Vivek KV

Risk & Compliance:

Security:

• Ensure security document is in place as agreed with the technical values with customer and
• IBM
• Implementation and Review of Security policies: Setting up proper governance to get the policy implemented on client s environment as per the standards (GSD331, ISEC, ITSS & CSD which are derived from ISO27001)
• Ensure all the Technical specification for all the platforms are in-scope and health check are performed per agreed timelines and followed with a remediation activity
• Identification of Non-Compliance issues and records are maintained as per severity

Inventory:

• Handling inventory tools and maintaining the records with respect to Change/migration of data center, decommissioning and newbuilds of servers, removing the servers as per cooling period
• Annual reviews as per SSAE 16 audit report from inventory across tools and getting the discrepancies sorted
• Identifying issues per internal audit and opening non-compliance records across service lines and performing due diligence of the closure as per SLA based on severity (high, medium & low)
• Weekly metrics and calls scheduled for patching and Noncompliance records across service lines

Incident and Change Management: To regularly review, performance and trends in response to incidents and to provide

reccommendations to the Service Manager for service improvement

• Responsible for developing and maintaining Availability Plans which prioritizes and plans IT availability
• Monitor IT availability levels by comparing actual levels against targets and addressing shortfalls
• On-Call schedule and provides support on Sev1 & Sev2 tickets created for the service lines

Identity Access and Management:

• Periodic Compliance Activity Management:
• Ensuring the owners of the user ID that are potentially out of compliance by not classified as
• Shared ID
• UID violations: Identifying the user and ensuring the ID follows password expiry as per compliance
• Co-ordination with customer for the exceptions on the agreed policy and refreshed within time frame to avoid noncompliance

ID revalidations: Ensuring user ID’s are revalidated as per Global Policy

Patching Scope: Automation of Manual Patching records to WSUS and Satellite servers and Co- ordinating across service lines (Wintel, Linux, VMware, Storage & Mainframe) on closure of records per change and performing internal audit on completion

SME - Security Delivery:

• Leading the development and implementation of policies and practices, security programs, multi-functional teams, and/or project plan delivery for Health Checking and Patch management across Global accounts
• Ensure KPIs/ KRAs for the accounts are met as per Metrics in ECM for HC & Average Deviations per server
• Ensuring Audit Readiness and internal audit reviews

Automation Programme Manager:

Scope of Project:

• Configure the Global Technology Services strategic automation tool according to the approved customer security policies
• Enable the Global Technology services strategic automation tool to apply the approved customer security policies against the customer approved scope (systems/platforms/subsystems) and, perform automated remediation to ensure compliance with the approved customer security policies.

Roles and Responsibilities: Assist Project Managers, Security Delivery Specialists, Platform and Risk – Compliance team working on accounts with respective to automation tool, perform general Continuous Compliance education, usage in specific account scenarios e.g. technical specific changes, develop swim lanes for project.

Consultant – Regulatory Compliance (KYC, Sanctions Advisory, Transaction Monitoring & AML

Roles & Responsibilities:

• Managed a 10-member team (Managers and Assistant Managers with the client banks) to ensure delivery on behalf of the client banks for the back-end operations and co-ordination with
• Middle office team, Relationship Managers located on shore/offshore who are involved in compliance aspect of the corporate clients with presence in US, Middle East, North Africa, Asia
• Identified GAP with reference to policies and procedures as per Local regulations (w.r.t to KYC)
• Worked closely with Operations and Risk team on the framework of procedures and derived final policy and procedures
• Performing Due diligence in Transaction Monitoring and Sanctions advisory for high risk clients (New to business and existing) as per agreed SLA and TAT by business.

Associate Manager (Customer Due Diligence- KYC & Anti Money Laundering)

Roles & Responsibilities:

• Managed a 20-member team to ensure delivery on behalf of the Global Account Managers and Relationship mangers for the corporate segment [Europe/Middle East /Asia & U.S.] for on- boarding, renewal and rectification by working closely with Legal and Compliance to ensure appropriate standards for the Corporate Clients
• Prioritize workload on a risk basis to ensure effective completion
• Manage due diligence static data with a view to improving quality of data in system including duplicate records/branch entries etc and ensure its accurate maintenance
• Maintain due diligence rejection rates within the agreed threshold. Comply with Group Money Laundering Prevention Policy and Procedures to the extent applicable and reporting all suspicious Transactions to Line Managers [Associate Vice President]
• Ensure effective links between Global teams / Credit risk committee/ Internal Stake Holders
• Manage due diligence process – new on-boarding and renewals
• Perform Checker function for cases assigned
• Manage on-boarding process for agreed new initiatives

Roles & Responsibilities:

• Account maintenance for the corporate clients based out of from US and Non-US [EMEA, Asia &CEMEA], for their global and domestic accounts at respective regions
• Ensure all controls are in place with regards to KYC and local Country requirements to proceed with account opening
• Reconcile new accounts opened or maintenance completed with deferrals and ensure a 30-day review was performed
• If not received, ensure accounts are placed in blocked status
• Escalate any outstanding critical issues, customer feedback, risk trigger identified to client or seniors for review as applicable
• Analyze MIS data and identify opportunities to improve efficiency, productivity, profitability and reduce cost

Noteworthy Contribution:

• Received star performer award for outstanding performance by stakeholder (Citibank) for the year 2013 and received SPOT Award for Customer delight & nil errors in 2012 & 2013.

Roles in Customer Service:

• Involvement in KYC & DUE DILIGENCE pre-screening with the Client (AM/RM)
• Handling Banking & Credit Card queries
• Assisting customer on Internet banking related queries
• Tackling and resolving escalations from team amicably
• Implemented a process called First Call Resolution [FCR] to improve customer service and ensured all queries are resolved in a customer’s first call
• Corresponding with customers through emails to resolve queries

Noteworthy Contribution:

• Certificate of appreciation for a clean sweep in Zero defects, in 2007 quarter 3, 2008 quarter 3 and quarter 4
• Received appreciation mails for the best service from Customers and for best performance.