risk management officer resume example with 20+ years of experience

Jessica Claire
  • Montgomery Street, San Francisco, CA 94105 609 Johnson Ave., 49204, Tulsa, OK
  • H: (555) 432-1000
  • C:
  • Date of Birth:
  • India:
  • :
  • single:
  • :

Financial Professional with extensive experience in fostering an efficient control environment, through cultivating partnerships based on financial accountability and due diligence, compliance to regulations and transparency.

  • SOX Compliance,
  • AML, SARS, OFAC, KYC and SDN Compliance
  • Risk management, RCSA
  • Certified Internal Auditor (CIA)
  • Big 4 (PWC) Audit and accounting experience, GAAP,IFRS.
  • Financial and Regulatory Reporting
  • Investment Management
  • Basel II
  • Oracle, Hyperion,MS Pivot Tables, Powerpoint
  • Policy and Procedures Implementation
  • Good command of French and Spanish
  • Excellent communication skills
  • Flexible.
  • Analytical
  • Oral and written presentations to Senior Management/Board
  • Independent thinker
  • Dependable team player
  • Certified Internal Auditor * Licensed in the State of Florida.
  • Pursuing the CFE (Certified Fraud Examiner) designation.
  • Promoted to Senior Auditor at PWC for exceeding expectations
  • Awarded at Citigroup Inc for promoting cost efficiency by providing remedial measures for prevention of regulatory errors.
Risk Management Officer, 01/2013 - Current
Allied Universal Security Pensacola, FL,
  • Ensure that processes and procedures between Freddie Mac and Fannie Mae and the company's internal groups are done in an effective timely manner through review and communication.
  • Perform quality assurance on demand repurchase transactions from Fannie Mae and Freddie Mac.
  • Perform RCSA testing.
  • Established Compensation Score -cards for underwriters.
Senior Financial Regulatory Assistant Manager-AVP, 11/2010 - 07/2012
Albertsons Company Inc. Holbrook, AZ,
  • One of the 4 largest financial institutions in the United States: with operations in consumer, corporate, and investment banking and insurance.
  • Regulatory Financial Reporting.
  • Managed quality assurance, audit testing and reviews.
  • Verified compliance with Fed's regulatory instructions and company's policies.
  • Conducted financial analysis of regulatory reports to assess the adequacy, compliance, and effectiveness of the business unit's internal controls.
  • Special emphasis was on Securitizations, Loans/Credit Risk, Regulatory Capital and Derivatives schedules.
  • Presented findings to business clients and partnered with them to reduce and resolving regulatory and internal controls issues using Root-Cause analysis methods, developing and monitoring Corrective Action Plans.
  • Performed follow up remediation testing.
  • Reported final results to Senior Management and proposed recommendations for improvements.
  • Led meetings and made decisions with Senior Management regarding complex regulatory issues.
Senior Financial Reporting Accountant , 10/2009 - 07/2010
Zoom Overland Park, KS,
  • DTCC's depository provides custody and asset servicing for 3.5 million securities issues from the United States and 110 other countries and territories, valued at almost $34 trillion.
  • Prepared Call reports including FR 2644, FFIEC 31 and assisted with the preparation of 10k and 10Q reports for submission to the Federal Reserve Department and SEC using JD Edwards, and Hyperion.
  • Performed the monthly and annual close process, including account reconciliations, preparation of GAAP financial statements and supporting documents for the annual report.
  • Established a weekly asset report template for reconciliation to the General Ledger along with clear detailed procedures and guidelines.
  • Co-ordinated quarterly audits and performed SOX testing.
Operations and Compliance Manager, 2008 - 10/2009
Anoka County, Mn Anoka, MN,
  • Instrumental in establishing the infrastructure and operations of the bank.
  • Managed 4 members of staff trained all staff in the Eibs banking software.
  • Ensured proper internal controls and compliance to mitigate financial and operational risks by using COSO/ERM framework, COBIT principles, IFRS/IAS, OFAC screening/SDN checking and AML best practices.
  • Reviewed and finalized financial reporting package monthly, including GAAP financial statements and supporting schedules.
  • Performed due diligence on Customer's records for the purpose of KYC principles for approval and credit worthiness.
  • Improved compliance posture by implementing a business controls program and a standardized control self-assessment.
  • Professionally supported the company's compliance efforts with Federal and State disclosure reporting requirements.
  • Evaluated , investigated and resolved compliance issues and concerns with other members of Senior Management.
Senior Bank Auditor/Investment Officer, 04/2004 - 2008
Anoka County, Mn Anoka, MN,
  • It is the Monetary Authority for the Eastern Caribbean with 2,576 million dollars in Total Assets established to maintain the stability of the EC dollar and the integrity of the banking system.
  • Managed 4 members of staff.
  • Examinations/Auditing: Conducted off-site and on-site audits of financial institutions to assess the soundness, adequacy, compliance, and efficiency of the firm's internal controls.
  • Performed Sarbanes-Oxley ("SOX") testing including conducting process walk-throughs and re-performance of key controls to ensure that controls are properly designed and operating effectively.
  • Prepared Financial Risk Analysis reports and presented findings to Management.
  • Evaluation of Credit Risk, Liquidity and Market Risk, Capital adequacy and AML compliance using Basel II standards, AML best practices, RCSA and COSO/ERM framework and COBIT framework.
  • Managed successfully the investment of the Foreign Reserves of the Central Bank through effective fixed income strategies and continuous monitoring of the markets.
Senior Auditor, 07/1999 - 09/2002
PricewaterhouseCoopers Ltd , ,
  • Big 4 international public accounting auditing firm.
  • Conducted audits of specialized areas, such as insurance, financial products and services, accounting and reporting, using IFRS, US GAAP and GAAS standards over the areas being audited.
  • Successful with completing the audit of the hotel of Wyndham Morgan Bay Resort without a team and with minimal supervision in a timely manner.
Accountant, 08/1996 - 07/1999
St. Lucia Air And Sea Ports Authority , ,
  • Local Air and Sea Port Organisation that provides the main services for all the air and seaports of St.Lucia.
  • Managed 6 members of staff.
  • Supervised the Accounts Receivable, Accounts Payable and General Ledger portfolios
  • Managed the preparation of financial statements using JD Edwards Enterprise One (Oracle).
Accountant, 06/1995 - 07/1996
Rodney Bay Marina St. Lucia , ,
  • Local Marina providing docking and other marina services for international sailors.
  • Supervised 6 members of staff.
  • Supervised the Accounts Receivable, Accounts Payable and General Ledger portfolios.
  • Managed the final preparation of financial statements.
Certified Internal Auditor (CIA): , Expected in 2008
Institute of Internal Auditors (IIA) - Tampa, FL
Status -
MBA: Financial Economics, Expected in 2003
Catholic University of Santo Domingo - Santo Domingo,
Status -
Bachelors of Science Degree: Accounting, Expected in
University of the West Indies - Bridgetown,
Status -
Professional Affiliations

Member : American Society of Women Accountants (ASWA), the Institute of Internal Auditors (IIA) (Florida) Basel II Compliance Professional Association (BCPA), Association of Certified Fraud Examiners (ACFE), FincenNetwork group.

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Resume Overview

School Attended

  • Institute of Internal Auditors (IIA)
  • Catholic University of Santo Domingo
  • University of the West Indies

Job Titles Held:

  • Risk Management Officer
  • Senior Financial Regulatory Assistant Manager-AVP
  • Senior Financial Reporting Accountant
  • Operations and Compliance Manager
  • Senior Bank Auditor/Investment Officer
  • Senior Auditor
  • Accountant
  • Accountant


  • Certified Internal Auditor (CIA)
  • MBA
  • Bachelors of Science Degree

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