SANGEESH I K

Governance & Oversight – Managing governance & oversight over Dispensation Waivers & Breaches Standard and Senior

Management Regime (SMR). Convincing the Senior Management/Stakeholders on various matters of Operational Risk.

Policy Standards – Provide expertise on BCF, Financial Reporting Risk and other Internal Management Standards in accordance with the daily BAU to drive the culture of risk & governance within the function and CCO.

Ensuring Compliance – Act as a SME to ensure that all policies that the policies are interpreted & implemented as Group Guidelines.

Act as a SME on failures of controls and processes and escalate issue as required.

Accountability - Ensuring effective interactions with onshore CCO Teams, process owners and senior management keeping them informed of key risk & issues and ensure them the services provided are in accordance with Barclays Risk & Control Framework.

Make presentations for the Governance Forums and other forums on various risk & controls updates and ensure that the agreed decisions are implemented in time.

• The role required developing subject matter expertise on RMS / Independence issues and shall be the first point of contact for customer teams
• Responsibilities include analyzing issues and producing deliverables to document the diligence with which such tasks were performed
• Formulating answers to client questions & managing tasks and activities in a timely manner and responsible for its specific outcomes & using analytical and project management methodology and tools to sphere out desired & logical results
• Learning the firm structure, business strategies, service lines, and people of the firm & building a network of people within RMS and across the firm
• Additionally, working on AD-HOC process which caters to the queries raised from various Global Engagement team professionals providing with accurate solutions and providing them with timely and accurate answers helping clients to meet their requirements

• Undertake any risk related exercises as required by the management and assist with any risk incident management issues as required
• Support the unit staff and management by implementing and assessing the business units ARE YOU IN
• CONTROL (AYiC) Testing results
• Update, review and prepare risk related MIS in line with changes and developments in the business
• Providing focused review reports and detailing finding and recommendations
• Support investigation (incident/events, reports etc.) of process errors/feedbacks received from internal and external stakeholders
• Support the business areas in on-going continuous improvement activities where the risk expertise is required
• Provide support to the risk and controls manager to ensure the business unit takes appropriate action in response to incidents, issues etc
• (event reports, audit findings, control assessment etc.)
• Support investigation of processes errors/feedback received from internal and external stakeholders
• Drive continuous improvement activities to include the design of Risks and processing controls to ensure they remain fully effective.

• Operational Risk Assessments – Performing risk assessments for the clients associated with Genpact India for Banking & Capital Markets vertical
• Risk Evaluation – Establishing a framework basis regulatory guideline, financial impact, system controls and critical service levels to define risk category for a business
• Internal Reviews– Performing internal review reports to ensure governance around key responsibilities of vendor and service level requirements to ensure compliance with contractual requirements as per the agreement
• SOP and FMEA Review – Review of SOPs for banking processes to ensure compliance
• Assessing the failure mode and effect analysis document prepared by the operating teams
• Control Testing & Implementation – Identifying current controls and testing their efficacy
• Recommending new controls for residual risk followed by continuous monitoring
• Process Documentation – Preparing process flowcharts, risk and control self assessment document, risk register and review deck for Senior Leaderships
• Risk Register – Responsible for managing and publishing the risk register comprising the observations and mitigation plan
• Updating the risk and control ratings basis the defined rating scale
• IT Control Testing – Responsible for monthly IT control testing on a sample basis
• Communications – Communicating with operating, HR and IT teams and maintaining strong working relationships with all levels of management.