Headline

Risk, Compliance & Analytic professional | 10+ years of overall experience in the Finance Industry

About

I am advanced Risk management professional with 10+ years of expertise in offering a contribution towards Internal Audit & Compliance, Risk Management, Research & Incident identification, development of tools, with a solid background in statistical, analytical, and organizational skills. I am technically conversant with working on MS Office, Audit Command Language (ACL), Data Analytics, and visualization tools. I have been successful in Risk Life Cycle management, and conducting risk assessments in terms of Privacy, Compliance, Data & Information Security, by ensuring that all parameters are met as per company standards, and US Governance protocols. I am specialized in gap analysis & control, data risk assessments, dashboard publications, stakeholder meetings, reporting & presentations, developing risk mitigation frameworks for quality assurance, and process improvements. I have been awarded the Team of the year award continuously in 2015 & 2016; and recognized as an exceeded performer for 3 years in a row -2 years at Tesco and 1 year at HSBC.0

Location

Bengaluru

AI stack

Microsoft Copilot

Work experience

Senior Associate at JPMorgan Chase & Co., Jan 2023 - Present · 3 yrs 9 mos, Bengaluru, Karnataka, India

Senior Analytics Consultant at Wells Fargo, Aug 2021 - Sep 2022 · 1 yr 2 mos, Bengaluru, Karnataka, India

Manager - Compliance Assurance (Testing Specialist) at HSBC, Jan 2021 - Aug 2021 · 8 mos, Bengaluru, Karnataka, India, • Significant contribution towards risk management review process planning & designing for a risk- free environment • Reviewing and testing scope relating to compliance assurance testing plan • Research regulatory/financial risk management requirements in developing, testing, and monitoring steps to test controls and procedures • Overseeing the compilation of management reports and documentation • Maintaining accountability for the accuracy of testing/monitoring reports • Effective in preparing and publishing compliance reports to management and regulators • Assist in special investigations into incidents and working with the relevant LOB Markets Compliance team • Collaborating with the regional/global Compliance team members, and participating in regional/global Compliance projects • Develop appropriate tools and applications as necessary – i.e. building of custom reports for testing and monitoring activities • Preparing the final summary reports consisting of the detailed investigation along with identified issues/exceptions with evidence

Assistant Manager - Compliance Assurance at HSBC, Jan 2019 - Jan 2021 · 2 yrs 1 mo, Bengaluru, Karnataka, India, • Worked as a Testing Specialist for Compliance Assurance Controls Testing processes • Strategic involvement as a member of 2LOD performing control testing for high inherent risk area • Member of control testing for high inherent risk area, handling risk-based testing, examining data, presenting actionable intelligence in supporting fact-based decisions • Analyzed gaps in design & operating effectiveness of control • Executed testing and fieldwork using general methodologies • Ensure that the business is in alignment with relevant laws, regulations, principles, and standards • Published various dashboards and reports to support the management decisions • Interacted with the US Governance Standards team in supporting RC management on process, technology, and data quality issues

Senior Officer - Audit & Compliance at Tesco Bengaluru, Jul 2014 - Dec 2018 · 4 yrs 6 mos, Bengaluru, Karnataka, India, • Key role involvement in General Data Protection Regulation involving assessment of various processes in adherence to compliance procedures and GDPR standards, assisting in corporate audits, performing annual risk assessments, and executing timely execution of annual audit plans • Diligent in guiding the team in scope determination, audit, and control evaluation; be abreast with trends /propose improvements and implementations • Deft at risk identification, control testing, and process improvement procedures • Keen at performing transaction walkthroughs, reviewing process narratives, flowcharts, test plans, and evaluating test results • Effective in the identification of process failures, mitigation of risks, and evaluation of process controls • Timely reporting of internal control issues, communication of audit results, and communicate substantial examples • Deft at working on Audit Command Language (ACL) System, a Data Extract Tool for standing data analysis of UK payroll systems • Excellent in arranging stakeholder meetings on discussing operational activities, and the Risk mitigation process • Summarize the discussion points at the Risk Governance meet presented to Trustees • Maintain detailed Audit trails, and effective documentation with regard to each case • Publish the periodic Dashboard to management for reporting Quality check details and further error analysis

Education

Data Science Prodegree, Analytics, Imarticus learning

Bachelor of Business Administration - BBA, Business Administration, Management and Operations, Kristu Jayanti College Of Management And Tech