Here are sample job advertisements for these types of roles…
Enterprise Risk Management, Assoc. Dir.
The Federal Home Loan Bank of San Francisco (“Bank”) is a cooperative, wholesale bank that provides liquidity to its members and helps meet community credit needs by providing credit products and services to member financial institutions through all phases of the economic cycle. The Bank’s members include commercial banks, credit unions, industrial loan companies, savings institutions, insurance companies, and community development financial institutions headquartered in Arizona, California, and Nevada. The Bank is member focused; embraces accountability to meet commitments and uphold our governance, risk and control standards as a government sponsored enterprise; and values differences to foster an inclusive culture.
The Enterprise Risk Management Department (“ERM”) is looking for a risk professional to support the Bank in maturing our risk management practices. Our goal is to provide an enterprise-wide risk framework and centralized oversight and governance, and to drive greater transparency and inform risk-based decision-making across the Bank. Additionally, the role will ensure key ERM and Operational Risk processes including identification, assessment, monitoring, management, and reporting of risks appropriately align with risk appetite, capacity, and tolerance levels established by governance.
Success in this role entails working closely with the business units to socialize risk concepts, frameworks and promote the organizations’ risk culture, including education and training. Additionally, this role must have the ability to adapt previous experience and industry leading practices to fit the Bank. The position also partners with functional and operational leadership in the development of risk mitigation plans, consistent with the Bank’s enterprise risk management framework. The role will be an integral part of an expanding risk management team that encourages creativity, leadership, and influence. You are expected to have a significant impact and influence in bank-wide strategic decision-making, and to support our mission through risk-based and data-driven decision making.
Key Accountabilities :
- Assist the Enterprise Risk Officer and the Senior Director of ERM in ERM strategy-implementation and improvement opportunities;
- Assist in remediation work related to any internal and external audits and exams
- Help with management of our inventory of policies and procedures, including support of our Operational Risk function and GRC-related linkages
- Become a GRC expert and assist in creating “next-level “risk reporting from the system
- Be a point-person for regulatory and internal audit engagement and assist in gathering of relevant documentation related to internal and external exams;
- Assist in closing any current gaps within ERM, and help strengthen the Bank’s operational risk framework;
- Work with the Data Science team to help embed data-driven metrics and decisions within ERM;
- Interface with IT and Information Security, to ensure proper coverage of associated risks;
- Manage the identification and assessment of enterprise risks, including, but not limited to, strategic, operational, and key initiative risks.
- Work with the appropriate functional risk units and project teams to balance risks with rewards, and help in developing action plans, which enhance the probability that desired objectives will be achieved;
- Help development and enhancement of the enterprise risk management framework, and assist in aligning ERM with industry leading practices, including risk appetite, operational risk, policy and procedures, risk taxonomies, and reporting;
- Identify, evaluate, and escalate issues that conflict with the Bank’s risk tolerances, and help develop KRIs for each business unit;
- Gather feedback on mitigating controls and risk appetite from leadership, monitor risk management activities, and prepare enterprise risk reports for the Board of Directors;
- Help drive the risk assessment process associated with strategic decisions across the enterprise and emerging risks to ensure that enterprise risks are monitored as conditions change;
- Establish collaborative relationships with key business owners, and assist in the development, assessment, and monitoring of mitigation plans for enterprise risks so that risks are managed to an acceptable level.
Other responsibilities:
- Be an advocate and resource for the organization with respect to ERM-specific policies and procedures, and drive awareness and understanding of enterprise-wide risks;
- Help assess enterprise and emerging risk issues, and assigns risk ratings consistent with established policy standards;
- Expertise in areas of Risk Management, including process assessment and design, and process mapping and risk assessments;
- Escalate significant risk issues to the appropriate management, and monitor corrective actions to address issues, where needed;
- Assist in recruiting, mentoring, and developing current and future staff.
Critical Competencies:
- A minimum of 5 years of relevant experience;
- A team player who can comfortably work in a dynamic and fast-paced environment, and ability to respond to changing circumstances;
- Ability to interact with senior management while balancing multiple projects and other responsibilities.
- Experience with leveraging GRC platforms (such as Archer, ServiceNow, and LogicManager);
- Ability to take ownership of projects and deliver high-quality results;
- Regulatory experience with the Federal Housing Finance Agency is a plus;
- Strong attention to detail with a proactive approach to solving and preventing problems;
- Ability to work under deadlines and manage multiple priorities;
- Excellent organization, project management, and prioritization skills;
- Excellent interpersonal skills to work in a team environment and to influence and interface with a broad range of stakeholders at all levels, internal and external.
Qualifications:
The Federal Home Loan Bank of San Francisco is an Equal Employment Opportunity employer and is committed to a diverse workforce. We value and actively seek to recruit, develop, and retain individuals with varied backgrounds and experiences reflecting the full diversity of the communities that we serve. It is the policy of the Bank to comply with all applicable laws concerning the employment of persons with disabilities.
Enterprise Risk Manager develops and executes RUSH’s Enterprise Risk Management (ERM) framework, by involving leaders across the organization in the proactive management of our current and emerging risks. The Enterprise Risk Manager, in partnership with all core Rush domains, inventories those risk events that have the potential to derail the achievement of our strategic and operational goals. The Enterprise Risk Manager leads risk analysis activities – from risk identification and treatment planning, through to quantitative and qualitative scorecard assessments. The Enterprise Risk Manager supports the development and delivery of remediation strategies and tactics, applying risk data insights to highlight remediation progress. Remediation initiatives are complex and multi-faceted, relating to multiple business lines and risks. The Enterprise Risk Manager exemplifies the Rush mission, vision and values and acts in accordance with Rush policies and procedures.
Position Responsibilities:
Participate in and facilitate risk identification and assessment sessions across various parts of the organization
Promote enterprise risk management practices and culture to strengthen ERM program sponsorship and support
Maintain and update the ERM platform, and other applications (primarily through Excel, Salesforce, Tableau)
Use program management practices to define, establish, and manage ongoing risk remediation initiatives
Lead cross-functional stakeholder teams to complete risk remediation objectives
Inform and execute the ERM roadmap to reach risk maturity milestones across RUSH
Prepare and present deliverables to cultivate a risk mindset and to illustrate risk management progress
Monitor and analyze market trends and related landscapes to proactively identify emerging industry risks
Identify and engage stakeholders to think critically about risk assessments and provide unique insights
Position Qualifications Include:
BS/BA degree in health care, STEM, business or related field
Minimum of 3-5 years of business experience
Experience either working in a hospital / other health care organization or consulting experience
Project management experience leading organizational or process change
Understanding of and exposure to enterprise risk management best practices, preferred
Experience working in health care regulatory and compliance, preferred
Experience working in multiple industries and business areas, preferred Functional Skills
Demonstrated ability to meet project deadlines
Advanced organizational, analytical, critical thinking and writing skills
Command of common office tools (e.g. Microsoft Office Suite, Visio, Outlook)
Understanding of operational risk and governance
Highly developed relationship management, influencing and leadership skills
Ability to work across all risk categories and business lines
Ability to take complex concepts and communicate them in a clear/concise manner through written, visual, and verbal mediums
Proven ability to adjust quickly to shifting priorities, multiple demands, ambiguity and rapid change
Experience working with Salesforce and Tableau, preferred
Company Highlights:
Rush University is known for its high-quality health care education, supportive learning environment, engagement with the urban community and forward-looking education approach.
Rush University’s Adult/Gerontology Nurse Practitioner (Acute Care) program is ranked #1 in the nation by U.S. News & World Report.
Rush University’s Nursing Anesthesia program is ranked in the top four in the nation by U.S. News & World Report.
Rush is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, and other legally protected characteristics.
Enterprise Risk Manager
Position Highlights:
Enterprise Risk Manager develops and executes RUSH’s Enterprise Risk Management (ERM) framework, by involving leaders across the organization in the proactive management of our current and emerging risks. The Enterprise Risk Manager, in partnership with all core Rush domains, inventories those risk events that have the potential to derail the achievement of our strategic and operational goals. The Enterprise Risk Manager leads risk analysis activities – from risk identification and treatment planning, through to quantitative and qualitative scorecard assessments. The Enterprise Risk Manager supports the development and delivery of remediation strategies and tactics, applying risk data insights to highlight remediation progress. Remediation initiatives are complex and multi-faceted, relating to multiple business lines and risks. The Enterprise Risk Manager exemplifies the Rush mission, vision and values and acts in accordance with Rush policies and procedures.
Position Responsibilities:
Participate in and facilitate risk identification and assessment sessions across various parts of the organization
Promote enterprise risk management practices and culture to strengthen ERM program sponsorship and support
Maintain and update the ERM platform, and other applications (primarily through Excel, Salesforce, Tableau)
Use program management practices to define, establish, and manage ongoing risk remediation initiatives
Lead cross-functional stakeholder teams to complete risk remediation objectives
Inform and execute the ERM roadmap to reach risk maturity milestones across RUSH
Prepare and present deliverables to cultivate a risk mindset and to illustrate risk management progress
Monitor and analyze market trends and related landscapes to proactively identify emerging industry risks
Identify and engage stakeholders to think critically about risk assessments and provide unique insights
Position Qualifications Include:
BS/BA degree in health care, STEM, business or related field
Minimum of 3-5 years of business experience
Experience either working in a hospital / other health care organization or consulting experience
Project management experience leading organizational or process change
Understanding of and exposure to enterprise risk management best practices, preferred
Experience working in health care regulatory and compliance, preferred
Experience working in multiple industries and business areas, preferred Functional Skills
Demonstrated ability to meet project deadlines
Advanced organizational, analytical, critical thinking and writing skills
Command of common office tools (e.g. Microsoft Office Suite, Visio, Outlook)
Understanding of operational risk and governance
Highly developed relationship management, influencing and leadership skills
Ability to work across all risk categories and business lines
Ability to take complex concepts and communicate them in a clear/concise manner through written, visual, and verbal mediums
Proven ability to adjust quickly to shifting priorities, multiple demands, ambiguity and rapid change
Experience working with Salesforce and Tableau, preferred
Company Highlights:
Rush University is known for its high-quality health care education, supportive learning environment, engagement with the urban community and forward-looking education approach.
Rush University’s Adult/Gerontology Nurse Practitioner (Acute Care) program is ranked #1 in the nation by U.S. News & World Report.
Rush University’s Nursing Anesthesia program is ranked in the top four in the nation by U.S. News & World Report.
Rush is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, and other legally protected characteristics.
At Discover, be part of a culture where diversity, teamwork and collaboration reign. Join a company that is just as employee-focused as it is on its customers and is consistently awarded for both. We’re all about people, and our employees are why Discover is a great place to work. Be the reason we help millions of consumers build a brighter financial future and achieve yours along the way with a rewarding career.
Job Description
Responsible for executing various risk management activities and initiatives. Engages collaboratively with business partners to enhance their risk management framework by providing effective challenge and implementing corporate governance programs. Manages a team that integrates programs to increase the businesses-competitive advantage while enabling informed decisions. Supports and enhances risk management activities while working collaboratively with management, internal business partners, and peers.
Responsibilities
- Conducts periodic reviews of risk management processes for opportunities to streamline and drive consistency across the organization.
- Provides periodic reporting and presentations to management on risk management activities, demonstrating project status updates, degree of integration with business partners, trend analysis and scorecard results, and progress on outstanding improvement initiatives.
- Partners with business partners on completing required documents and facilitating discussions related to submissions for new initiatives.
- Ensures business partners comply with guidelines set forth by Corporate Risk in management of Policies, Standards, and Procedures.
- Provides guidance and support to business partners relative to Third Party Risk Management activities.
- Provides guidance and support to business partners relative to Records Management activities.
- Collaborates with business stakeholders and Risk to maintain business compliance with the End-User Computing Policy.
- Manages and develops a team, including delegating tasks, providing training and guidance, translating corporate goals into functional and individual goals, providing coaching, reviewing work and providing constructive feedback, and conducting timely performance evaluations.
- Assists in managing various components of the training lifecycle.
- Manages the Risk and Control Self-Assessments (RCSA) process and provides business partners with guidance to improve and maintain the associated risk and control library.
- Conducts process reviews across first-line departments to ensure efficient and effective controls are implemented to mitigate inherent risks. Assesses business line processes by conducting Risk Assessments to evaluate risk (e.g., operational, legal/compliance, etc.) and control environments.
The Supervisory Principal (‘SP’) is role within the Citi Private Bank Supervision team covering the Americas region. The Supervisory Principal is responsible for various supervisory duties as assigned, which will primarily include review and approval of client investment presentations, advertising and commentary. The Supervisory Principal will supervise the day-to-day registered representative activities of an OSJ. Additionally transaction/suitability reviews, post trade blotter review, transactional approvals, and email surveillance will also be required. The role holder will interact with a range of stakeholders across all levels of the organization including Supervisory Principals, Business Managers, Desk Heads, Bankers, & Investment Professionals and Servicing Teams. In addition, the role holder will be expected to work closely with a diverse group of support and control functions including Business Risk, Compliance, Operational Risk, Legal and Internal Audit. The role will be based in New York/Stamford, CT.
Responsibilities:
Review and approve marketing material that is distributed through the bank or broker dealer channel (e.g., Private Placement sales)
- Review and approval of investment-related correspondence
- Determine if sale meets appropriate suitability requirements for client/prospect
- Ensure that communication to client/prospect falls within FINRA guidelines for PPM sales
- Manage email surveillance, statement reviews and Annual Rep Reviews for members of the OSJ
- Perform a daily review of complex transactions to ensure the transaction meets client suitability standards set forth in the Retail Distribution of Investment Products Policy and meets regulatory requirements
- Daily Supervisory Reviews as needed
- Partner with Regional Supervisory Principals in the resolution of supervisory items escalated and raised.
- Review and approve the subscription agreement for the sale of a PPM
- Review and approval of bank-channel and broker dealer investments
- Manage surveillance inquiries within policy stated guidelines
- Assist in the review and approval outside activities, directorships and business interests.
- Interface, consult and advise Senior Management including, but not limited to, Compliance, AML, Sales Management.
- Assist on ad-hoc projects as assigned by Management.
- Maintenance and retention of all relevant files within the functional requirements of the role
- Be able to perform other supervisory functions including staff on boarding, staff outside activities, training, complaints, and cross border activities, etc.
- Ensure timely and appropriate escalation of issues and maintain relevant metrics for reporting purposes
- Execute on projects and initiatives within agreed timeframes
Qualifications:
Relevant apx. 7-10 years of experience in financial industry; advertising, communications compliance review experience helpful, but not required
- FINRA Series 24, 7, 66 (63/65), 31. Preferably 9/10
- Knowledge of Bank/Broker-Dealer business and regulatory requirements, particularly around Communications and Advertising policies.
- Ability integrating and balancing diverse priorities
- Strong networking, influencing and negotiating skills
- Excellent written and verbal communication skills
- Proactive and Resourceful
- Excellent communication skills (oral and written) in English.
- Excellent interpersonal skills
- Travel – <5%
Education:
- Bachelor’s/University degree or equivalent experience, potentially Masters degree
Grade :All Job Level – All Job FunctionsAll Job Level – All Job Functions – US
Time Type :Full time
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
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