and manage our key clients and existing book of business
4

Skills For Head of Technology Risk & Compliance Resume

  • Understanding of evaluating business process, compliance and risk issues
  • Maintaining Risk Register and working with relevant stakeholders to identify risks and controls relevant to the business
  • Understanding of compliance systems and technology such as Spotfire, Tableau, Microsoft BI, and Qlikview
  • Using data integration tools such as Informatica, Ab Initio, SAP Data Integrator, and Microsoft Integration Services (Applicable to Energy specialty)
  • Leveraging data visualization tools such as Spotfire, Qlikview and Tableau; and,
  • Assisting to generate a vision, provide input on direction, coach staff, and encourage improvement and innovation
5

Skills For Advanced Risk & Compliance Analytics Resume

  • Voting member of the CFPB Adjudication Panel
  • Working seamlessly in a virtual environment to complete projects with team members based in various locations, domestically and globally
  • Working knowledge of regulatory compliance with PCI, HIPAA etc
  • Processing the information to produce investor level information
  • Facilitating risk workshops, scenario analysis and periodic risk and control self-assessments
  • Support best practice through developing and embedding of functional systems, monitoring key performance measures and sustaining best practise, processes
  • Identify and address client needs, including developing and sustaining meaningful client relationships and understand the client’s business
6

Skills For Chicago Risk & Compliance Resume

  • Strategy formulation and implementation; tracking and measuring progress against agreed objectives/deliverables
  • Oversees LPL's training relating to Advisory Compliance
  • Undergraduate / graduate degrees in accounting, auditing and/or finance
  • Successful track record of building and leading teams
  • Part of Risk & Compliance team providing regular cadence reviews to the Account & Compliance Team and driving compliance activities before they become overdue
  • Develop and review Business Unit Testing & Monitoring (BUTM) test plans based on process risks, developed controls and subject matter expertise
  • Identification of Securities that belong to an asset class requiring special tax processing
7

Skills For Risk Compliance & Contracts Manager Resume

  • Edit testing and standardizing the tax information
  • Implement BASEL IMM for OTC derivatives Credit Risk reporting
  • Create positive engagement while maintaining leadership responsibility for the team
  • Recommends HR risk rating on all IAAPS
  • Conduct regular reviews and provide exception/exposure reporting and remediation plans to leadership
8

Skills For VP Enterprise Risk & Compliance Partnerus Resume

  • Vulnerability scanning, intrusion detection, anomaly detection, and associated technologies
  • Tools, techniques, and standards used to conduct penetration testing of networks and applications
  • Deep understanding and application of security frameworks, compliance, and control standards such as ISO, ISAE, SOC, HIPAA, FISMA, and FedRAMP
  • Interacting regularly and directly with senior executives
  • The ability to develop a sound understanding of the financial services market
9

Skills For Director of Risk & Compliance Resume

  • Work with business partners as relevant to build standardization in methodology, approach and reporting across all the different CB&L business units
  • Responsible for managing the implementation of and compliance to Standards, Policies, Procedures and Work Instructions
  • Internal Auditors/Risk Assurance Consultants with a "Big 4" background - including 1st Movers
  • Sunset products and services offerings appropriately allowing for efficient use of resources for continued innovation
  • Ensure Visa’s policies including Key Controls are followed
  • Collection of the information necessary to comply with the reporting obligations
10

Skills For Manager, Operational Risk & Compliance Resume

  • Things to be aware of when considering a job at Wall Street Concepts
  • Develops Compliance programs and acts as a contact point within the Company for Compliance inquiries from partners
  • Establishes written guidance on the appropriate implementation of Compliance programs and laws, regulations, rules and standards, through policies and procedures and other documents, such as Compliance manuals, internal codes of conduct and practice guidelines
  • Identifying and addressing client needs, including developing and sustaining client relationships
  • Identifying and obtaining new service opportunities and taking the opportunities through the sales cycle, including the following
  • Assists senior management in developing Compliance programs and identifying partners who are required to take certain training

List of Typical Responsibilities For a Risk & Compliance Resume

1

Responsibilities For Security Risk & Compliance Management Specialist Resume

  • Solid experience in credit risk management, underwriting of commercial accounts, sponsor bank oversight, and complicated credit restructurings
  • Moderate written and verbal communication skills
  • Analytical skills to critically verify aspects and challenge documentation with an independent mind-set
  • Superior leadership, interpersonal skills
  • Compliance advisory experience or other relevant business experience such as law, compliance, regulatory, operational risk or audit
2

Responsibilities For Director, Risk & Compliance Resume

  • Experienced communicator and negotiator at all levels with strong customer service focus
  • Providing effective advice to Asset Servicing on the application of the C&I Operational Risk and Compliance Settings to the Asset Servicing Risk Profile
  • Experience defining and driving business strategies as well as driving efforts that are delivered with matrixed teams/resources
  • Manage Medallia’s security risk program, including scoring and prioritizing risks
  • Experience defining and executing business strategies for products and services
  • Experience designing and evaluating information security regulatory controls in an audit role
3

Responsibilities For Senior Manager, Risk & Compliance Resume

  • Five or more years of experience working with IT security guidelines and requirements outlined or as driven by SOX, PCI-DSS, etc
  • Keep abreast of Director’s priorities, ensure timely signatures on departmental documents and manage post through regular one-on-one catch ups
  • Five or more years of combined experience in information security and risk management
  • Experience in a senior compliance and risk function in financial services
  • Operational Risk & Project Experience - Senior Analyst to Senior Manager, Contract & Perm
  • Experience and/or qualification in process improvement methodologies and/or project management methodologies
  • Financial Services experience in project delivery and risk and compliance
4

Responsibilities For Head of Technology Risk & Compliance Resume

  • Strong ability to apply both conceptual and pragmatic / commercial thinking to problem solving
  • Legal & Regulatory /Payments experience
  • Strong ability to influence and succeed through collaboration and influence / negotiate change
  • Strong ability to build and maintain trusted advisory relationships with internal and external stakeholders
  • Experience in Risk and Compliance
  • Experience in Financial Services
  • Documenting and performing walkthroughs of key processes, risks, controls, and testing procedures
  • Creating a positive environment by monitoring workloads of the team and respecting the work-life quality of team members
5

Responsibilities For Advanced Risk & Compliance Analytics Resume

  • Working from modern, brand new offices which are designed to promote flexible working
  • Providing feedback in a timely manner; and keeping leadership informed of progress and issues
  • Representing the team at client, industry or stakeholder forums
  • Performing on project teams and providing deliverables involving multiphase data analysis related to the evaluation of compliance and risk issues
  • Evaluating business process, compliance, and risks
  • Lead pricing and positioning efforts
  • In related field, preferably in banking or consumer lending compliance
  • Provide support as needed to clients’ external auditors to ensure controls are adequately designed and operating efficiently
6

Responsibilities For Chicago Risk & Compliance Resume

  • Manage security risk-related activities of Epsilon’s IT organization, contributing to budgeting, planning, testing, reporting, and recommending appropriate remediation measures
  • Enhance Protiviti’s market presence and exposure in the marketplace in order to develop opportunities with new clients. Contribute to development of Protiviti brand
  • Experience working in IT
  • Experience in driving change in security functions within multiple organizations
  • Holds at least one of the following certifications, CISA, CISM, CRISC, CGEIT, CISSP, ISO 27000 Lead Implementer/Auditor
  • Ensures compliance through adequate training programs and oversight of periodic internal security audits
  • Client relations and manage our key clients and existing book of business
7

Responsibilities For Risk Compliance & Contracts Manager Resume

  • Drive Sales and Marketing strategies and support execution for Risk & Compliance products
  • Drive collaboration and success between Risk & Compliance, Product, Technology, Marketing and other business areas
  • Comprehensive knowledge, understanding, and expertise related to risk and compliance product offerings, market needs and trends/changes
  • Highly organized with ability to multi-task while working in a fast-paced environment
  • Serve as primary Security interface to Sales and Support in helping with security reviews in a pre-sales and post-sales capacity
  • Manage the tools used for risk and compliance tracking
  • Develop training and collateral related to security and compliance for sales, professional services, and employee awareness
  • Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services
8

Responsibilities For VP Enterprise Risk & Compliance Partnerus Resume

  • Participate in the development and oversight of required corrective action plans relating to compliance issues
  • Assists in developing audit checklists, programs and/or guidelines
  • Internal Auditors/Consultants with a "Big 4" background - including First Movers
  • Technology Risk in Banking
  • "Big 4" Consulting and Assurance
  • Exhibit excellent analytical skills, the ability to manage multiple projects under strict timelines as well as the ability to work well in a demanding, dynamic environment and meet overall objectives
  • High level of personal integrity as well as the ability to professionally handle confidential matters, and show an appropriate level of judgment and maturity
  • Execute on the team’s oversight program covering Business Lending Business units. This includes undertaking continuous oversight in respect of Change (including Regulatory), Risk KPI, Events, Business Continuity Management, and Risk Profiling; and conducting themed reviews
  • Support the Head of Operational Risk & Compliance - Business Lending for second line risk, in addition to the Customer Product & Services Op Risk & Compliance team’s Oversight Plan development and execution
9

Responsibilities For Director of Risk & Compliance Resume

  • Show thought leadership and actively participate in CPS Risk strategy in order to set and achieve CPS Risk’s goals
  • Lead the D&TS and Digital Risk team, role modelling NAB’s values, coaching and giving in the moment feedback as well as driving the organising to achieving the One NAB Plan
  • Focus on our vision – to be Australia and New Zealand’s most respected bank – and bring ‘Thoughts into Action’, ‘Passion for Customers’, and ‘Kaizen’ to life
  • Leads the development and execution of strategic & consistent approaches to compliance reviews, issues and/or concerns to minimize the organization’s exposure
  • Partner with customers internal to MarketSource and Allegis Group, including but not limited to: Finance, IT, Legal, HR, Allegis’ Ethics, Compliance & Risk Management Team (which includes Information Security), Strategic Reporting, and senior leadership on all relevant strategies, tactics and projects
  • Work directly with client/customer to perform information security reviews as well as other services such as vulnerability/patch management scanning, hardened image configuration and IT Audits
  • Produce thorough reports detailing the findings of the services-rendered and provide recommendations to help the client meet information security and compliance standards
  • Serves as a Subject Matter Expert applying a holistic understanding of risk and regulatory compliance to assist customer strategies and solutions
10

Responsibilities For Manager, Operational Risk & Compliance Resume

  • Advises management on the status of customer environment related to risk identification and control weaknesses. Identifies critical areas to monitor and escalates issues and findings to appropriate stakeholders
  • Serves as a primary resource to cross functional team members and advises on risk mitigation opportunities. Stays informed of changes to the regulatory environment to ensure proper compliance with processes and requirement trends for our customer base
  • Work in close collaboration and partnership within clients’ business, audit, engineering, and information security teams; Facilitate cross functional workflows and relationships
  • Deliver subject matter expertise in areas of risk and internal control; Develop and deploy tools and reporting mechanisms in support of tracking issue resolution, KPIs, and controls testing
  • Provide oversight and draw insights across regulatory risk, compliance and operational risk matters to the Consumer Lending businesses and Marketing teams in Customer Product & Services
  • Execute on the team’s oversight program covering Consumer Lending and Marketing Business units. This includes undertaking continuous oversight in respect of Change (including Regulatory) Events, Business Continuity Management, and Risk Profiling; and conducting themed reviews
  • Settings and managing non-compliance in a timely manner

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