Noel Nicholas David
BANGALORE
Summary
ITIL V4 Foundation and MPP-certified professional with 15+ years of experience in business. Transformation |Offshoring (onsite/offshore) global programs and risk management across EMEA, the USA, and Asia. Proven track record of building and enhancing Risk Management Frameworks, SOX, ITAM, and Data Governance to meet and exceed stakeholder expectations in global capital markets, client management, and shared services. Able to manage and set up strategic compliance, risk, and control governance in techno-functional areas of IT and operations, including third-party clientele. Anti-Money Laundering and Terrorist Finance Certification - CSI (Canadian Securities Institute). Specialize in 2 LOD Process Escalation Management, Risk/Compliance, and Crisis Management Governance. Dedicated professional involved in guest lectureship across various B-schools and colleges in India. Results-driven individual with a solid track record in delivering quality work. Known for excellent communication and teamwork abilities, with a commitment to achieving company goals and delivering exceptional service. Passionate about continuous learning and professional development.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Sr. Risk Lead-ERM
Canadian Derivatives Clearing Corporation & Canadian Depository for Securities
05.2024 - 04.2025
- Supporting a comprehensive approach for how MX Post-Trade measures, monitors, and manages financial, resilience, corporate, and other risks is established and remains relevant, including:
- Develop policies, procedures, standards, control frameworks, and guidelines that are consistent with MX Post-Trade risk tolerance, capacity, and approach to risk.
- Identify opportunities to enhance existing tools, processes, and methods to perform risk management activities while keeping abreast of ERM best practices, methodologies, software, and tools to propagate a culture of risk awareness and alignment with other corporate services groups (e.g. Internal Audit, Information Technology, Information Security Office, Legal, etc.);
- Develop risk reporting and advanced effectiveness (data visualization) in reports and presentations to increase enterprise risk awareness and communication with senior management;
- Participate in the annual self-risk assessment exercise, and advise the business lines on the design of risk management controls.
- Liaison with external networks and industry groups to stay abreast of current Enterprise Risk and Operational Resilience practices, including related developments in peer banks, and the latest regulatory expectations and guidance.
Business Risk Architect- Enterprise Risk Management (ERM)
CitiBank N.A.
11.2023 - 05.2024
- Provide strategic leadership in designing, implementing, and optimizing the Enterprise Risk Management control framework.
- Lead the development and execution of a comprehensive risk architecture framework taxonomy aligned with the bank's objectives.
- Stay abreast of evolving regulatory requirements and ensure the risk architecture follows industry standards and regulations.
- Collaborate with regulatory affairs teams to interpret and implement regulatory changes into the risk architecture framework.
- Define and design enhancements to policy, process, and process automation, adhering to best practices & industry/firm standards.
- Build and monitor KRI’s related to Fraud, Insider and ESG Risk monitoring.
- Engage with key stakeholders, including risk managers, business leaders, and technology teams, to understand business requirements and translate them into effective risk architecture solutions.
- Assist in tracking and maintenance of BCM(Business Continuity Management) metrics, BI/IA PEN testing and Resiliency control framework development.
- Lead the development and implementation of methodologies for identifying and assessing risks across the organization.
- Collaborate with technology teams to integrate risk management tools and systems into the overall technology architecture.
Sr. Risk Officer- Enterprise Risk Management (ERM)
Société Générale Canada
08.2021 - 08.2023
- Lead the development, enhancement, and implementation of risk management policies, control framework and procedures specific to the capital markets domain.
- Stay updated with industry regulations, market trends, and emerging risks to ensure policies are aligned and effective.
- Conduct thorough risk assessments and analyses of capital markets activities, products, and processes to identify potential vulnerabilities and gaps.
- Translate intricate risk concepts and analyses into clear and concise communications suitable for a range of stakeholders, including non-technical decision-makers.
- Collaborate with key decision-makers, department heads, and cross-functional teams to ensure understanding and alignment on risk management strategies and initiatives.
- Design and recommend comprehensive risk mitigation strategies and control frameworks tailored to the capital markets domain.
Sr. Manager- Service Delivery and Data Governance
Société Générale GBS India
07.2015 - 08.2021
- Built the RCSA (Risk Control Self-Assessment) for 3rd Party Vendors and automated control towers for empowering management and staff to collectively identify and evaluate risks.
- Managed PSM Program (Permanent Supervision Models) related to Derivative Operations and Client Services.
- Organized & managed the Compliance Monitoring Program (CMP) to help enable and create a Risk Culture mindset in the GSC staff.
- Designed a Pilot Program on Automated 3rd Party Governance Risk reporting for SG Vendors.
- Successfully transitioned 3rd Party Oversight and Governance Model- 3 FTE from SG PARIS to SG India with no milestone misses or delivery failure.
Sr Manager- Client Services and Valuations
Société Générale CIB (Commercial and Investment Banking)
Bengaluru
08.2014 - 07.2015
- Manage Client Service teams within SG GSC – Valuation, Settlements, and Fixed Income, circa 39 FTE.
- Deliver a secure production platform where operational losses and incidents are minimized.
- Ensured adherence to agreed metrics by consistently reviewing process performance and potential risks.
- Provide transparency to senior management, onshore stakeholders, and the relevant Front Office management around the performance and risk in monthly Operational Committees (Opco's).
Custody and IB Loans Manager
JP Morgan Chase
11.2012 - 08.2014
- Manage Loan Operations and Commercial Finance Servicing teams who are responsible for the timely funding and booking of loans in LIQ/ACBS loan systems.
- Manage key Loan Servicing projects and conduct User Acceptance Testing for enhancements to current systems or sunsetting/migration to new systems.
- Led the 'Golden Client Program' and provided milestone delivery support.
- Work to deliver efficiency savings of $7K around Productivity and IT Rationalization Projects.
GBS India To-BI Program Manager (PMO)
DBOI Global Services- GBS
10.2008 - 11.2012
- Ensure smooth running of the Trade-to-Book-Initiative (To-BI) which is a joint venture between Finance and GBS to transfer Risk and P&L Production, Transaction Accounting and month-end control functions from Finance into GBS.
- Global Program Management with stakeholders across locations from Americas, APAC, Europe, DKS and DBOI Service Centres in India.
- People and resource management (e.g., people development, pipeline/skills monitoring, training programs) for a team of 5 FTE's.
OTC-Trade Affirmations Associate- Derivative Documentation
DBOI Global Services- GBS
09.2006 - 09.2008
- Managed OTC-Trade Affirmations Team (Risk Mitigation Team) which is in the business of Derivative Documentation for DB-Interbank Clients.
- Manage refresher courses for the Department to influence Internal Training and development with the PEs and Sr.
- Fluent in Market proprietary systems like GOLD, DTC, E-Clerx MIS suite, TSAR and Summit and a SPOC for troubleshooting issues and assisting in streamlining new releases.
Education
PGDHR&IR (Honors) - Industrial and Organizational Psychology
MCIM Institute
Bangalore, IndiaBachelor of Accountancy - Accounts And Statistics
St Josephs
Bangalore, IndiaSkills
- Risk management
- Data visualization
- Policy development
- Regulatory compliance
- Risk assessment
- Control frameworks
Certification
- PMP & MPP certification - George Washington University
- ITIL V4 Foundation Certified - PeopleCert
- Green Belt and AGILE Certified - HP
- Anti Money Laundering and Terrorist Finance Certification - CSI (Canadian Securities Institute)
- Info.Sec & Controls Assurance - HK Uni Science & Tech
Additional Information
Worked on several CSR and D&I programs including Campus Mentoring/Campus Buddy., Part of Toastmasters club in BPO Commune 2019., Project Mentor for SG Intrapreneur Program 2022.
Personal Information
Visa: H1B1
Accomplishments
- For successfully implementing the Post Trade Modernization Model (PTM) in TMX
- Meeting and implementing the T+1 settlement cycle for North American derivative trades
Affiliations
- Establishing a robust framework of internal controls and continuous monitoring to ensure accurate and reliable financial reporting
- Developing a comprehensive SOX compliance plan, identifying and documenting key controls, and testing their effectiveness
References
References available upon request.
Timeline
Sr. Risk Lead-ERM
Canadian Derivatives Clearing Corporation & Canadian Depository for Securities
05.2024 - 04.2025
Business Risk Architect- Enterprise Risk Management (ERM)
CitiBank N.A.
11.2023 - 05.2024
Sr. Risk Officer- Enterprise Risk Management (ERM)
Société Générale Canada
08.2021 - 08.2023
Sr. Manager- Service Delivery and Data Governance
Société Générale GBS India
07.2015 - 08.2021
Sr Manager- Client Services and Valuations
Société Générale CIB (Commercial and Investment Banking)
08.2014 - 07.2015
Custody and IB Loans Manager
JP Morgan Chase
11.2012 - 08.2014
GBS India To-BI Program Manager (PMO)
DBOI Global Services- GBS
10.2008 - 11.2012
OTC-Trade Affirmations Associate- Derivative Documentation
DBOI Global Services- GBS
09.2006 - 09.2008
PGDHR&IR (Honors) - Industrial and Organizational Psychology
MCIM Institute
Bachelor of Accountancy - Accounts And Statistics
St Josephs
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