Abhishek Johri
Risk Management
Noida,UP
Summary
Dynamic Risk Management professional with 10+ years of experience in RCSA, First Line of Defense (1LOD) risk oversight, and internal control testing within banking and financial services. Skilled in strengthening risk and control frameworks, identifying KRIs, and implementing effective mitigation strategies. Proven expertise in control assurance, issue remediation, and regulatory compliance (OCC, SEC, FINRA). Adept at collaborating with business and technology teams to embed risk culture, enhance governance, and drive adherence to policies and standards.
Overview
13
13
years of professional experience
2
2
Certifications
Work History
Group Leader
Ameriprise Bank FSB
11.2021 - Current
- Lead a team who is responsible for managing first line oversight of the Operational Risk Management Framework across multiple banking products (Trust Services, Credit Cards, Mortgage, Pledge products)
- Facilitate and execute RCSA process, including identification of inherent risks, assessment of control design/effectiveness, and documentation of results
- Perform control assurance testing on critical controls; prepare and present results to senior management
- Proactively identify operational risks, recommend remediation actions, and track implementation of Management Action Plans (MAPs)
- Support regulatory compliance reviews (OCC supervision) by ensuring adequate controls are in place to mitigate compliance risks
- Collaborate with technology & operations teams to address control gaps, anomalies, and potential control breakdowns
- Participate in ITGC audits, reviewing adequacy of controls around access management, change management, IT operations, and SOD
- Conduct periodic reviews of data integrity controls to ensure accuracy and completeness.
Associate / Sr. Associate / Team Lead
Ameriprise India LLP
02.2014 - 11.2021
- Assisted all aspects of the Internal Quality Audit program including audit planning, execution, and re-audit
- Coordinated and prioritized operational due diligence activities and processes across departments
- Experience in testing internal control integrated compliance solution for claims
- Prepared and implemented risk-based audit plans to assess, report, and improve operational & financial activities
- Performed ITGC Risk assessments across different Lines of Business
- Engaged in control drafting for Master Services Agreement (MSA) and SLA validation for Statements of Work (SOW)
- Reassessed existing processes and created new ones to effectively anticipate and reduce risk.
Quality Analyst
Genpact India Pvt. Ltd
06.2012 - 02.2014
- Monitored process groups in operations as a part of regulatory requirement of Written Supervisory Procedures (WSPs)
- Documented Supervisory Logs and ensured timely completion of sign-offs by Registered Principals
- Evaluated internal systems/procedures, identified gaps, and implemented improvements
- Processed high-risk wire payments, ensuring adherence to internal controls
- Captured exceptions, updated documentation, and incorporated changes into SOPs.
Education
CIA (Certified Internal Auditor) -
Aspirant
Executive Program in Leadership & Change Management - undefined
IIM Raipur
09.2025
Executive Program in General Management (EPGM) - undefined
IIM Calcutta
01.2020
M.Com - Accounting & Finance
Mahatma Jyotiba Phule Rohilkhand University
01.2014
B.Com (Hons.) - Accounting & Finance
Mahatma Jyotiba Phule Rohilkhand University
01.2012
Skills
Risk & Control Self-Assessments (RCSA)
Certification
Lean Six Sigma Green Belt, KPMG, 2016
Accomplishments
- 50+ Amy, Gold & Platinum Awards
- 2x Finalist for Chairman Award (Ameriprise Highest Honor)
- 3x Every Interaction Award (EIA) winner
Timeline
Group Leader
Ameriprise Bank FSB
11.2021 - Current
Associate / Sr. Associate / Team Lead
Ameriprise India LLP
02.2014 - 11.2021
Quality Analyst
Genpact India Pvt. Ltd
06.2012 - 02.2014
Executive Program in Leadership & Change Management - undefined
IIM Raipur
Executive Program in General Management (EPGM) - undefined
IIM Calcutta
M.Com - Accounting & Finance
Mahatma Jyotiba Phule Rohilkhand University
B.Com (Hons.) - Accounting & Finance
Mahatma Jyotiba Phule Rohilkhand University
CIA (Certified Internal Auditor) -
Aspirant
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