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0-5 years of experience
- Handled the Operational Permanent Control (“OPC”) project to create a control framework for Group Financial Security, a Group Compliance Function, which handled all OFAC Sanctions matter within the bank.
- Reviewed all procedures of Group Financial Security to identify key risks and controls.
- Created a risk cartography, visio maps of business processes, and 1st and 2nd Level of Defense Generic Control Plans (“GCP”) for all the key risks and controls.
- Developed test plans in accordance to the key controls identified and performed control testing to evaluate the design of the controls, assessed the operating effectiveness of the controls in placed and communicated the testing results to senior management.
- Worked with all levels of management within Group Financial Security to ensure that deliverables were met.
- Assisted on ad hoc projects within COO – Business Management Office Team.
0-5 years of experience
- Daily contact for multiple clients regarding KPI’s to senior leaders.
- Client report card preparation and review.
- Client Onboarding
- Prepared Client Profit and Loss report for business units and compiled Client Credit Risk Ratings for Corporate Finance.
- Ensured compliance with divisional standards and procedures through monthly internal controls testing.
- Managed all semi-annual and annual audits; reviewed all documentation for internal SAS70 audit as well as Client’s FYE audits before presentation to auditors.
0-5 years of experience
- Examined the quality of credit decisions made by Dealer Financial Services via weekly and monthly testing. Provided oversight of the risk and control environment for Marine, RV, Aircraft, Automobile, and Motorcycles staffing teams.
- Drafted analysis reports and ensured all communications were sent to the Line of Business and Senior Management for Dealer Financial Services. Provided coaching opportunities to the Line of Business staff and ensured that the employees were in compliance with Regulation B policies and other procedural and compliance regulations.
- Completed ad hoc projects which included investigating, researching, and compiling reports on fraudulent activities in the Marine sector related to U.S. Coast Guard boat seizures and documentation fraud as it related to the RV arena.
0-5 years of experience
- Analyzes and reviews commercial and personal account records to identify trends, discrepancies and/or patterns of fraudulent or illegal activity
- Ensures that financial records are investigated in accordance with established laws and statutes
- Creates and compiles data reports regarding account activities and trends identified during investigative review
- Retrieves transaction information from Excel and Access, exports and sorts the data and filters it to make a decision on how to select transaction and proceeds with data extraction
- Conducts inquires on individuals and transactions of concern, with data analysis to determine legality and/or legitimacy
- Prepares reports regarding investigative findings, coordinating with appropriate agencies and departments as needed
- Monitors current AML related industry news to remain updated on standards, procedures and practices
- Coordinates with regulatory agencies and law enforcement bodies as and when required
- Use of CRM software, SAP software, Business Objects, Lexis Nexis, Excel, Access, Word
0-5 years of experience
- Analyze the completeness and accuracy of the KYC profile. Validate the information within CitiKYC and supporting appendices to identify missing information or documentation.
- Research and collect information to successfully complete the review with due diligence and accuracy.
- Interact proactively with Closure and Branch personnel to rescind cases as needed and manage exception timelines to ensure the completeness of the client profile.
- Assist the management team in gathering information for root cause analysis and coaching.
- Ensure the completed records align with business procedures and corporate policy requirements
- Mentoring, coaching, and training Junior Analyst in requirements and systems.
- Created the Periodic Review Procedures for Wealth Holding Vehicle.
- Proficient in Actimize, Concierge/Eclipse, CitiKYC, Lexis Nexis, Clear, On Demand, Business Objects, Share Point, Excel, Word, and Power Point ect.
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Operational Risk Analyst
Last edited by: Gabriela Barcenas, CONTENT STRATEGIST -
Gabriela Barcenas
CONTENT STRATEGISTGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
