associate control manager resume example with 7+ years of experience
Jessica
Claire
resumesample@example.com
(555) 432-1000,
, , 100 Montgomery St. 10th Floor
:
Professional Summary
Excellent analytical skills with the ability to analyze situations accurately and efficiently. Ability to thrive in a demanding environment requiring a high degree of deadline-driven productivity, commitment, adaptability, organization, time management, initiative and follow-through. Sound ability to work independently and in a team setting both while handling pressure and meeting deadlines. Dedicated to creating and implementing programs and techniques related to data collection, reporting systems, cost accounting and respective data quality. Diligent Compliance Manager with 6 years of experience making sure products and services meet internal and external standards. Skilled in market research, project management and statistical analysis. Organized and analytical with excellent written and verbal communication skills.
Skills
Final Product Approvals
Progress Reporting
Raw Material Inspection
Process Analysis
Quality Systems
Regulatory Compliance
User Acceptance Testing (UAT)
Risk and Mitigation Analysis
Verbal and Written Communication
Policy Reinforcement
Project Management
Test Plans and Cases
Fraud Investigation
Vulnerability Examination
Rules And Regulations
Report Preparation
Sound Judgment
Education
Kaplan UniversityDavenport, IA, Expected in 02/2017 ā āMaster of Science:Homeland Security and Emergency - GPA:
GPA: 3.85
Kaplan UniversityDavenport, IA, Expected in 07/2015 ā āBachelor of Science:Human Services, Child & Family Welfare - GPA:
GPA: 3.91
Dean's List
Work History
Princeton University Staff - Associate, Control Manager Boston, MA, 03/2022 - Current
Finance Control Management (FCM) is responsible for maintaining strong and consistent control environment across Firm wide Finance, promoting early operational risk identification and assessment, effective design and evaluation of controls and sustainable solutions to mitigate operational risk
Responsibilities include:
Risk identification and assessment including ongoing monitoring of operational risk and control environment
Control design and evaluation
Issue management
Governance and reporting including managing control committees and forums
Position Summary
Partnering with business to identify risks and associated controls in support of Firmās control framework programs (inclusive of SOX and CCAP)
Performing control evaluation activities
Coordinating risk-based process reviews and pre/post audit reviews
Supporting ad hoc control agenda initiatives including risk-based process reviews
Partnering with Internal Audit and Operational Risk during audits/reviews
Participating in monthly/quarterly meetings with business partners based on control agenda
Understanding and implementing Corporate or LOB policies, procedures, or other initiatives related to control enhancements and best practices
Communicating effectively with business partners and other control functions
Managing control issues and overseeing associated remediation plans
Developed and analyzed quality control processes and deliverables to determine present standards and establish recommended action plans
Collaborated with stakeholders to verify delivery of desired quality requirements to distributors
Ssc Advisors, Inc. - Assistant Vice President Shawnee, KS, 01/2019 - 03/2022
Overall Advisory program and platform support to provide guidance and leadership on controls, controls substantiation, help drive Risk and Supervision framework and related business oversight activities, etc.
Establish sound understanding of Advisory business in order to partner and help support business risk initiatives to assist in further risk management and mitigation
Ability to review client account information, perform data analytics to identify any potential gaps between clients' investments, asset allocation and investment strategies employed by Financial Advisors
Establish relationships, maintain open lines of communication and collaborate with Advisory business partners, Legal, Compliance as well as Firm and WM Risk partners and stakeholders to ensure guidelines and initiatives are understood
Help th team create synergies amongst product, program and platform across Investment Solutions to achieve cohesion in risk management practices
Take a proactive approach to risk management and implement new WM Risk priorities and projects
Advisory Supervision Framework
Work with WM Field and Supervision Risk to identify opportunities for harmonizing activities
Work with Advisory platforms and technology team on delivering the roadmap of advisory projects
Assist with gathering business and risk requirements for process automation and advisory system enhancements
Perform a number of analyses to oversee clients' account volatility, investment concentration reviews (including cash and other instruments) to ensure that these are within the risk band defined by the Risk Tolerance provided by the clients' Know Your Customer (KYC) Risk Profile
Develop quantitative / analytical stats to measure accounts not being compliant, assessing Financial Advisor's practices regarding the initiatives, creating processes and procedure to mitigate identified risks, identifying potential areas for enhancement, and escalating finding to senior management
Work regularly with Financial Advisors, Advisory Program Management, Risk, Legal, Operations, Audit, and Compliance
Assist with Field communications, field outreach related business oversight activities
Learn and become proficient in the technology tools and platforms leveraged for business oversight and supervision activities
Business Remediation Efforts
Drive remediation efforts by working in tandem with business stakeholders and key control partners across business segments
Help the team in analyzing and assessing tactical and strategic resolutions and determine risk and business value
Plan and perform internal reviews of procedures and controls residing within various product and business areas to ensure that controls are adequately designed and are operating effectively in preparation for all audits, compliance exams, and regulatory inquiries
Proactively engage appropriate stakeholders and partners to lead the implementation of enhanced processes and controls build-out for any identified control gaps or opportunities for enhancement
Tactical and Strategic Project Management
Identify opportunities for improvements and enhancements across business and risk oversight activities with the team to achieve efficiencies
Work to bolster and enhance the control environment
Focus on tactical control development with a view towards longer term process automation opportunities
Worked closely and collaborated with the Legal and Compliance, Research Management and Research Analysis to create and test regulatory templates to be used ensure the integrity of data being analyzed to generate reports
Management Reporting
Perform analysis and develop reporting to provide senior management for a variety of difference forums (i.e., monthly business risk reporting, advisory risk summary senior management, quarterly risk updates to head of the business, metrics reporting as part of monthly dashboards etc.)
Develop reporting and effectively and timely communicate risk management issues and internal control deficiencies to management with properly vetted and proposed solutions
Participate in and drive ad hoc projects.
Reviewed, identified, updated and prioritized strategic initiatives to provide comprehensive support to senior leadership
Attended weekly meetings and special sessions of Leadership and Executive Leadership Teams and contributed to major administrative initiatives, policies and decisions
Risk And Oversight, Morgan Stanley - Associate City, STATE, 10/2016 - 12/2018
Responsible for validating that the business operates in a controlled environment with appropriate risk-management processes
Evaluate the effectiveness of the business' controls, implementing and executing strengthened controls, supporting internal audits and risk reviews
Work with the Operational Risk team responsible for identifying advisory account deficiencies
Assess, report, track and conduct field outreach pertaining to the operational risk information
Update and present data to Risk Management regarding the advisory account deficiencies, advisory termination and asset retention
Maintain consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations
Review data and documentation to ensure they meet regulatory requirements.
Prioritized tasks to meet tight deadlines, pitching in to assist others with project duties
Developed training program to educate new hires on company policies and procedures
Randstad, Morgan Stanley - Customer Service / Field Support City, STATE, 06/2015 - 10/2016
Assist in the sales process of the platform support to Financial Advisors or Private Wealth Advisors
Proficiently utilize all proprietary applications such as 3D Desktop, 3DR, CG Portal and Common Proposal System as well as navigate other system tools available
Provide proactive education and assistance to Financial Advisors, Private Wealth Advisors and Sales Assistants in both managed platforms on product, policies, procedures and online systems navigation
Assist Financial Advisors and Private Wealth Advisors with questions involving new account opening procedures, generation of proposals for active clients or prospects, trading of accounts and training on various program policies and guidelines
Work collaboratively with team members by managing call volume while providing outstanding customer service
Participate in FSS cross training program to broaden and strengthen experience in the industry.
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