Subhrajit Dey
Summary
Seasoned risk management executive with over two decades of experience driving enterprise controls, Regulatory compliance and strategic risk programs across global financial institutions. Trusted advisor to C-suite and Board committees, recognised for shaping resilient governance frameworks, leading risk diligence for multi-billion-dollar M&A transactions and embedding sustainable risk cultures. Adept at bridging operational realities with strategic oversight and navigating complex stakeholder landscapes with clarity & influence.
Overview
22
22
years of professional experience
Work History
Vice President
Barclays
01.2022 - Current
- Work with the Global Risk Managers to perform risk reviews to improve the control environment via multiple work streams and initiatives.
- Coordinate the annual Tech-Ops RCSA (risk and control self-assessment), capture updates from the line teams, review, analyze the control assessment and work with teams to implement remediation actions.
- Analyze incidents to determine root cause, control breakdowns, impact and preventative actions are properly captured. Propose improvements to the processes and provide guidance to line teams on the incident management process.
- Thorough review and analysis identify, planning and testing activities that will enhance the resilience posture of the bank.
- Implementation and adherence to the Tech-Ops and Compliance Risk Management Frameworks.
- Controls assurance and continuous improvement through control automation.
AVP
Wells Fargo
04.2019 - 01.2022
- Provide guidance on rules and regulations relating to function/business/product operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
- Implementing the COSO based risk and control framework to identify, assess and mitigate the risks and placing appropriate control measures in place for processes servicing various functional domains.
- Conducting risk assessment, which involves analyzing risks as well as identifying, describing and estimating the risks affecting the organization.
- Frame the Target Operating Model for functions.
- Extensive knowledge of the internal control framework (specifically COSO) and a solid understanding of the concepts of control design and operational efficiency.
- Assists the Senior Leadership in defining the control objectives and maintaining compliance efforts.
- Develop & conduct Sox compliance trainings for employees.
AVP
Barclays
11.2017 - 03.2019
- Have led the control testing and assurance project for reconciliation project.
- Tested the efficacy and adequacy of the internal controls, identified the gaps and presented the test report to Senior Leadership team.
- Designing various audit strategy memos for APAC and provide independent assurance to the Barclays Board of Directors and Senior Leadership stakeholders on the aspects of control design/operating effectiveness of operation environment.
- Managing control reviews around Vendor Risk Management process across the region that includes reviewing the contractual obligations, SLAs and other regulatory and compliance clauses.
- Oversee and provide quality assurance for the effective monitoring of risks, services and processes against agreed group/divisional standards and external requirements.
- Implement oversight and assurance of the risk and control framework to ensure that operational (and other) risks are managed closely and effectively, in a commercially sensitive and practical manner.
AVP
BNY Mellon
10.2016 - 10.2017
- Design, plan and implement operational risk framework in the investment-banking domain.
- Assist in managing the Risk & Control Self-Assessment (RCSA) process for multiple business units globally (US, EMEA and APAC).
- Conduct Migration Testing for the newly migrated processes from Onshore to India and report out the observations to the Senior Management.
- Ensure compliance to regional & country level regulations for all operations in the domain and drive identified gaps to closure.
- Work with team to ensure that consistent management information is in place and reported with appropriate elevation of issues to management.
- KRI reporting, development, implementation and enhancement.
- Analyze errors, near misses and significant events to identify root causes.
- Monitor Internal Audit/Regulatory findings and Gaps for timely resolution.
Risk Manager
Cognizant Technology Solutions
03.2015 - 09.2016
- Assist in validation of control objectives and respective control standards for the existing processes off-shored, on a periodic basis.
- Testing of process controls across all locations by independent teams to evaluate the Operating effectiveness of controls.
- Co-ordinate for Self-Assessment of controls activity across all delivery teams on regular basis and furnish exception reports to Senior Leadership Team.
- Conduct relevant mandatory compliance trainings for all new joiners with respective businesses as per the agreed requirements.
- Conduct surprise clear desk checks on regular basis and reporting the exceptions to Senior Leadership Team.
Risk Manager
Bank of America
09.2008 - 02.2015
- Risk Manager for consumer & wholesale banking handled effective verticals and helped the process owners to prepare risk management strategies for risk reduction and mitigation in operations.
- Conduct control testing and report out the findings.
- Prepare audit objectives, scope, and plan/schedule, implement internal controls, and assist external auditors for efficient audit designs.
- Involved in creating standardized control testing scripts for all high-risk functions.
- Monitor Critical to Compliance metrics as per the global compliance and regulatory applicability.
- Assist aligned operations team in implementing and developing operational risk strategy like Operational risk governance development, RCSA, KRI.
Team Leader
Wipro
01.2005 - 08.2008
- Successfully leading a team of 20 associates that includes 1 Quality auditor.
- Doing an end-to-end analysis on the RFT, laying down the action plans, and implementing them.
- Ensure customer satisfaction by optimizing cost, timely escalations and closure of complaints.
- Ensure optimum team performance to meet stringent Service Level Agreements.
Customer Care Executive
Vishnu Solutions
01.2004 - 12.2004
- Calling up customers based out of the US and selling products over the phone.
Skills
- Enterprise Risk Governance & Oversight
- Technology & Operational Risk Assessment
- Internal Controls & Compliance
- Methodical
- Communicator
- Strategist
- Team Building & Leadership
- Stakeholder & Executive Management
- Change Agent
Affiliations
- Certified Risk and Information Systems Control (CRISC)
- Certified Data Privacy Security Engineer (CDPSE)
- ISO27001 Lead Auditor
- ITIL Foundation Certified Professional (V3)
- Information System Auditing, Control & Assurance from HKUST
- HIPAA-HITECH Assessor from BSPIN
- Prevention of Cyber Crimes & Fraud Management from IIBF
Profile Summary - Summary
Seasoned risk management executive with over two decades of experience driving enterprise controls, Regulatory compliance and strategic risk programs across global financial institutions. Trusted advisor to C-suite and Board committees, recognised for shaping resilient governance frameworks, leading risk diligence for multi-billion-dollar M&A transactions and embedding sustainable risk cultures. Adept at bridging operational realities with strategic oversight and navigating complex stakeholder landscapes with clarity & influence.
Network Relationships
- Active member of ISACA, Bangalore Chapter
- Active member in Linked-in (20000 Contacts)