Aswin M
Bengaluru
Summary
- Result oriented professional with 9+ years of experience in Operational Risk Management/ Governance, Risk & Control/ Incident Management/ Control Monitoring & Testing/ Outsourcing Governance/ Regulatory Reporting/ Collateral Management/ Portfolio Reconciliation/ People Management.
- Experienced in formulating and implementing risk management framework, identifying and managing risk, advisory & insights on risk management, conducting risk & control assessment.
- Periodic Risk Assessment: Drive the RCA and other targeted risk and control effectiveness assessment for business and ensure review of NFR risk.
- Audit: Act as a contact point for Audit and other independent function in the second line of defense that conduct periodic surveillance and controls reviews.
- Support the collation of key management information and conduct risk governance meetings.
- Lead and perform independent review of complex or material incidents, ensuring root cause is clear, appropriate correcting actions, and key data is accurately classified.
- Supporting the compilation of various risk committee pack in obtaining, reviewing and providing challenge to the various risk reporting and risk data from the business and support functions.
- Performing governance on firm’s outsourced functions.
Overview
9
9
years of professional experience
1
1
Certification
Work History
Assistant Vice President
HSBC
01.2023 - Current
- Conducting Risk and Control Assessment (RCA) exercise
- Implementing management reporting as per risk management framework
- Driving effective implementation of incident reporting and root cause analysis
- Acting Chief Control Officer for AM Luxembourg and Bangalore GSC entity
- Support the business heads and COO in the development of a strong control and conduct culture
- Execute control testing assessment independently end to end i.e planning, fieldwork, draft issues discussion, issuance of the report and issue tracking through Helios
- Perform read across and deep dive assessment to drive forward looking risk and execute within agreed timeline
- Track life cycle events (Closure, Target date extension, Risk rating reclassification) of Audit findings / Self-identified issues for timely actions by the finding owners
- Work collaboratively with key stakeholders to challenge and agree a sound and practical remediation plan
- Review and update business impact assessment and business continuity plan as BCM lead for Asset Management Bangalore entity.
Senior Business Control Officer
REVOLUT
07.2022 - 01.2023
- Coordinating Risk and Control Self-Assessment (RCSA) exercise through the Acquiring organisation
- Design, implement and test controls
- Working with the payments/acquiring department to identify operational risk
- Implementing and monitoring Key Risk Indicator for various existing and emerging risk scenario
- Driving effective implementation of Incident Reporting and Root cause analysis
- Owning and maintaining Business Continuity plan (BCP)
- Initiating BCP drills.
Senior Manager
MORGAN STANLEY
08.2017 - 05.2022
- Regulatory Report Monitoring & Governance - Implementing regulatory reporting framework and building governance model
- Regulatory Reporting Quality assurance for Operations division
- Outsourcing Governance
- FINRA registration oversight for operations division
Operations Analyst (Collateral Management)
DEUTSCHE BANK GROUP
06.2015 - 08.2017
- Perform reconciliation as per the EMIR regulatory requirement
- Investigating and resolving the margin call dispute with the clients
- Reporting of all trades exceeding the MTM limit of $20M
- Working on the email queries of clients relating to breaks in the portfolio
- Knowledge on ISDA/CSA, with respect to the treatment of different product classes for collateral and non-collateral consideration.
Education
Bachelor of Commerce- Finance -
New Horizon College – Bangalore University
05.2015
Higher Secondary School - (11th & 12TH)–Commerce - undefined
Kendriya Vidhyalaya MEG & Center – CBSE
03.2012
Secondary School – 10th - undefined
Kendriya Vidhyalaya MEG & Center – CBSE
03.2010
Skills
- Governance, Risk & Control
- Operations Risk Management
- Control Evaluation/Monitoring
- Incident Management
- Regulatory Change Management
- Agile
- People Management
- Regulatory Reporting
- Training & development
- Communication
- Stakeholder Management
- Delegating
- Decision making
- Multitasking
- Time Management
- Planning
Certification
- Morgan Stanley Derivatives Academy
- Asia Regulatory Risk Academy (Morgan Stanley)
- Tally.ERP 9
Applicationssystemsknowledge
- HP Application Lifecycle Management
- Microsoft Office
- IBM Cognos Analytics
- IBM OpenPages (Helios)
- JIRA
Personal Information
Date of Birth: 05/01/1995
Hobbies and Interests
- Photography
- Cycling
Activities
- Volunteering
- Diversity and inclusion
Timeline
Assistant Vice President
HSBC
01.2023 - Current
Senior Business Control Officer
REVOLUT
07.2022 - 01.2023
Senior Manager
MORGAN STANLEY
08.2017 - 05.2022
Operations Analyst (Collateral Management)
DEUTSCHE BANK GROUP
06.2015 - 08.2017
Higher Secondary School - (11th & 12TH)–Commerce - undefined
Kendriya Vidhyalaya MEG & Center – CBSE
Secondary School – 10th - undefined
Kendriya Vidhyalaya MEG & Center – CBSE
Bachelor of Commerce- Finance -
New Horizon College – Bangalore University
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