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Risk Management Associate Resume Example

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RISK MANAGEMENT ASSOCIATE
Summary
Experienced manager with excellent client and Compliance and Risk Management skills. Action-oriented with strong ability to communicate effectively with technology, executive, and business audiences.
Highlights
  • Operations management
  • Client-focused
  • Computer proficient
  • File/records maintenance
  • Training and development
  • Spreadsheet development
  • Cash handling
  • Risk management expertise
Experience
06/2014 - Current
First Western Trust － Denver, CORisk Management Associate
  • Support Risk Management activities in accordance with the company's compliance training program, risk policies and procedures.
  • Coordinate information security and business continuity initiatives.
  • Managed the vendor management process and system, including contracting and regulatory due diligence; track contract expiration dates and facilitate renewal and terminations.
  • Assist in the development of company-wide compliance and regulatory training and preparation of training materials.
  • Administered and coordinated the company's online compliance training system and tracked company-wide compliance training.
  • Conducted quarterly information security reviews, CIP reviews, Clean Desk Audits and report results/recommendations to managers.
  • Conducted compliance reviews within Deposit Support Services, Loan Support Services, and Trust & Investment Management Support Services areas.
  • Maintained the company's Disaster Recovery procedures and Business Continuity Plan Documents.
  • Provide assistance with Internal and External compliance examinations; track documentation and Audit/Exam responses within compliance tracking systems.
  • Manage internal Risk Management/Compliance email box.
  • Conduct research on compliance and regulatory matters.
02/2013 - 06/2014
First Western Trust － Denver, COCredit Compliance Administrator
  • Reviewed Loan Requests to ensure compliance and coordinate with credit analysts and lenders to obtain information and documentation.
  • Established and fostered new and existing vendor business relationships when ordering and requesting appraisals and appraisal reviews.
  • Prepared Loan Committee materials; recorded and distributed minutes.
  • Worked with Internal Loan Origination and Servicing teams.
  • Assisted in Loan documentation preparation.
  • Worked with Compliance Department to establish bank Guidelines on CRA, HMDA and other Compliance and Audit regulated matters.
02/2007 - 02/2011
United Western Bank － Denver, COOperations Specialist/System Support
  • Responsible for the implementation and set up of business and consumer client on line banking applications, products and Treasury services.
  • Responsible for security set up (passwords and user credentials) for new and existing employees.
  • Performed quality control on deposit.
  • account files to ensure compliance with regulations Performed internal reviews on ACH and wire authorization forms to ensure compliance with bank policy and to ensure proper approval and signing authority was obtained.
  • Regularly reviewed and maintained deposit and operational procedures including OFAC, CIP, Deposit Account Opening/Closing, Online Banking and ACH/Wire processes.
11/2005 - 02/2007
Preferred Parking － Denver, COValet Manager
  • Responsible for the care of client's vehicles and personal property.
  • Coordinated staff scheduling, and in new staff selection.
  • Provided security and peace of mind.
05/2005 - 11/2005
Washington Mutual － Westminster, COAssistant Financial Center Manager
  • Oversee Sales, Branch Operations and Branch Personnel.
  • Served as Operations Trainer, ensuring strict adherence to policy and procedures as it pertained to Branch Opening and Closing procedures; new client account products and services, ATM servicing and other daily duties.
07/2003 - 05/2005
US Bank － Westminster, COAssistant Bank Manager
  • Delivered exceptional customer service and sales.
  • Oversee daily branch operations including; Teller functions, new account opening functions, cash ordering, and assisted clients with bank products and services.
  • Ensured compliance with company policies and procedures.
09/2001 - 09/2002
CU Service Center － Arvada, COBranch Manager
  • Establish and maintain relationships with individual or business customers and provided assistance with problems these customers may encounter.
  • Planned, directed, and coordinated the daily activities of workers in the branch.
  • Recruited new hires and oversee training programs.
  • Network within communities to find and attract new business.
  • Prepared financial or regulatory reports required by laws, and regulations.
  • Prepared operational or risk reports for upper management analysis.
11/2000 - 09/2001
Guaranty Bank and Trust － Denver, COTeller Supervisor
  • Primarily responsible for the daily teller line operations.
  • Provided training and assisted in coordinating staff scheduling.
  • Performed quality control reviews on teller drawers and transactions to ensure compliance with related laws and regulations.
08/2000 - 11/2000
Colonial Bank － Englewood, COAVP of Branch Operations
  • Responsible for the day to day supervision of the branch operations and staff.
08/1998 - 08/2000
TCF National Bank － Aurora, COBranch Manager
  • Responsible for all aspects of the branch operations, including limited loan functionality.
  • Coordinated monthly branch sales promotions and incentive programs for several in-store branches.
  • Coordinated new staff hiring and training.
  • Responsible for compliance and regulatory adherence and oversight.
Education
Aug 2012
Front Range Community College － Westminster, CO, USACertification: Pharmacy Technician
2012
Front Range Community College － Westminster, CO, USACertification: CompTIA Hardware and Software
Jun 1992
High School Diploma
1993
Minneapolis Technical － Minneapolis, MN, USACertification: Culinary Arts
Certification
Skills
  • Customer Service
  • Disaster Recovery
  • New staff hiring
  • Information Security
  • Compliance policies and regulations 
  • Quality control
  • Research
  • Risk Management
  • Vendor Management
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Resume Overview

Companies Worked For:

  • First Western Trust
  • United Western Bank
  • Preferred Parking
  • Washington Mutual
  • US Bank
  • CU Service Center
  • Guaranty Bank and Trust
  • Colonial Bank
  • TCF National Bank

School Attended

  • Front RangeCommunity College
  • Minneapolis Technical

Job Titles Held:

  • Risk Management Associate
  • Credit Compliance Administrator
  • Operations Specialist/System Support
  • Valet Manager
  • Assistant Financial Center Manager
  • Assistant Bank Manager
  • Branch Manager
  • Teller Supervisor
  • AVP of Branch Operations

Degrees

  • Certification : Pharmacy Technician
    Certification : CompTIA Hardware and Software
    High School Diploma
    Certification : Culinary Arts
    Certification

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