Lakshmi Sivaramakrishnan

Analyzing of Incident reported by the business and evaluate Root cause analysis and implementing
appropriate action plans.
Reporting and managing all significant incidents
E2E risk assessment on a yearly basis by evaluating inherent and residual risk of the processes
Advising and assisting business in creating and implementing the control

● Evaluation of adequacy and effectiveness of controls for Trade, Lending and invoice finance india
controls
● Carry out sox Adequacy and effectiveness review on the processes on a yearly basis
● Analyzing if the control designed is mitigating the risk defined in RCA
● Review Remediation steps taken by Management for issue closure to assess whether these have
addressed the original risks based on root causes.
● Maintain control testing issue logs which are updated, clear and concise
● Escalate potential testing issues / exceptions to appropriate management and Stakeholders
● Participate in monthly progress meetings with control owners and contribute to discussions
relating to control issues and fails
● ‘Assist stakeholders in making the controls robust and by resolving their queries related to Risk
and Controls
● Arrange for Various programs like short trainings and games under Risk Culture initiatives to
increase awareness on Risk and Control
Develop and maintain strong relationships with key stakeholders

Regular Review of Process related controls and ensure additions / deletions are made.
● Involved in end to end risk assessment of the product and raise issues and ensure required
governance is followed
● Conduct regular meetings with operations manager. Discuss potential risks and provide mitigating
controls / solutions.
● Responsible for preparing Risk Board pack, Global Risk pack and other reports.
● Perform Gap analysis between the processes carried out and the policies created by the bank.
Gaps if any identifiedare actioned/ Accepted.
● Handling Pre- assessments and Change Risk Assessments..
● Active Participation in Risk and control assessment and ensure controls performed in servicing.

• Lead a team of 12 trade professionals who are responsible for processing documentary collections ,
  letter of credits and Payments.
  ● Responsible for delivery to premium clients in the segment of collections and payments
  ● Identified the process gaps and provided solutions to enhance the quality of the deliverables to
  the client.
  ● Responsible for smooth migration of few processes from Chennai to Delhi as a part BCP