Business Risk Consultant Resume

SUMMARY:

Accomplished professional with extensive Compliance, audit, and regulatory affairs experience in global settings while identifying and managing risks and threats.
Responsible for reviewing regulatory governance laws pertaining to Anti - Money Laundering (AML)/Counter Terrorism Financing (CTF) Policy, Office of confidential.
Assets Control (OFAC) Policy, and Know Your Customer (KYC)/Enhanced Due Diligence (EDD) best practices. These reviews contribute to Bank Secrecy Act (BSA), USA PATRIOT Act, OFAC, Financial Crimes Enforcement Network (FinCEN), and SEC and FINRA compliance.
Experience working closely in partnership with Corporate Compliance, Legal, and Operations to advise effective controls for data and privacy laws and related compliance/reporting requirements.
Responsible for maintaining the DPAT (Data Privacy Automation Tool) for assigned suite of applications as well as the department intranet and SharePoint sites.
Utilized tools such as Archer, Cognos, Business Objects, SharePoint, Microsoft Word, Excel (V-Lookup and pivot table) and PowerPoint. Quickly adaptable to new software.

PROFESSIONAL EXPERIENCE:

Confidential

Business Risk Consultant

Responsibilities:

Identifies and manages existing and emerging risks that stem from business activities and the job role. Ensures risks associated with business activities are effectively identified, measured, monitored, and controlled. Follows written risk and compliance policies and procedures for business activities. Directs and oversees multiple initiatives in support of risk and/or regulatory compliance related initiatives including but not limited to: oversight of procedures/process, accurate regulatory reporting and filing, document governance, risk control self - assessments, procedure governance, control design, new product controls,
CoSA Third Party Governance, or quality governance. Applies a holistic understanding of risk and regulatory compliance to includes business strategies and solutions. Designs solutions for unanswered business questions and anticipates future business needs. Oversees action plans designed to enhance governance practices in alignment with risk and compliance frameworks. Works with first line of defense to mitigate risk and prevent risk exposures which result in significant business impacts. Serves as a primary resource and oversight of first line of defense designated CoSA. Stays informed of changes to the regulatory environment to ensure proper compliance with processes and requirements are followed. Reviews Issue Management, Policy of Policies, RCSA, Controls and Risks of first line of defense and provides challenge and approvals.

Confidential

Risk and Controls Manager

Responsibilities:

Provides input on the design and implementation of audit tools, policies, procedures, documentation and governance, risk, and compliance (GRC) system. Serves as liaison between External Auditors and Regulators. Leads the Risk Management System Organization Control (SOC) engagement conducted by our external auditors.
Identifies risk, assessment of key controls, and the development of appropriate testing strategies. Provides recommendation to improve the effectiveness of efficiency of controls/business process. Works with Legal, Operations, Internal Audit and other stakeholders to determine issues and process improvements.

Confidential

Third Party Contract

Responsibilities:

Interfaced with State and Federal regulators, auditors, and business management regarding regulatory exams and inquiries. Subject Matter Expert on compliance and risk management for both internal and external authorities. Led cross - functional teams to identify and mitigate current and emerging risks and trends. Executed Compliance Risk Assessments (RCSA) and Audits to be in compliance with Regulatory Policies. Searched for security issues in Vendor Management
Third-Party Contracts, Export Licensing, Data Privacy, and Continuity of Business. Consistently achieved a 0% issue metric. Supported areas undergoing external regulatory, or internal business audits, and ensured all Risk Acceptance and Corrective Action Plans (CAP) were completed, tracked, and monitored. Presented findings and recommendations to the C-Suite level. Collaborated with regional stakeholders from Risk, Compliance, Legal,
Operations, Technology, and Business. Played an active role in identifying new pieces of legislation that could impact the business and worked with the business to ensure any regulatory requirements were effectively implemented. Set the tone to reflect a reputation for compliance, ethics, and integrity, in all dealings. Ensured complia