Sumit Abrol
Delhi
Summary
Dynamic leader with extensive experience in quality assurance and regulatory compliance. Proven ability to enhance customer experience and optimize processes, achieving significant improvements in NPS. Expertise in risk management and change management, utilizing innovative strategies to drive impactful business outcomes.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Director- Quality Assurance (Customer Outcome)
Barclays
07.2024 - Current
- Managed global outcome testing CoE for COO to drive strategic initiatives.
- Delivered key business insights to optimize customer journeys.
- Drove NPS improvement and reduced complaints through targeted strategies.
- Assessed and implemented AI and digitization initiatives to improve customer experience.
- Collaborated with operations to execute COO strategy effectively.
- Led regulatory change program to ensure compliance and operational efficiency.
Vice President - Chief Controls Office
Barclays
04.2019 - 07.2024
- Driving controls agenda across Barclays UK retail business
- Performing RCSA in collaboration with Operations
- Implementation of structured governance routines across COO
- Leading controls automation projects
- Effective Issue management by creating Issues/ Risk Events MI
- Manage large transitions including offshoring and in-sourcing from vendors
- Perform Risk Assessments including Change Risk and Conduct
Assistant Vice President - Management Assurance & Audit
DHFL (Dewan Housing Finance Corporation Ltd.)
09.2018 - 04.2019
- Planning & Conducting Internal Audit for all the products & support functions
- Designing and development of Management Assurance framework
- Developing & publishing the Management Assurance dashboards
- Managing Audit issues and governance routines like Audit Committee & Issue Management Committee
Associate Vice President - Risk & Control (Control Assurance)
Royal Bank of Scotland
05.2017 - 08.2018
- Leading the Control Assurance team for NatWest Markets business
- Performing SOX testing for NatWest market controls: Effectiveness testing, Preparation & submission of SOX 404 Management Assurance Attestation
- Leading governance routines with the onshore risk teams and SOX Office
- Preparation and circulation of the quarterly testing MI
- Defining new controls in partnership with the Line teams
- Led the organization wide controls standardization project
- Conducted risk awareness sessions
Sr. Manager - Business Controls Monitoring & Readiness
BA Continuum India (Bank of America)
09.2012 - 04.2017
- Executing Business Risk Reviews / Control Testing: Planning, Testing; Report publishing
- Implementation of Enhanced Control Framework: Establishing process level Key Risk Indicators (KRIs)
- Risk Issue Management: tracking & reporting of issues via centralized issue management tool
- Risk Governance: Monitoring & publishing monthly dashboards for KRI performance
- Preparing and publishing monthly Risk scorecard
- Structured Governance routines with the Sr. Leadership Team, Line Of Business and Onshore Risk teams including Operational Risk & Compliance partners
- Defining & reporting regulatory metrics in partnership with the Onshore Compliance partners
- Conducting transitions risk assessment collaboration with onshore Legal, Compliance and Ops. risk partners
- Corporate communication SPOC for the Risk function
Sr. Manager - Risk Management and Business Strategy
Tata Consultancy Services -eServe
08.2011 - 09.2012
- Designed risk-based process models for collections within banking and utility sectors.
- Prepared end-to-end solutions aligned with client regional requirements.
- Collaborated with Operational Excellence team to enhance process performance through innovative solutions.
Service Delivery Manager
Tata Consultancy Services -eServe
08.2008 - 08.2011
- Aligned operations with Claims Management and Citibank's Collections portfolio.
- Oversaw transition, training, quality management, and adherence to SLAs.
- Managed team hiring, capability development, and attrition control efforts.
- Tracked monthly gross margin and optimized resource allocation.
- Contributed to Innovation Council by executing operational excellence projects.
- Coordinated SSAE 16 (SAS 70) review, designing controls and overseeing testing.
Assistant Manager- Risk & Compliance
Tata Consultancy Services -eServe
05.2006 - 08.2008
- Managed risk and compliance for seven US processes, ensuring adherence to regulations.
- Conducted Risk and Control Self Assessments (RSCA) to identify potential vulnerabilities.
- Performed comprehensive end-to-end risk reviews to safeguard organizational assets.
- Executed compliance checks against regulatory requirements to mitigate risks.
- Published monthly dashboards highlighting compliance violations for stakeholder awareness.
- Facilitated risk awareness sessions to educate staff on best practices.
- Mapped risks for all new migrations, enhancing operational readiness.
- Coordinated efforts for ISO 27001 and BS 25999 standards compliance.
Education
Masters - Business Administration
ICFAI
Bangalore01-2006
Bachelor - Software Systems
GGSIPU
Delhi01-2004
Skills
- Leadership and management
- Quality assurance
- Regulatory compliance
- Customer experience
- Process improvement
- Risk management
- Change management
Hobbies and Interests
- Sketching
- Listening music
Personal Information
Nationality: Indian
Certification
- COPC-certified registered coordinator
- BS25999
Timeline
Director- Quality Assurance (Customer Outcome)
Barclays
07.2024 - Current
Vice President - Chief Controls Office
Barclays
04.2019 - 07.2024
Assistant Vice President - Management Assurance & Audit
DHFL (Dewan Housing Finance Corporation Ltd.)
09.2018 - 04.2019
Associate Vice President - Risk & Control (Control Assurance)
Royal Bank of Scotland
05.2017 - 08.2018
Sr. Manager - Business Controls Monitoring & Readiness
BA Continuum India (Bank of America)
09.2012 - 04.2017
Sr. Manager - Risk Management and Business Strategy
Tata Consultancy Services -eServe
08.2011 - 09.2012
Service Delivery Manager
Tata Consultancy Services -eServe
08.2008 - 08.2011
Assistant Manager- Risk & Compliance
Tata Consultancy Services -eServe
05.2006 - 08.2008
Masters - Business Administration
ICFAI
Bachelor - Software Systems
GGSIPU