Ayush Nigam
Bengaluru
Summary
To work hard and prove myself as an efficient member of the organization & make a mark of myself in today's expanding horizons.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Lead Control Management Officer (Vice President)
Wells Fargo
Bengaluru
12.2022 - Current
- Provide Risk Management advisory services to LoBs to better align Risks and Controls for the bank.
- Business Control Manager; supporting Quality Assurance Function to ensure business processes and risk mitigating controls are operating as designed and expected.
- Support the QA function during Audit and guide them on the expectations and assist them end to end.
- Connect with Senior Stakeholders and provide program updates.
- Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations and provide guidance in developing and implementing risk-mitigating strategies.
- Ensure that business control issues are proactively identified and addressed appropriately, escalate where necessary.
- Identify opportunities for process improvements within the scope of defined business control responsibilities.
- Provide guidance to business groups on the development, implementation, and monitoring of business specific programs to identify, assess and mitigate risk exposure.
- Collaborate and consult with Control Management team and key stakeholders.
- Provide assurance of the effectiveness and sustainability of the risk management activities and controls for each process.
Senior Manager - Enterprise Risk Management CoE
Standard Chartered GBS
Bengaluru
04.2022 - 12.2022
- Prepare Risk Profile with corresponding findings and highlight to respective regions.
- Prepare KRI Dashboard for regions and provide analysis to Global Heads.
- Review the Overall Effectiveness of the program.
- Connect with Senior Stakeholders and provide update on the key issues.
Assistant Vice President - Regulatory Compliance
HSBC
Bengaluru
09.2020 - 03.2022
- Manage and Mentored team to develop talent and enabled them to deliver over and above expectations.
- Prepare and Present Risk management reports (RMM, ORMF, CCC etc.) at Risk Committees for approval and help evaluate and report RCRMP effectiveness to various Governance Committees via papers / reports.
- The reports highlighted update on key risks, issues. risk profile, key highlights on trends, progress on remediations, significant breaches on established thresholds, internal or external events significant to RC and key analysis of overall program.
- Additional, reporting included; providing a comprehensive view of status of compliance risk across all Lines of Global Businesses and Functions. The commentaries offer further analysis on metrics for compliance officers and senior management awareness, considerations to material risk events, risk appetite, risk performance, analysis of Management Self-Identified issues, Audit Issues, Regulatory Issues and other HSBC identified issues for HSBC US.
- Work closely with Global Head of Compliance and ensure timely delivery of work. Additionally, liaise with Global stakeholders (UK, US, Hong Kong, France, Germany and Canada).
- Ensure all the activities migrated to CoE are reviewed and reported correctly.
- Handle Migrations and Migration documentation for US Processes.
- Work closely with the Chief Administration Office for FTE requirements and billing for US processes.
- Handled major migration project (HELIOS Tool) and successfully completed testing, validation and creation of various matrix which was helpful for the project.
- Travelled to US (Buffalo / New York) as part of this HELIOS project and represented GSC Bengaluru.
Business Process Lead / SME
TATA CONSULTANCY SERVICES
Bengaluru
09.2010 - 02.2015
- Managing a team of 12 associates.
- Daily work allocation, assigning responsibilities, interacting with onshore for daily requirements, monitoring daily productivity and provide feedback to team members and enhance quality of work.
- Preparation of status reports shared with onshore (Daily / Weekly MIS, Error Analysis and Query Stats).
- Handle / Resolve the issues identified while Quality Check.
- Communicating regularly and effectively with Credit Officer's, Project Coordinator's and Onshore Relationship Manager's to resolve queries.
- Manage senior level client relationships to ensure onshore expectations are met and exceeded.
- Successfully completed transition from onshore, the process was to maintain ratings of counterparties in a single system and provide a one stop shop for Credit Officers. The role was of offshore SPOC. Trained 25 associates as part of pilot batch.
Associate Content Analyst
Thomson Reuters
Bengaluru
05.2009 - 09.2010
- Worked on Corporate Actions (Mergers & Acquisitions) reports.
- Handled Business Opportunities (with the help of multiple regulators website- SEC, US regulators (FINRA), UK regulators etc.)
Education
MBA - Global Finance & Banking
SBS Swiss Business School
Bangalore01.2009
Bachelor of Commerce -
Christ Church PG College
Kanpur01.2007
Skills
- Risk management and control
- US regulatory compliance
- Stakeholder engagement
- Data analysis
- Governance and reporting
- Team leadership
- Project management
- Migration strategies
Websites
Certification
CRCMP, Certified Risk and Compliance Management Professional, International Association of Risk and Compliance Professionals (IARCP)
Timeline
Lead Control Management Officer (Vice President)
Wells Fargo
12.2022 - Current
Senior Manager - Enterprise Risk Management CoE
Standard Chartered GBS
04.2022 - 12.2022
Assistant Vice President - Regulatory Compliance
HSBC
09.2020 - 03.2022
Business Process Lead / SME
TATA CONSULTANCY SERVICES
09.2010 - 02.2015
Associate Content Analyst
Thomson Reuters
05.2009 - 09.2010
MBA - Global Finance & Banking
SBS Swiss Business School
Bachelor of Commerce -
Christ Church PG College