Pankaj Jalan
Bangalore
Summary
Over 17 years’ experience in Control Assurance, Audit, Control Programs & Operational Risk Management in Banking, Financial Services, Insurance (BFSI) & IT/ITes industries. I have learned it all “the hard way” & aspiring for an opportunity to utilize my skillsets in an organization where I contribute, Value add & grow.
Overview
19
19
years of professional experience
3
3
years of post-secondary education
3
3
Certifications
Work History
Control Manager - AWM Control Programs
JP Morgan
06.2018 - Current
- Evaluate assigned RCSA assessment/PARC structure aligned to 2019 Firmwide RCSA standards
- Ensured execution of the PAG MRA Remediation plan in Access Administration & UT Workstreams
- As CORE POC, Led the Transition from Force to CORE for PAG (Mapping, Calibration, FW deliverables, CORE Execution)
- Face and Voice representing in AWM / CCB / SGO CORE program governance meetings for monitoring of CORE roadmap and milestones for AWM Ops / COO
- Representation as CORE lead in Pillars (CORE Data Quality, Metrics, CORE UAT, Controls Academy, Common Process)
- Ongoing & Continuous Control management Support for timely adherence and implementation of CORE standards and procedures (CORE Change Management, Data Quality, Metrics lifecycle, Legal Entity, CRA hygiene, CORE LOB Administrator etc.)
- Continuous Partnering to support AWM Ops CORE Execution Operating model (CORE Confluence, CMU Meetings, AWM Ops CORE mailbox, New Joiner CORE refreshers etc.)
- Common Process lead for Ongoing monitoring & Execution of Common processes for COO / AWM Ops (OS2) for alignment and consistency with firmwide Common process framework (Firm wide Cyclic uplifts , Common Process Calibration & gap assessment (OS2 processes, Data Quality Hygiene, Process annual reviews)
- Executive reporting to BCM / Delegates on CORE deliverables, key highlights (standards & procedure changes), CORE enhancements and escalation items (CORE DQ Hygiene, CRA Hygiene, CCORE Challenges etc.)
- Solution Co-Owner for CoMET (Controls Metrics) as a one stop self-service solution for PCMs to proactively review CORE Data Quality hygiene (Including trigger and CRA) before FW SLA’s are triggered
- Solution Co-Owner for SERMO (Controls Metrics) as a one stop self-service solution for PCMs to review Key controls Metrics with Process owners and delegates
Risk & Compliance Manager – Westpac Banking Corporation
Concentrix
06.2016 - 06.2018
- Second Line of defense Risk Assurance resource responsible for Business & Technology Control Assurance for Westpac Wealth & Institutional banking line of Businesses
- Performing ITGC Controls review for Mumbai Branch as per RBI Circular on Information Security
- Performing India Compliance Plan review for Mumbai Branch as per RBI regulatory reporting guidelines
- Working closely with onshore stakeholders for Planning, fieldwork & reporting of Mumbai Branch reviews as per the Annual Control Assurance Plan
- Performing 1st Line Monitoring reviews for Home Ownership services (HOS) business processes performed locally
- Collaborating with Control assurance stakeholders to drive standardization in walkthrough templates, Control testing templates & deficiency tracking tools across assurance teams
Audit Manager- Finance Controls Team (Life & Retirement)
AIG
06.2015 - 06.2016
- Leading & Managing team of 4 FTE’s performing SOX 404 Audits for L&R ( Life & retirement ) business
- Responsible for SOX Audit planning, fieldwork & reporting with the Business unit Stakeholders & SOX controllers
- Managing KPI’s & SLA’s for operational excellence & seamless delivery
- Responsible for People Management (Hiring & Staffing, Performance Review Management, Career Pathing, Learning & development)
- Steering Workshops on Risk & controls education – “Suraksha” across all business lines in FC India
Assistant Manager- Business Controls Team (Global Business Services)
IBM India
05.2010 - 06.2015
- Perform SOX Compliance testing & execution of IT General Controls( ITGC) - AD&M (Application Development & Maintenance) for GBS Project Engagements
- Executing Test of Operating effectiveness for SOX controls ( Sec 404)
- Universe Identification, samples selection, and Execution of tests in accordance with IBM SOX/COSO control Framework
- Reporting & classification of deficiencies/issues for key Operational & financial controls, providing recommendations of corrective action (RCA & Action Management Plan) and execution of remediation programs
- Partnering & collaborating with AMS Global leader on refinement of control attributes, Standardization of control Test plans & reporting templates
- Steered SOD evaluation & compliance (Separation of Duties) for IBM Application Service engagements
IB Access Administrator- IB Tech IRM India
JP Morgan
04.2007 - 05.2010
- Identity & Access Management(I&AM) including authorization & revocation of User access privileges –IB Equities
- ID Administration performed on 250 Applications & Mainframe databases for FO, MO & BO traders in IB equities
- Transition & Migration of H-Bear Security, Administration & Controls Team from Whippany, US to Bangalore, India
- Saved company approximately $ 96 K Annually in additional labour costs by completing transition offshore without adding Headcount
- Provided Knowledge transfer & Process stabilization managing a team of 4 resources
- Piloting the User Access Revalidation Process (UAR) on the applications owned by IB as part of SOX compliance activity
Security Risk Analyst- Insight
Infosys (Progeon)
03.2006 - 04.2007
- Assists the Onshore US Project Management team with accurately completing their Delivery Risk Assessment
- Tracking the quality & completion of key control Documents (Project Security Plan, Onboarding/Offboarding records, Access Management etc.)
Education
B.Com. (Hons.) -
University of Calcutta
01.2005 - 12.2005
12th - undefined
ISC
01.2002 - 12.2002
10th - undefined
ICSE
01.2000 - 12.2000
MBA - Finance
SMU (Sikkim Manipal University)
01-2015
Skills
Program Management
Controls Automation
Control Evaluations
ITGC Controls
1LOD review
Identity & Access Administration
Process Transition
Certification
Certified as Financial Accounting Professional, Brainware Computer Academy, Kolkata
Timeline
Control Manager - AWM Control Programs
JP Morgan
06.2018 - Current
Risk & Compliance Manager – Westpac Banking Corporation
Concentrix
06.2016 - 06.2018
Audit Manager- Finance Controls Team (Life & Retirement)
AIG
06.2015 - 06.2016
Certified KCO Tester (key Controls over Operations), IBM GBS
01-2013
Certification in Project Management Orientation (PMO), IBM GBS
01-2013
Assistant Manager- Business Controls Team (Global Business Services)
IBM India
05.2010 - 06.2015
IB Access Administrator- IB Tech IRM India
JP Morgan
04.2007 - 05.2010
Security Risk Analyst- Insight
Infosys (Progeon)
03.2006 - 04.2007
B.Com. (Hons.) -
University of Calcutta
01.2005 - 12.2005
Certified as Financial Accounting Professional, Brainware Computer Academy, Kolkata
01-2002
12th - undefined
ISC
01.2002 - 12.2002
10th - undefined
ICSE
01.2000 - 12.2000
MBA - Finance
SMU (Sikkim Manipal University)
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