Sangeetha VK

Risk & Compliance

• Conducted physical security audits in order to assess the effectiveness of access control, surveillance and protection of hardware, software and networks and establishing the report to stakeholders and management.

· Responsible for providing Compliance Approval on Due Diligence.

· Responsible for Company Policy Roll out to all the Employees.

• Responsible for performing Risk and Control Self-Assessment (RCSA) in order to establish a consistent framework for assessing operational risk and the overall effectiveness of the internal control environment across the entity.

• Being an individual contributor design, maintain and execute the control testing framework to identify control deficiencies if any.

• Escalate issues/findings to the management as required and document the testing results as per organization risk management policy.

Liaising with business to remediate the potential findings and regular monitoring.

• Reviewing the business SLAs as per the organization standard and providing update to stake holders and business.

• Being a Compliance Officer, responsible for assessing Sensitive position employees and Yearly Business Recertification.

• Monitoring Recorded Lines of Business and Policy Breach.

• Periodical review on Business Mandatory courses.

• Assessing Operational Incidents and Suggesting Controls to Mitigate the Risks

• Ensuring the business renews the application access license as per the contract without affecting the production.

• Conducted clear desk sweep activity once in quarter as per the organization policy and providing report to the management.

• Brainstorming innovative ideas to create awareness sessions and have conducted interactive puzzles via emails during

• Cyber security awareness month.

• Being a part of First Line of Defense (FLOD), coordinate for the entire internal and external audits basis the audit requirements.

• As a part of JV Assurance program testing the design effectiveness of existing controls and implementing new controls in case of risk identification.

• Auditing Exit management review.

• Conducting roadshows and floor awareness sessions on information security policies.

• Responsible for delivering induction to new joiners.

Process: Payment Processing, Documentation & payroll

Job Profile

· Maintaining the data related to client accounts, transactions & payment details and any changes keeping it up to date.

· Ensuring the allocated tasks are performed within the cut-off and updating the checklist without fail.

· Paying special attention to the high value cash payments and ensuring the payment is processed without any delay.

· Checking with clients in case of mismatch in the SSI & getting the correct SSI from the client.

· Handled the Lien marking and set-off project and simplified the process by implementing new procedures for delinquent customers.

· Liaising with multiple teams and preparing the daily/monthly/weekly reports on a timely manner and circulating the same to the respective stakeholders.

· Checking with client regarding the SSI and to ensure the payment is made to the clients, without any issues or escalations.

· Conducting daily team huddles and addressing the issues raised by the teammates.

Job Profile

● Ensuring the timely settlement of trades and movement of funds done within the currency cut-off.

● Liaising with the middle office and closers team in order to clear the discrepancies between the trade packs and positions.

● Sending the manual payments to various clients & financial institutions.

● Allocating the cases to team members on previous day itself so that the trades were processed on same day without fail.

● Managing the mailbox and escalations as per the agreed TAT and the transactions are processed as per the KPI & SLA.

● Cross trained on the CITI application (SCRITURA) which is used to receive the faxes from agent bank and investors for borrowing.

● Responsible for maintaining the Master feed list which contains loan admin details of the agents and CITI in the loan syndication process.

Job Profile