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Senior Director- Risk Operations Resume Example

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SENIOR DIRECTOR- RISK OPERATIONS
Summary

PROFILE SUMMARY Extensive experience in risk, compliance and brokerage operations. Highly adept in risk incident tracking, risk assessments and root cause analysis. Recognized for identifying gap, risk and resolving compliance and risk issues by enhancing the effectiveness of internal controls, processes and procedures.

Versatile Senior Director highly experienced in [Type] and [Type] areas. Hands-on leadership and management background with a solid track record of success in process optimization and operational restructuring. Seeking a [Job Title] position with a growing operation.

Skills
  • Risk Incidents, Risk Assessments, Internal Controls, Root Cause Analysis, and Knowledge of Functional Processes
  • Skills & Licenses
  • Operational Risk Management
  • Excellent interpersonal, evaluative and data analytical skills
  • Software: Microsoft Office Suite of Excel, Word, PowerPoint Access and SharePoint
  • SAP Business Objects
  • Knowledge of relevant rules (FINRA, SEC)
  • Strategic Planning and Budget Management to evaluate risk for potential automation
  • Account Management, Supervisory
  • Analytical skills, Transaction processing
  • Agency, Trend
  • Automation, Workflow
  • Big Data
  • Bookkeeping
  • Budget Management
  • Business Objects
  • Interpersonal
  • Direction
  • Functional
  • Internal Audit
  • Inventory
  • Legal
  • Meetings
  • Access
  • Excel
  • Money
  • Microsoft Office Suite
  • PowerPoint
  • SharePoint
  • Word
  • NFS
  • Policies
  • Processes
  • Reporting
  • Risk Management
  • SAP
  • Settlements
  • Strategic
  • Strategic Planning
  • Structured
  • Key performance indicators
  • Data analytics
  • Issue resolution
  • Networking expertise
  • Reporting skills
Experience
Fidelity Investments | Jersey City, NJSenior Director- Risk Operations11/2011 - Current
  • Collaborated with the metrics team by actively participating in Big Data analytical effort and partner with Business partners across the company to identify opportunities in workflow enhancements to reduce rework and identify inefficiencies.
  • Conduct and lead Risk Assessments to detect operational process gaps and drive improvements to mitigate risk.
  • Oversee the management, escalation and track risk incidents/findings/audits arising from internal reviews of activities, systems, and controls and participate in incident response and escalation as necessary and consult with the business units to develop appropriate remediation action plans to address concerns and gaps identified.
  • Act as primary point of contact and consult with business on initiatives to ensure alignment with firm risk programs in the design and development of new products, systems and services to the extent there are control and/or risk implications.
  • Utilize SAP Business Objects to monitor and surveil operational activities to identify operational risk activities, including: incident reporting, KRI development, root cause and trend analyses for tactical and strategic goals.
  • Produce risk management reports to proactively identify operational risk.
  • Manage the inventory of manual processes used to identify opportunities for automation to mitigate risk.
  • Accomplishments:.
  • Provide user requirements to develop Metrics Dashboard for operational oversight.
  • Use Business Objects and internal applications for KRI's to detect and monitor operational risk.
  • Development of alerts for the Risk Workstation used to monitor exposure for the firm.
  • Truncation Initiative- identify areas of transaction processing where share and dollar quantities fields were limited in the bookkeeping process and required expansion to support large transaction volumes.
  • Journal system consolidation and enhanced controls.
  • Collect and maintain User Developed Applications across the OSG Division.
Fidelity Investments | Jersey City, NJDirector of Compliance01/2006 - 12/2011
  • Contributed to large-scale risk assessment initiatives and promoted improved business procedures and controls.
  • Executed successful compliance monitoring and risk assessment programs.
  • Met with clients to implement best practice, project-manage needs and implement process improvements.
Fidelity Investments | New York, NYDirector of Mutual Fund Operations01/2000 - 12/2005
  • Served as primary point of contact for compliance support and advice to business partners for both broker-dealer and Transfer Agency of NFS (Account Management, Asset Servicing, Settlements, Margin, Risk and Money Movement) regarding regulatory implications on business activities.
  • Structured, designed and implemented the Internal Controls program based on FINRA Rule 3012 and SEC Rule 38a-1 to test the effectiveness of internal controls and ensure business units comply with rules and regulations.
  • Implemented, developed, enhanced and tested supervisory policies and procedures to ensure compliance with new and amended rules and regulations.
  • Facilitated quarterly meetings with the firms' Designated Principals and provide updates on action plans on the Internal Controls program.
  • Authored compliance assessments and reviews to evaluate the impact to supervisory systems and procedures of new and existing products, key business activities, regulations and initiate steps to remediate any potential gaps to supervisory controls.
  • Handled and assisted with regulatory exams, regulatory inquiries and audits at the direction of management.
  • Coordinated with Internal Audit, Legal and Risk on compliance issues.
  • Collaborated in development of [Type] procedures.
  • Completed [Type] project resulting in [Result].
  • Achieved cost-savings by developing functional solutions to [Type] problems.
  • Utilized [Type of Software] to compile data gathered from various sources.
  • Improved operations by working with team members and customers to find workable solutions.
Education and Training
Pace University | New YorkBachelor of Business Administration in Management Information Systems
Additional Information
  • FINRA Series 7 and 24
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Resume Overview

Companies Worked For:

  • Fidelity Investments

School Attended

  • Pace University

Job Titles Held:

  • Senior Director- Risk Operations
  • Director of Compliance
  • Director of Mutual Fund Operations

Degrees

  • Bachelor of Business Administration in Management Information Systems

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