Sr. Regional Business Risk and Control Manager
HSBC
مجموع سنوات الخبرة :21 years, 3 أشهر
• Joined as Senior Regional Business Risk and Control Manager responsible for India, Sri Lanka, Bangladesh and Mauritius.
• Successfully implemented the three lines of defence model in India which included defining responsibilities of first line in line with Group Standards and educating staff on what is expected of them.
• Works with management to advise on design of controls and structure of control environment and risk management framework.
• Managed the entire Risk and Control Assessment approach for the Custody and Clearing (CnC) business of all the sites under my responsibility.
• Considered as Risk and Control SME for the business.
• Developed and executed the Internal Control Monitoring Plans to confirm the continued operation of key controls to management.
• Reviewed and provided input on risk and controls for the launch of new products and conducted post implementation review.
• Conducting the monthly Risk Management Committee meetings and the monthly senior management risk meeting.
• Successfully managed a Group Internal Audit review and ensured that the only finding was implemented quickly.
• Responsible for regular reporting to Regional Office and Group on status of issues identified, progress of control monitoring, Operational Losses if any, monthly KRI reporting.
• Increased the use of the new Operational Risk tool of the system within the sites that I am responsible for.
• Successfully managed and lead global assignments, ensuring that a risk based approach is followed.
• Responsible for implementing the new 3 lines of defence approach of the bank within the team.
• Responsible for preparing the Approach Paper and Schedule for the year and presenting to senior management
• Works with management to advise on design of controls and structure of control environment and risk management framework.
• Developing team technically on subject matter as well as audit practices.
• Responsible for liaising with the businesses to ensure that the follow-up they have taken addresses risks identified in the audit.
• Managing the Planning and executing international reviews especially overseeing the following
• Liaising with management to ensure understanding of the current position of the business. Most reviews cover all aspects of the business under review with a focus on Operations, Governance, Operational Risk, Insurance Risk, Market and Credit Risk, Compliance, Actuarial, Investments, Product Development, Sales Channels and Finance.
• Collating the information required to produce a detailed planning memorandum.
• Ensuring that the risks are identified and assessed so that resources are allocated appropriately.
• Allocating time and staff to each section, ensuring that, where appropriate, team members have development opportunities.
• Reviewing the work of team members to ensure all key risks covered.
• Conducting pre and post audit briefings for the team.
• Ensuring that the audit is delivered on time.
• Ensuring that findings and recommendations are clear and concise, all working papers are complete and documented to an appropriate standard
• Conducting the close meetings with the business and country CEOs, Regional and Global Heads.
• Writing the audit report.
• Conducting post audit performance appraisals
• Led a project to review the team’s audit approach and rewrite the audit programmes.
• Joined as an Audit Senior and promoted to Assistant Manager managing teams of upto 4 people.
• Effectively led and coached teams on complex clients.
• Distinction of handling audits such as Statutory audit, Tax audit and Limited Review.
• Effectively handled various clients encompassing Johnson & Johnson Limited, Bharti Cellular Limited, L’oreal India Limited, Reliance Energy Limited and Schrader Duncan Limited.
• Trained new joiners on the audit methodology and best practices of the firm.
• Part of audit team initially and graduated to the role of audit incharge.
• Successfully handled clients such as Colour-Chem Ltd.(a Clariant group company), The Associated Cement Companies Limited, Nestle India Limited, BP India Limited (a Castrol group company), Zuari Industries Limited.