Gaurav Kathuria

• Currently working as a Vice President - Control Management Manager for the First Line of Defense Internal Controls team, and is responsible for end-to-end control evaluation, planning, and execution for aligned control evaluation engagements.
• Workstream lead for the Tools and Technology Pillar, enhancing efficiencies, elevating risk mitigation, and supporting audit readiness.
• Drive scoping, scheduling, quality reviews, and stakeholder communication.
• Responsible for managing a high-performing team of risk professionals (AVPs), including selection, hiring, objective setting, performance management, coaching, training, and development.
• Collaborated with cross-functional teams to streamline operational processes and improve efficiency.
• Managed key stakeholder relationships to ensure alignment with organizational objectives.
• Led project teams in implementing new technologies and systems for operational improvement.
• Facilitated communication between departments to promote collaboration and information sharing.
• Collaborated with executive team members on major decisions regarding company-wide initiatives.

SELECTED ENTERPRISE PROJECTS & INITIATIVES:

Projects:

• Project Manager for the Control Documentation Generator project: Deployed across Wells Fargo lines of business; changed how control documentation is generated and governed; delivered approximately 2.5 hours of efficiency gains per control test, improving cycle time, and quality of evidence.
• Project Lead for Idea Box project: Central system to intake, track, and govern process and transformation initiatives; improved transparency, and throughput of change initiatives.
• Project Lead for GenAI for Controls (2 Projects): a) Automated generation of test scripts; b) Automated validation of control samples; targeting faster, consistent testing, and reduced manual effort.
• Implementation Lead for the Engagement Response Tool project: Centralizes correspondence between EBCE and Lines of Defense (including EBCE QA); improves traceability, accountability, and response SLAs.
• Product Owner for Walkthrough Planner project: Plans, sequences, and tracks walkthroughs; increases readiness, and stakeholder alignment.
• Product Owner for the Screenshot Capture Build project: Standardizes evidence capture, improving audit readiness, and reproducibility.

Initiatives and Recognition:

• Co-lead for the Recognition Pillar: Built programs and cadences that keep teams engaged and motivated.
• Consistently received strong Global Employee Survey feedback from direct reports, reflecting effective people leadership and manager support.
• Preparation and socialization of QA thematic analysis weekly for the EBCE Wholesale pillar.
• Developed new joiner training programs, and led onboarding for control evaluation specialists.
• Participated in hiring programs, including candidate shortlisting and interview process management.
• EBCE SPOC for 'I Recognize' awards, managing monthly nominations and submissions.
• Responsible for weekly flash reports and fortnightly accomplishment reports to senior management.
• Drive cross-training programs to strengthen BCP.

• Led Risk Assessable Unit (RAU) control evaluation efforts, supervising control evaluation specialists, and senior specialists.
• Managed control evaluation planning, resource allocation, control scoping, and stakeholder communications.
• Partnered with control partners, business control managers, and RAU owners for issue management and reporting.
• Authored evaluation narratives, design templates, test scripts, and performance assessment rationales.
• Collaborated with control owners on ratings, root cause analysis, issue identification, and corrective action planning.
• Reported control evaluation engagement outcomes to stakeholders.

• Led control evaluation across multiple business groups, assessing processes from end to end.
• Conducted control design reviews, testing, and documentation.
• Organized stakeholder meetings, delivered results, and drove operational improvements.
• Managed integration projects (TED/ALM, CER), supported audits, and promoted talent recognition.
• Contributed innovative ideas and solutions to enhance team performance and outcomes.

• Managed a 21-member team handling Currency Transaction Reporting (CTR).
• Ensured accurate reporting of high-value transactions, and collaborated on process updates.
• Led business reviews, audit readiness, and developed management dashboards.
• Facilitated team meetings to enhance communication and collaboration.
• Reviewed completed work to verify consistency, quality, and conformance.
• Participated in regular meetings with senior leadership to provide updates on team progress.

• Managed data and operations for investment products.
• Coordinated with portfolio managers and corporate actions teams.
• Priced securities, and performed reconciliation for mismatches.
• Coordinated workflow among team members to ensure efficient task completion.
• Offered training and support to keep team members motivated and working toward objectives.

• Transitioned and stabilized US projects, developed process documentation and training plans.
• Led risk analysis (FMEA) and provided MIS support to meet targets.

• Handled escalations, approved transactions, and resolved queries.
• Led process improvements and organized continuous improvement initiatives.
• Processed high volumes of financial transactions efficiently and accurately.
• Assisted in training new staff on transaction processing procedures effectively.
• Documented transaction processes to improve team knowledge and resource accessibility.