Comfortable managing through ambiguity and change, Big picture thinker, connects disparate ideas to develop strategies to solve problems, Able to influence without direct authority, Fosters a collaborative culture - brings people together to solve challenges across the organization, Provide guidance and support to line of business to better understand, own, proactively identify, measure and manage risk, and integrate risk mitigation into their strategic decisions and management activities, Facilitate the implementation of risk management policies, programs and procedures across KTO, while maintaining engagement of line of business stakeholders and risk management disciplines, Strengthen the first line of defense by ensuring sound business practices, processes, procedures, persons, and technology exist to manage risk within the corporate appetite, Direct and provide oversight for the development and implementation of risk and control self assessments and related risk profiles across KTO, Complete the quarterly KTO risk profile including facilitating review and approval with executive leadership and corporate risk management, Provide overall monitoring and oversight of risk, control and compliance activities, along with periodic reporting to senior management, risk review and regulators. Great Great Great Great Great Great! Valkyrie Security specializes in performing a complete end to end survey of our client’s personal and professional life and identifies all physical and cyber security gaps. It’s actually very simple. our products, what they are, broadly how they work, Knowledge of controls environment and impact on business (conflicts/control room/IBC), Knowledge of deal documentation/deal mechanics/ability to review and analyze agreements, Strong organizational skills/attention to detail, Excellent interpersonal skills, ability to interact with senior leadership in IBD, Coordinate testing efforts with Internal Audit, Compliance, Risk Management and other testing functions within the business to share information and otherwise advance the established control processes, Work with various business partners: Audit, Compliance, Risk Management, Legal and outside consultants/vendors to identify and mitigate risks, Analyze the effect of new business initiatives and investment products and fielding inquiries from employees and management, Review and evaluate internal controls and procedures associated with products, services, customers and operations, Recommend and evaluate remediation plans by business units associated with products, services, customers and operations, Plan, perform and document RCSAs for Brokerage Services and Support, Design, implement, maintain and support enterprise wide GRC, Test and monitor the effectiveness of the program, Monitoring will include identification of weak controls and action plans to strengthen, Monitor and test SOPs to ensure proper policies and procedures are followed, Utilize a combination of systematic controls as well as policy and procedures to sustain and enhance the brokerage risk program, Work closely with brokerage vendors to understand and co-develop monitoring and measurement of the risk programs; periodically review policy and procedures of vendors and assess and make case to adjust according to brokerage business model, Provide support to business units related to business contingency planning, Work with business partners and regulators to ensure proper protocol is used during audits and regulatory exams, Represent business in all audits/exams – both internal and external, Perform complex analysis and resolve difficult issues, Keeps up-to-date knowledge in the industry and regulatory changes impacting our business, Supervisory responsibility of more junior staff in special project capacity, Evaluates and implements new initiatives, process/work flow improvements and program/policy changes, Responsible for developing and executing project plans and coordinating groups of operational staff, 5+ years of financial services industry experience (preferably in brokerage operations) with a strong discipline in assessing risk and implementing adequate controls, 3+ years of representing the business in regulatory audit/exam experience, Experience in supporting vendor relationships, All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel, Experience with Brokerage Services applications preferred, Ability to develop short and long-range risk management plans that are comprehensive, realistic and effective in meeting goals; integrates plans across brokerage operations business units, Challenges the status quo; asserts own ideas and persuades others; gains support and commitment from others, Able to work independently to execute with excellence, Results driven; conveys a sense of urgency and drives issues to closure, while addressing obstacles and opposition, Develops tactical and operational plans necessary to implement the business unit's audit standard and/or regulatory compliance requirements, Clarifies policies and oversees training of business unit employees on compliance requirements, Demonstrates program effectiveness by establishing control and process monitoring, auditing systems and ensuring, through testing, that they are adequate and functioning as designed, Oversees the reporting of findings and remediation of non-compliance conditions found, Ensures process and control reviews are planned and performed in accordance with defined standards and stated requirements, Develops recommendations, assesses the extent of current compliance, provides guidance for the remediation of control weaknesses, oversees reporting to executive management, develops and evaluates measure necessary to ensure future compliance with audit standards and/or regulatory requirements, Manages the overall activities of the functional area, Recommends and implements changes to methods of performing work, Ensures that adequate staff and other resources are trained, available and assigned to meet operating objectives, Provides input to policy development to manage risk and exposure for the company, Minimum 10 years of accounting or financial audit experience or other business experience, Minimum of 5 years of experience specific to managing business process re-engineering projects in a process and control environment, Bachelor's degree in Accounting, Finance or other related discipline required, In-depth knowledge of controls frameworks, Advanced knowledge of project management and financial services operations, An in-depth understanding of the business unit operations and specific processes within a financial services organization and strong knowledge of related audit, regulatory and corporate policy requirements, Knowledge of financial products including mutual funds and pension products, Proactive identification and analysis of potential risk and control gaps plus definition and implementation of solutions for the department. Analysis would include documenting process flows, identifying risks and controls, evaluating opportunities for control enhancements, and preparing management presentations, Assist with the adoption and implementation of the internal risk and controls self-assessment program and strategy, including development/maintenance of management metrics, Support team members in testing and verification efforts of key technology controls, Support coordination and management of internal compliance and audit related requests, which include, but is not limited to the following: Sarbanes-Oxley, Foreign Corrupt Practices Act, Internal/External Audit Exams, and Corporate Technology Standards, Track and monitor the resolution of Internal Audit, regulatory, or Risk Management related control issues, Minimum 5 years of experience in an IT Risk Management, Audit, or Compliance related role, Professional Certification in Technology Risk & Control Standards preferred (ex. But if … Sample Page Example L orem ipsum dolor sit amet, consectetuer adipiscing elit, sed diam nonummy nibh euismod tincidunt ut laoreet dolore magna aliquam erat volutpat. Valkyrie Controls | Free Design Services & Pre-Engineered Hardware Systems. Also do not report problems in which the Valkyrie … Get a … 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), Result oriented and pragmatic minded person, Ability to quickly establish credibility & work effectively with peers, S/he has 10+ years of experience in implementing and running a risk management function at financial institutions of comparable size and complexity, Bachelors degree with a focus within Finance, Engineering or of similar relevance, Deep understanding of banking and capital markets risks and risk management, Knowledge of regulatory requirements, market trends and industry best practices, Aptitude to challenge both lines-of-business and other risk functions, S/he has 4 + years of experience in implementing and running a risk management function at financial institutions of comparable size and complexity, Expertise in enterprise risk management (knowledge of some/most risk types); understanding of industry and market trends; understanding of typical FBO banking and broker/dealer business models and processes; expertise in new product approval processes, strategic planning and/or capital/liquidity/financial planning processes, Conduct Risk Assessment according to the Compliance Risk Assessment Methodology; Determine Risk Assessment data needs; Gather and analyze risk-related data from internal and external resources; Aggregate and analyze assessment results to identify trends/patterns that transcend business lines, Conduct interviews with Risk Assessment stakeholders and line of business management; Conduct risk-analysis based on data gathered and develop inherent risk rating, control effectiveness rating, and resulting residual risk rating for assigned business lines, Review preliminary result with Second Line Compliance Advisors to gain additional insight and guidance for incorporation; Document results to include all key inputs both quantitative and qualitative to be included in the Risk Assessment Reporting, Lead challenge review sessions with business line and First Line Risk resulting in better understanding or evidence based inputs for modifications, Analyze results, determine trends in risk profile of business lines, business segments, legal entities, and CFG, Develop and produce various management reporting for use by various layers of organization to include executive committees and boards, Maintain and update appropriate procedures and documentation on the execution of risk assessments; Refine and Validate Models; Maintain research reference archive, Participate in training and learning development opportunities, Bachelors Degree in Business, Finance, or related discipline; Masters Degree Preferred, At least 5+ years of experience working in the financial services industry, At least 3+ years of experience in analyst role performing compliance, data, business, finance, strategic or quantitative analysis, Strong quantitative and qualitative analytical skills; Strong problem solving skills, Strong Microsoft Excel, PowerPoint, and Access or other database knowledge, Demonstrated ability to be independent contributor as well as ability to collaborate within teams, Extremely well organized with the ability to multiple assignments at the same time, Coordinating AML and Sanctions Compliance risk assessment activities, enterprise-wide, Providing effective challenge to various business units across the company as to the deliverables provided in connection with quarterly AML and Sanctions Risk Assessment processes, Providing summary reports to Management on the ongoing assessment of AML and Sanctions risk for each operating subsidiary of the company, Continuously assessing the program, identifying and implementing opportunities for increased effectiveness, efficiency, and risk mitigation. Interact with internal business partners, senior management and personnel on matters frequently requiring coordination across organizational lines, Lead the development and execution of governance processes; ensure timely response to project requirements and quality deliverables from the governance team, 1-2 years of experience developing and/or working with SharePoint sites, Expert knowledge in MS Office, including Excel and Word (must know how to perform V-lookups, pivot tables, complex filtering of data, and other advanced functions), Database design, development and management, Works under limited direction; independently determines and develops approach to solutions. Adjustment code for mandated federal, state or local law/regulation that is not already covered by another code and is mandated before a new code can be created. No need to think about design details. Internal Audit and SOX program office) to drive continuous control improvement, Work with IT and Development teams during infrastructure changes to ensure accuracy of financial data, Supports the relationships between business and vendors to ensure business requirements, including control requirements, are met, and issues are addressed. Solutions are innovative, thorough, and practicable, Work under limited direction and open to collaboration, Independently determine and develop approach to solutions. Excellent EXCEL, PowerPoint, Word and Visio skills, Ability to influence upwards and downwards to accomplish critical, Ensuring that product line executes all relevant controls and meets minimum control standards, Implementing Operational Risk Framework components for the product line (e.g., RCSA, Controls testing, Metrics), Coordinating collection of inputs form COOS/supervisors within product area, Managing risks and controls at a product line level (e.g., BRCMs, supervisory MI), Facilitating operation of the IBD controls framework and support the activities of the IBD Business Risk and Controls Officer (BRCO), Assisting with IBD program of business health-checks and pre-audit prep exercises and other controls and internal audit related activities, Assisting with IBD supervisory activities/reporting/monitoring, Assisting with the IBD components of the Firm’s Compliance Risk Management policy, Producing and communicating guidance and materials on IBD/LCD policy and procedures and provide updates, Leveraging technology to facilitate the above, and access by bankers, LCD, other control functions, auditors and regulators, as appropriate, Ensuring IBD involvement in Firm projects impacting the above, Knowledge of IBD business at transactional level – e.g. Welcome To Valkyrie Tactical Apparel . Ability to work in the United States indefinitely required, Ability to communicate clearly in writing and verbally, 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. That said we know that some of our people also have jobs in offices and PTA meetings to go to. Bug Reports for the Valkyrie Uploader should be put here. - Instantly download in PDF format or share a custom link. Create a Resume in Minutes with Professional Resume Templates. Karen Brown Dayjob Limited The Big Peg 120 Vyse Street Birmingham B18 6NF England T: 0044 121 638 0026 E: info@dayjob.com. through training and team building, Support the preparation and execution of the Issues Management Update reporting process, including assisting with the production of monthly reports to stakeholders, quarterly reports to the Enterprise Risk Committee (ERC) and Audit Committee/Risk Committee of the Board of Directors (BOD), Bachelor’s degree in Accounting, Finance or related field of study plus 5-7 years of related experience, or combination of education and experience, Demonstrated understanding and experience in audit or risk and controls framework, including governance frameworks such as COSO and COBIT, etc, Strong working knowledge of Microsoft Office (Excel, Access, PowerPoint, Word, SharePoint), Ability to understand and work with a diverse group of stakeholders across the company, Identifying deficiencies in the design, operating effectiveness of controls and providing recommendations, Conducting testing of assigned controls and producing well-written work papers for review by the Supervisor, Working independently under normal supervision, Minimum of two years of IT Audit experience with a focus on risk based auditing, Bachelor’s degree in Auditing, Management Information Systems, Information Technology, Computer Science or Accounting with a focus on Accounting Systems or related discipline, Knowledge of Sarbanes-Oxley and COBIT and strong analytical skills, Outstanding people, organizational as well as written and oral communication skills, Must work well in a team-oriented environment as well as independently, Advanced degree and professional certifications such as CISSP, CISM, PMP or CIA, Prior experience auditing IT Operations (Unix, Mainframe, Windows, distributed databases, web technologies, enterprise architecture, virtualization, network), Knowledge of industry standards such as NIST, ISO, and ITIL, Lead a range of technology risk engagements (including IT internal audit, IT risk management and IT controls advisory) across our clients in Financial Services, Public Sector, and Technology, Media and Telecoms, Work with senior client stakeholders to help them better manage their technology risks through pragmatic and fit for purpose solutions, Lead teams to achieve successful engagement outcomes for the client and our business, including managing engagement risk, quality and finances, Support new revenue streams through identification and qualification of opportunities in the market, and contributing to business development activities, Contribute to streamlining and innovating our technology risk service offerings, Ability to influence others through the development of strong working relationships, Proven supervision and oversight skills with a working knowledge of industry standards and policies; and, Experience executing both strategic and tactical objectives, Highly effective organizational and time management skills, Experience implementing process improvements, The ability to work independently, with minimum guidance; and, The ability to work on multiple projects and prioritize based on regulatory risk and business needs, Responsible to lead, coordinate and provide oversight for the design and execution of specific risk programs and initiatives; provide ongoing oversight and governance, Proactively evaluate internal and external research, including leveraging peer benchmarks to identify current and emerging risk issues and develop response strategies to address gaps, Strengthen the first line of defense by implementing and ensuring sound business practices, processes, procedures, people, and technology exist in the businesses and that external events and emerging risks are considered and managed within the corporate risk appetite, Work with various stakeholders and peers to develop and connect risk impacts across KCB, Along with Director, KCB Business Risk & Controls to help drive the culture around risk in all businesses, Provide guidance and support to lines of business to better understand, own, proactively identify, measure and manage risk; integrate risk mitigation into strategic decisions and management activities, Direct and provide oversight for the development and implementation of risk and control self-assessments and related risk profiles across KCB, Provide direction and oversight for quarterly assessments of testing, control effectiveness, residual risk, risk metrics and encourage proactive identification of weaknesses and/or control gaps, Monitor, and provide guidance on findings, remediation plans, and exception requests, escalating risks and issues outside of risk appetite, Complete the quarterly risk profile including facilitating review and approval with executive leadership and corporate risk management, Provide overall monitoring and oversight of risk, control and compliance activities, along with periodic reporting to senior management, risk review and regulators. 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