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Risk Management Junior Operational Risk

If you are interested in this candidate, please contact Simon Blau via email sblau@cerfinancial.co.uk or call on 0207 626 6065.

00356377

PROFILE:

Proactive and driven problem solver with experience in building key and effective relationships and delivering control and operational risk management projects within leading financial services firms.

SKILLS

  • Proficient user of MS Office applications: Word, Excel, PowerPoint, SharePoint
  • Proficient user of GRC platform (ServiceNow), Tableau
  • Control Design and Operating Effectiveness review, Stakeholder Engagement and Advisory, Data Analysis including Root Cause and Management, Risk and Control Self-Assessment, Regulatory Compliance

CAREER HISTORY:

September 2022 - Present

Banking

Risk Frameworks Lead, Operational Risk Management, VP

Drive Operational Risk Management (ORM), Compliance and Anti-Financial Crime strategy on risk assessment framework alignment that supports a more streamlined, consistent and efficient approach to risk assessments across the organisation.

  • Chair the risk assessment framework alignment working group including the preparation of materials and completion of meeting minutes.
  • Lead the tech migration of Compliance and Anti-Financial Crime risk assessments data to a single application of record.
  • Contribute to workstream governance and reporting through the creation of management information packs.
  • Manage the end-to-end deployment and execution of Control Environment Assessment methodology including UAT and smoke testing, and Model Risk validation of the methodology within the agreed timeline
  • Provide strategic direction and act as the Risk and Control Assessments SME at programmes aligned to firmwide strategic goals
  • Support the roll out of new Operational Risk Frameworks and remediation of findings where required.

December 2017 – September 2022

Banking

Regulatory Control Advisor, VP

Identify areas of control weakness and work with the business to drive control improvement.

  • Lead, manage and own the delivery of technically complex and comprehensive risk based thematic global reviews (e.g., inducements, cross border, conflicts of interest, information barriers) in line with the annual control test plan.
  • Demonstrate and share knowledge of UK and EU regulatory developments relevant to the Corporate Finance business and provide practical and immediate interpretation of regulations in the context of Testing activities.
  • Supervise the work of staff on reviews ensuring that timelines are met and reviews are completed and documented to the required standards.
  • Develop strong and lasting relationships with key stakeholders working with them to address substantive matters arising and presentation of significant issues to senior management where necessary
  • Track, manage and take ownership of the remediation of issues by working with relevant stakeholders to identify and analyse root causes, and develop strategic risk mitigation solutions.
  • Create comprehensive and effective reports that communicate findings, recommendations and drive improvements in operational efficiency.

September 2015 – December 2017

Banking

Compliance Officer

Compliance Generalist providing proactive Compliance and Anti-Financial Crime support and advisory, monitoring of controls, and training.

  • Provide second line of defence challenge, advice and oversight across the range of products the bank offers
  • Review and update policies and procedures to ensure that appropriate activities and controls are fully documented.
  • Analyse regulatory developments including identifying and engaging with relevant stakeholders to support business implementation.
  • Develop the monitoring plan and templates including execution of the monitoring plan and resolution of all identified issues
  • Deliver new joiner Compliance training and maintain employee records including PA Dealing, Gifts & Entertainment

March 2013 – September 2015

Banking

EMEA CIB Compliance Testing, AVP

Identify areas of control weakness and work with the business to drive control improvement

  • Independently plan, scope and execute tests across the CIB business in accordance with the Global Testing Program and Standards.
  • Develop strong and lasting relationships with key stakeholders liaising with them to address substantive matters arising and escalation and presentation of significant issues to senior management where necessary
  • Track, manage and take ownership of the remediation of issues by working with relevant stakeholders to identify and analyse root causes, and develop strategic risk mitigation solutions.
  • Create comprehensive and effective reports that communicate findings, recommendations and drive improvements in operational efficiency.
  • Produce MI packs for periodic reports to senior management.

EDUCATION:

2020: CISI Diploma in Investment Compliance

2006: MChem Chemistry with Computer Science, University of Leicester

2025: Studying for a CompTIA Security+ certification

INTERESTS:

I enjoy the theatre. My interest in Merengue, Festejo and Tango stem from travelling South America, where I was able to absorb the cultural and natural beauty of the region. I volunteer as a school governor in my free time.

References Available Upon Request

If you are interested in this candidate, please contact Simon Blau via email sblau@cerfinancial.co.uk or call on 0207 626 6065.

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